Construction Manual California Dept of Transp

Construction Manual California Dept of Transp This manual provides practical guidance to Caltrans engineers, planners, and consultants who must address vibration issues associated with the construction, operation, and maintenance of California Department of Transportation (Caltrans) projects. The guidance and procedures provided in this manual should be treated as screening tools for assessing the potential for adverse effects related to human perception and structural damage. General information on the potential effects of vibration on vibrationsensitive research and advanced technology facilities is also provided, but a discussion of detailed assessment methods in this area is beyond the scope of this manual. This document is not an official policy, standard, specification, or regulation and should not be used as such. Its content is for informational purposes only.

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Manual Construction

CALIFORNIA DEPARTMENT

OF TRANSPORTATION

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STATE OF CALIFORNIADEPARTMENT OF TRANSPORTATION

Issued by Division of Construction

Chief, Office of Contract Compliance

MARK M BRYNER - MILTON M COSTELLO - ROY L FISHER – and BRIAN SYFTESTAD

Editing Team

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

Technical Support JOHN HANCOCK

Editor

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Additional Copies of this Manual can be Purchased from:

State of California Department of Transportation

Publication Distribution Unit

1900 Royal Oaks Drive Sacramento, California 95815-3800

FAX: (916) 324-8997TELEPHONE: (916) 323-5606 or (916) 445-3520

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CONSTRUCTION MANUAL

TABLE OF CONTENTS

Chapter-Section

1-1 Construction Organization

1-2 Public Relations

1-4 Facilities and Equipment

1-5 Field Expenses and Purchases

3-1 Definitions and Terms

3-2 Proposal Requirements and Conditions

3-3 Award Execution and Approval of Contract

3-6 Control of Materials

3-7 Legal Relations and Responsibility

3-8 Prosecution and Progress

4-00 Introduction

4-10 Dust Control

4-11 Mobilization

4-12 Construction Area Traffic Control Devices

4-15 Existing Highway Facilities

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California Department of Transportation • Construction Manual • December 2003

4-28 Lean Concrete Base

4-29 Treated Permeable Bases

4-37 Bituminous Seals

4-39 Asphalt Concrete

4-40 Portland Cement Concrete Pavement

4-41 Pavement Subsealing and Jacking

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Chapter-Section

4-64 Plastic Pipe

4-65 Reinforced Concrete Pipe

4-66 Corrugated Metal Pipe

4-67 Structural Metal Plate Pipe

4-68 Subsurface Drains

4-69 Overside Drains

4-70 Miscellaneous Facilities

4-72 Slope Protection

4-73 Concrete Curbs and Sidewalks

4-75 Miscellaneous Metal

4-82 Markers and Delineators

4-83 Railings and Barriers

4-84 Traffic Stripes and Pavement Markings

5-1 Project Records and Reports

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TOC.4 Table of Contents

Chapter-Section

6-2 Acceptance of Manufactured Material and Sampling Methods

9-1 Construction Contract Administration for Projects Funded by Others

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

APPENDIX 1 Sample Forms

INDEX

California Department of Transportation • Construction Manual • July 2004

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Chapter 1 Caltrans Construction Organization

1-001 Purpose

1-002 Scope

Construction Manual Overview Construction Manual Overview

1-001 Purpose

When applying Caltrans policy to the administration of construction contracts,

knowing how to not only interpret contract documents and plans but also apply

engineering experience and judgement is extremely important The Construction

Manual (manual) cannot replace this valuable experience and judgement.

Caltrans intends this manual as a resource for all personnel engaged in contract

administration The manual establishes policies and procedures for the construction

phase of Caltrans projects However, this manual is not a contract document It

imposes no obligations or requirements on contractors Resident engineers and other

Caltrans personnel who administer Caltrans contracts must never attempt to use the

manual as a substitute or supplement to the specifications and other contract

requirements

1-002 Scope

The manual covers topics in two general areas:

1 Policies and procedures related to the duties of Caltrans construction

personnel This topic includes internal policies and procedures for the

2 Construction contract administration This topic includes the following areas:

• Making timely and accurate contract payments

• Ensuring and documenting the contractor’s compliance with contract

requirements

The manual uses the Standard Specifications and some of the more frequently used

special provisions as the basis for contract administration instructions and guidelines

Before attempting to apply these instructions and guidelines, the field engineer must

have a thorough understanding of the specifications and other contract requirements

The manual contains many references to other publications and documents, including

other Caltrans manuals and publications However, we have made a concerted effort

to minimize any repetition of information found in other publications

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1-0.2 Construction Manual Overview

1-003 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 themajor headings are shown in the outside margin of each page

1-004 Changes

The Division of Construction issues Construction Procedure Bulletins (CPBs) tochange policies and procedures CPBs supercede any conflicting information,guideline, or instruction in the manual

Be alert for new or revised specifications that may affect the current manual guidelinesfor contract administration As specifications, practices, procedures, and policieschange, CPBs will be issued From time to time, subsequent revisions will be made

to the manual

If you find that a policy contained in this manual is unclear or has been supercededand no CPB has been issued covering the changed policy, you can use the followingprocedure to recommend a manual change:

it to the Division of Construction manual coordinator Explain the reason for theproposed change, and attach a draft of the proposed revision

decision regarding any future revision

1-003 Format

1-004 Changes

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Section 1 Construction Organization

1-101 General

1-102 Division of Construction Organization

1-102A Division of Construction Chief

1-102B Office Chiefs and Staff

1-102C Construction Field Coordinator

1-103 District Construction Organization

1-103A District Director

1-103B District Construction Deputy Director

1-103C Construction Manager

1-103D Construction Engineer

1-104 Office of Structure Construction Organization

1-104A Office of Structure Construction, Chief

1-104B Area Structure Construction Manager

1-104C Structure Construction Engineer

1-105 Construction Project Organization

1-105A Using Personnel From the Office of Structure Construction

1-105B Resident Engineer

1-105C Structure Representative

1-105D Assistant Resident Engineer

1-105E Office Assistant

1-105F Specialists and Coordinators

1-106 Local Projects

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Construction Organization 1-1.1

1-101 General

1-102 Division

of Construction Organization

Section 1 Construction Organization

1-101 General

In accordance with the Government Code, the powers and duties of Caltrans include

constructing transportation systems

The Streets and Highways Code directs Caltrans to lay out and construct all state

highways between the termini designated by law and on the locations determined by

the California Transportation Commission This code also authorizes Caltrans to

enter into those contracts that are required for Caltrans to perform its duties

The Caltrans director has delegated to the deputy director of Project Delivery various

responsibilities for administering construction contracts In turn, the deputy director

of Project Delivery has delegated many of these responsibilities to the Division of

Construction chief

In addition, the majority of Caltrans construction contracts receive federal aid

Consequently, federal regulations take precedence over state law and Caltrans policy

1-102 Division of Construction Organization

The following are the responsibilities of various personnel in the Division of

Construction

1-102A Division of Construction Chief

The Division of Construction chief leads the program to deliver quality transportation

products and services The Division of Construction chief does the following:

effectiveness

1-102B Office Chiefs and Staff

Within the Division of Construction, office chiefs and their staff assist in the

following:

for administering contracts

issues

Office chiefs and their staff collaborate with the construction industry and other

stakeholders to improve the administration of construction contracts

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1-103 District Construction

Organization

1-102C Construction Field CoordinatorConstruction field coordinators are responsible for the following:

faith

construction contracts

1-103 District Construction Organization

A district must manage all construction contracts in accordance with statutoryrequirements, Caltrans directives, and Division of Construction policies

The following include the responsibilities of various district personnel foradministering construction contracts:

1-103A District DirectorWithin district boundaries, the district director must efficiently administer and operatethe Caltrans construction activities within the district

1-103B District Construction Deputy DirectorThe district construction deputy director must execute the Caltrans constructionactivities within district boundaries The duties of the position include the following:

and provide for the work’s integrity and safety

administration and construction engineering

directives, and Division of Construction objectives

and procedures outlined in the Construction Manual (manual).

1-103C Construction Manager

In districts with large construction programs, the construction manager must executewithin district boundaries the assigned portion of Caltrans construction activities.The duties of the position include the following:

administration and construction engineering

1-103D Construction EngineerThe construction engineer must execute the portion of Caltrans construction activitiesassigned and is accountable for the performance of the assigned constructionemployees The duties of the position include the following:

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and design criteria

change orders and time extensions

civil rights

reviews and providing expert assistance on construction matters for design and

traffic engineers

with the Professional Engineer’s Act

1-104 Office of Structure Construction Organization

The Office of Structure Construction is responsible for the technical control of

structure work Engineers from the Office of Structure Construction are assigned to

all districts to provide field engineering for structures The district may request that

the assigned structure representative act as the resident engineer where structure

work predominates

The Office of Structure Construction has the ultimate responsibility and authority

for decisions relating to the structural adequacy of contract work on structures

1-104A Office of Structure Construction, Chief

For construction contracts, the Office of Structure Construction, Chief, must

uniformly execute statewide structure construction services to the districts The duties

of the position include the following:

to administer contracts

construction

policies, and program objectives

functions and with other Engineering Services functions

of Construction’s policies and objectives

administering structure construction work

1-104 Division of Structure Construction

Organization

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1-104B Area Structure Construction ManagerThe area structure construction manager is responsible for the structure constructionstaff 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 thefollowing:

approving requests to assign structure engineers to act as resident engineers on projects

a designated area

involving structure work

information on all contracts within the manager’s area

areas

1-104C Structure Construction EngineerThe structure construction engineer must execute the structure portion of constructionprojects and is accountable for the performance of assigned structure constructionemployees The duties of the position include the following:

constructability reviews, and providing expert assistance on structure constructionmethods

the contract plans, specifications, and design policies

time extensions on structure work items

the manual

complies with the Professional Engineer’s Act

1-105 Construction Project Organization

The number of state personnel required on a contract varies with the particularcircumstances involved A resident engineer may be assigned to a single contract ormay 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 clericalwork

1-105 Construction Project

Organization

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In some instances, several smaller projects may be grouped together and administered

from a single field office, making it possible to employ full-time clerical office assistants

Personnel furnished by engineering consultants may be assigned to the project as assistant

resident engineers The resident engineer must be familiar with the terms of the engineering

consultant contract The resident engineer must also monitor the performance of the

consultant personnel

1-105A Using Personnel From the Office of Structure Construction

When structure work predominates, the districts may use structure construction

personnel as resident engineers Upon district request, the Office of Structure

Construction will select staff acceptable to the district as resident engineers

All resident engineers, whether from the Office of Structure Construction or district

personnel, report and act through the district

To ensure optimum use of combined district and structure construction personnel,

the project personnel may be interchanged freely when conditions require, particularly

when work load varies because of temporary overstaffing or understaffing In such

instances, the resident engineer and the structure representative will assign personnel

through agreement with each other In making their assignments, they will consider

the responsibility of structure personnel for the technical control of structure work

Because of the specialized training of structure and transportation personnel,

prolonged use of either in the work of the other must be avoided

1-105B Resident Engineer

Under the general direction of a construction engineer, the resident engineer is

responsible for the contract administration and construction engineering of all

assigned projects As a Caltrans representative, the resident engineer acts within the

authority of the following:

The construction engineer is the resident engineer’s counselor on the intent and

application of any portion of the contract On complex or sensitive construction

issues, the resident engineer and construction engineer should consult with the

construction field coordinator

A registered professional engineer must be responsible for the engineering integrity

of a construction project If the resident engineer is not registered as a professional

engineer, this person must defer to the construction engineer any decisions and actions

that constitute the practice of civil engineering, as defined by the Professional

Engineer’s Act

Selecting a person to act as resident engineer is dependent upon the following:

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Only the person best qualified for a specific project should be selected as the residentengineer.

The civil service classification of a resident engineer is related to the project’s size andcomplexity 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 registeredprofessional engineer at the transportation engineer level On complex projects (or agroup of projects) that require a large staff to monitor the contractor’s operations, asenior level engineer may be necessary On more routine contracts that do not involvecivil engineering decisions and where the construction engineer is readily available, theresident engineer may be an unregistered experienced transportation engineer Complexity,rather than monetary value, governs the assignment of resident engineers

The resident engineer must thoroughly study the assigned project, becoming familiarwith all its facets The resident engineer must analyze the plans, estimate, andpreliminary quantity calculations, and determine if the estimated quantities coverall work items contemplated If the resident engineer discovers any majordiscrepancies, the engineer must take appropriate action The resident engineer mustalso thoroughly study the requirements of environmental commitments and permits,including pollution and erosion control plans

If it becomes apparent at any time that the probable unobligated balance of funds,with due regard for the amount of work remaining, is not sufficient to complete theproject, the resident engineer must bring the situation to the supervisor’s attention

To permit contract expenditures to overrun allotted funds seriously reflects on theresident engineer’s ability For the procedure for obtaining additional funds, seeSection 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 structurerepresentative must inspect, document, and field test materials for all structure work

on a project As a service to the resident engineer, the structure representative willalso provide claim positions and draft contract change orders As a representative ofEngineering Services, the structure representative acts within the authority of thefollowing:

Under the general direction of a construction engineer and a structure constructionengineer, the structure representative must administer all assigned contracts Whenacting as a resident engineer, the structure representative has authority commensurate

to this responsibility

The structure representative acting as resident engineer should consult theconstruction engineer whenever the structure representative is unsure about the intentand application of any portion of the contract

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The person responsible for the structural integrity of a construction contract must be

a registered professional engineer If the structure representative is not registered,

that person must defer to the structure construction engineer any decisions and actions

that constitute the practice of civil engineering, as defined by the Professional

Engineer’s Act

1-105D Assistant Resident Engineer

The assistant resident engineer must ensure the performance of assigned work

complies with the requirements of the plans, Standard Specifications, and special

provisions The duties of the position include the following:

assistant resident engineer must not direct the contractor’s work but must

immediately notify the contractor when work is not in compliance

1-105E Office Assistant

The office assistant must maintain complete and accurate project records These

records may include the following:

When these duties do not result in full-time work, the office assistant may be assigned

to check quantity calculations

Once assigned, the office assistant should remain on the project until its completion

1-105F Specialists and Coordinators

The complexity of many Caltrans projects has resulted in the use of many district

specialists and coordinators These include the following:

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• Traffic handling, signing, and electrical specialists

Local construction projects are either “State Administered,” “Locally Administered,”

or “Administered by Private Sponsor.” For the responsibility of state personnel onlocal projects, see Chapter 9, “Projects Funded by Other Agencies,” of this manual

1-106 Local Projects

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Section 2 Public Relations

1-201 General

1-202 Relations Among Caltrans Personnel

1-202A The Resident Engineer and Staff

1-202B The Resident Engineer and the District

1-203 Relations With the Contractor

1-204 Relations With Utility Companies and Other Public Agencies

1-205 Relations With Property Owners

1-206 Relations With the General Public

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1-201 General

Section 2 Public Relations Section 2 Public Relations

1-201 General

The subject of public relations can be divided into the following categories:

Within Caltrans, public relations can be divided into two subcategories: 1) relations

between the resident engineer and staff and 2) relations between the resident engineer

and the district

1-202A The Resident Engineer and Staff

Development and maintenance of good relations between Caltrans personnel is largely

a matter of adequate communication and a clear division of responsibility Employees

must know precisely what their responsibilities are, and they must be given the

authority to handle these responsibilities

The most important communications are between project personnel and the resident

engineer It is recommended strongly that resident engineers hold short staff meetings

each workweek At these meetings the resident engineer should brief assistant resident

engineers on the week’s operations, announce any changes or new assignments of

responsibility, and discuss any other pertinent subjects

Resident engineers should provide personnel with an opportunity to demonstrate

their strongest capabilities and highest capacity for responsibility The resident

engineer should ensure that assistant resident engineers have an opportunity to gain

experience in the various construction phases

Assignment rotation is encouraged as long as the effectiveness of the overall operation

does not suffer Similarly, if feasible, assign personnel to operations different from

those handled on previous projects Newly assigned personnel should study the

application portions of the Standard Specifications, special provisions, the plans,

this Construction Manual, and any other applicable publications of Caltrans An

individual should not be required to perform new duties until the resident engineer

is assured that the person is capable of performing them correctly and effectively

1-202B The Resident Engineer and the District

Communication is a two-way responsibility Resident engineers should adequately

inform their supervisors of facts so the supervisors are not embarrassed by learning

about project events from outside sources Conversely, good management practice

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1-2.2 Public Relations

1-203 Relations With the

Contractor

requires that supervisors keep their personnel informed of decisions affecting anemployee’s area of responsibility Communication has failed whenever a residentengineer first hears about a district decision from outside sources

An important phase of internal relations is the necessity for working with otherfunctional units within the organization People in other units do their work withinformation available to them, just as construction forces do They, too, have problems

in their work When there is a difference of opinion on some part of the project,whether it is about design, traffic handling, or some other feature, the resident engineershould approach the other party with an open mind to discuss the problem

1-203 Relations With the Contractor

In communicating with the contractor and the contractor’s personnel, it is importantthat the resident engineer take a clear position It is far better to start on a basis ofadministering the contract firmly in accordance with the plans and specificationsthan it is to correct a situation caused by laxity later in the contract’s life Theemployees assigned to construction must have a thorough knowledge of the plansand specifications governing the contract Clear evidence of possession of thisknowledge will go a long way in promoting smooth relations with the contractor’spersonnel If the resident engineer and assistant resident engineers know the plansand specifications thoroughly, the contractor’s personnel will respect the residentengineer’s judgment in cases where interpretation becomes necessary A satisfactoryrelationship between Caltrans and the contractor at all levels is an important result

of smooth relations between the resident engineer and the contractor’s superintendent.Proper and ethical contract administration requires the exercise of several essentialattributes Ideally, resident engineers and assistant resident engineers should beexperienced, resourceful, and considerate, in addition to having a thorough knowledge

of the specifications and the work to be done

Numerous collateral duties are also included in contract administration These duties,which are equally as important as good engineering, include the following: competentrecord keeping, well-monitored personnel activities, enforcement of labor laws, andoversight of safety

The primary responsibility, however, is to ensure that the rights of both Caltrans andthe contractor are equally and impartially enforced The taxpayers are entitled towhat they pay for, and the contractor is entitled to payment for constructing thework as defined by the contract

In general, there are two types of specifications: “end-result” and “method.” Forwork governed by end-result specifications, the engineer determines “what” and thecontractor decides “how.”

Method specifications are more restrictive as to the contractor’s options Deviationsfrom specified methods require contract change orders Deviations must also provideequal or better results while preserving the contract’s integrity Finally, the rights ofunsuccessful bidders must be protected

If any doubt exists about a contractual matter, the resident engineer has an obligation

to clarify in writing the Caltrans’ position for the contractor

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1-204 Relations With Utility Companies and Other Public Agencies

Good public relations with internal and external stakeholders will have a

beneficial effect in completing a construction project within scope, schedule

and budget 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 them to have input and

schedule their work or services to the best advantage of all concerned

Another important part of public relations is courteously dealing with the property

owners near the project The owners are the ones most affected by construction

operations

By courteously listening to the property owner’s problem, request, or question and

by taking the time to explain or answer, the resident engineer can generate faith that

Caltrans is not an impersonal organization running roughshod over the general public

or the individual Sometimes this human approach will reduce unreasonable demands

and complaints by the property owner

Construction operations (for example, temporary closures of streets and driveways

and construction noise, especially at night) may have an adverse effect on nearby

residents and businesses adjacent to the project Informing business owners and

residents near the project about the reason for, and the duration of, the activity will

go a long way toward a higher degree of acceptance and tolerance Timely notice is

important Also consider rescheduling construction activity around major business

or public events

Start public relations early The fullest possible cooperation of the contractor’s

organization should be solicited to achieve good public relations most effectively

By calling on property owners together, the resident engineer and the superintendent

can assure owners that inconvenience and the nuisance of noise and dust will be

kept to a minimum For some projects on metropolitan freeways, contractors have

distributed their own informational folders to property owners This practice should

be encouraged

The main differences in public relations toward the property owners and the general

public occur in the scope of coverage and the degree of personal contact When

highway construction information must be conveyed to large numbers of highway

users (including those who commute regularly over a particular route and those who

use the route only occasionally), contact the public information officer early in the

project The most satisfactory method is for the officer to make full use of the press,

radio, internet, and television to publicize the upcoming work

Another proven method of promoting good public relations is to use district personnel

as speakers at meetings of the local chamber of commerce and service clubs

California Department of Transportation • Construction Manual • August 2005

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1-2.4 Public Relations

Resident engineers so inclined might consider joining a service organization.Frequent notices and progress reports in the local press are also very commonand effective methods of keeping the public informed of changing projectconditions

On advice by the resident engineer, the district should also issue press releases.The district should contact members of the local press before the job starts,inform them how they can contact the proper person for information throughoutthe contract, and invite them to tour the project with the resident engineer Inspecial cases, the district may prepare and distribute pamphlets to motoristswho are delayed as they pass through construction If the traveling public outside

of the district will be affected, the Caltrans information officer in Sacramentomust be advised directly

Project personnel should always keep in mind that they are representatives ofCaltrans and the State of California As such, they are expected to conductthemselves in a manner that will command respect and be a credit to theorganization

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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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1-3.1 Personnel Development

1-301 General

Section 3 Personnel Development

1-301 General

Personnel development is essential for successfully implementing Caltrans’ strategic

plan, goals, and objectives Moreover, most construction employees want to learn

new job skills A comprehensive training and development program helps to recruit

and retain new construction staff It is in the best interests of Caltrans to train staff

early in their careers, reinforce that training as time passes, and update staff job

skills as changes in policy and technology affect the way Caltrans conducts business

and serves its stakeholders

Base staff development needs on Caltrans’ fundamental goals and objectives Design

each training and development activity to produce construction personnel who are

prepared to perform their essential job duties

District construction will do 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

development plan

that will facilitate the implementation of the employee’s training and development

plan

and development sufficient to enable a supervisor to evaluate the employee’s

construction knowledge and skill level

Supervisors will do the following:

the assigned duties

making decisions about new job assignments

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• When evaluating staffing needs and planning job assignments, carefully considercross-training opportunities for all staff, provided collective bargainingagreements and memorandums of understanding allow such opportunities Awell cross-trained staff has the following abilities:

1 More flexibility in completing a job

2 More ability to collaborate

3 Stronger ability to adjust to changing project conditions

employees when they are absent Update the plan each year based on staffperformance, and ensure the unit training and development plan supports theadvancement of interested employees

capability to perform currently assigned tasks

in which employees are encouraged to learn new job skills

the employees Such training must benefit the employees’ professional careerdevelopment Ensure the training schedule does not have a significant negativeeffect on the employees’ work This training must also conform to currentdepartmental guidelines for career related training

Each individual employee will do the following:

acquire the knowledge necessary to meet the standards for satisfactorilycompleting job assignments

for each task they are asked to perform If the individual does not feel properlytrained or qualified to execute a specific job task, then that person must notifythe supervisor

promotional opportunities Planning for training and development requires theemployee to maintain a basic level of knowledge necessary to efficiently performcurrent job duties and also requires the employee to expand knowledge to includejob duties for the next position on the individual’s career path

column on the time reporting system In addition, for district employees, turn in

a copy of a completed Form OT-0300, “Training Request Form,” to the districttraining officer, and for structure construction employees, turn in a copy to theOffice of Structure Construction training officer

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1-3.3 Personnel Development

As a minimum, individual construction employees must devote 2 percent of

regularly scheduled work time to “in-service occupational training.” In the 2

percent occupational training goal, do not include training other than that

required in the occupational training plan In addition to the resources for the 2

percent goal will be resources to sufficiently plan, prepare, and execute training

instruction required to support the district’s training and development plan On

average, organized in-service training may be distributed so that the average

employee will spend approximately 2 percent of the time as a trainee

The district construction administration must ensure the completeness and

accuracy of the information disseminated through training and development

activities The Division of Construction, workforce development unit, will

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

Some contract special provisions provide for “just-in-time training,” which is

joint training with industry and construction staff This training should include

all contractor and Caltrans staff who are directly involved in the construction

operation The objective of this training is to introduce new practices, improve

workmanship, improve quality, and to provide current and timely training to

the people actually performing the work

In-service training can be handled in various ways Depending on the particular

subject, different methods may be appropriate In all instances, encourage

instructors to use learning techniques that involve their students rather than

techniques that simply use lecture Whenever possible, students should be

provided with the opportunity to perform a task shortly after receiving instruction

and watching a demonstration Classes for inspectors should be participatory

and include “guided discussions” that encourage and promote an exchange of

ideas and experiences among participants

Caltrans construction uses the following basic training references:

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• Manual on Uniform Traffic Control Devices (MUTCD) and MUTCD California Supplement

The Division of Construction also has a number of training videos available forcheckout Many districts also have training videos available for staff viewing

A highly effective method of industrial training and development is on-the-jobtraining and mentoring by pairing less experienced staff with seasonedconstruction personnel The supervisor must be careful to pair individuals withcompatible personalities The mentor should be knowledgeable and well versed

in current Caltrans standards The student can enhance the effectiveness of thistraining technique through the ability to respect the experience of the mentor,

be genuinely interested, and become actively involved in the training process.Occupational training must be accomplished as an organized effort followed

by on-the-job experience Certainly no complete substitute exists for experience,and often a well-regulated, on-the-job training program is an excellent methodfor the completion of instruction It is just as certain that on-the-job experience

is not necessarily synonymous with on-the-job training

The districts must make every effort to coordinate their training activities withthe other districts For example, each of three districts may have only two orthree 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 districtsand the Office of Structure Construction can also exchange qualified instructors

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Section 4 Facilities and Equipment

1-401 General

1-402 Resident Engineer Offices

1-402A Commercial Office Space

1-402B Caltrans Facilities

1-402C Trailers

1-402D Maintaining Resident Engineers’ Offices

1-402E Field Office Utilities

1-403 Care of Equipment

1-404 Nuclear Gauges

1-405 Automotive Equipment

1-405A Operation of State Vehicles

1-405B Home Storage Permits

1-406 Reporting Losses

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1-401 General

Section 4 Facilities and Equipment Section 4 Facilities and Equipment

1-401 General

This section provides guidelines for the acquisition and the care of facilities and

equipment used in Caltrans construction field operations

District construction must provide offices for resident engineers Charge the rent

and other items and services included in the cost of resident engineers’ offices to the

phase 4 expenditure authorization as state-furnished material When an office is

used for more than one project, appropriately prorate the charges

For a description of items and services included in the cost of the resident engineer’s

office, refer to the Coding Manual, Volume I, “Object Code 184.” State-furnished

material funds may also be used for utilities (Object Code 002) and monthly

communications (phones and cell phones, Object Code 025)

Carefully select the field office location Consider security, and avoid areas, such as

residential neighborhoods, where the field office would create a nuisance

Use service contracts to move furniture and equipment between offices

1-402A Commercial Office Space

Generally, secure commercial office space only for large or multistage projects The

process to secure approval of a lease for commercial office space takes 90 to 180

days

Refer any questions concerning commercial property leases to the appropriate district

right of way unit

1-402B Caltrans Facilities

Space in Caltrans facilities, such as district offices or maintenance station buildings,

may be available for resident engineer offices

1-402C Trailers

Where land is available, you may lease commercial office trailers or use

Caltrans-owned trailers, if available, for resident engineer offices Check with the district

equipment manager to see if any Caltrans-owned office trailers are available

Lease commercial office trailers in the same way you would lease commercial office

space Do not rent furnished commercial office trailers For leasing information,

contact the district right of way unit

You may arrange to place office trailers in maintenance yards or on state highway

right-of-way

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1-4.2 Facilities and Equipment

1-402D Maintaining Resident Engineers’ OfficesThe resident engineer must maintain both the interior and exterior of the projectoffice When more than one resident engineer occupies an office, they must jointlydecide on the maintenance responsibilities

Each member of the resident engineer’s staff must routinely maintain neatness in thefield facility This responsibility includes picking up papers, keeping desktops neat, filingpapers, and hanging maps

For janitorial work, you may use service contracts Lease agreements for commercialoffice space may already include a janitorial service The use of janitorial servicesdoes not preclude Caltrans personnel from light housekeeping between serviceperiods

Each resident engineer’s field office must display a sign that identifies the office as

a Caltrans facility

1-402E Field Office UtilitiesYou may use a service contract for field office utility work For more information,contact the district construction office If the location is so isolated that electricity isnot available, the Division of Equipment can supply skid-mounted generators to supplyelectrical power for office trailers

Resident engineers and staff are responsible for the proper care and operation ofassigned equipment District construction must have an inventory process to addressequipment 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 tothem and must properly document the disposal or movement of equipment Reportnew equipment purchases to the district property controller Also contact the districtproperty 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 fieldoffice locked Commercial security systems may be warranted for a field office Youcan use funds for state-furnished materials to obtain a security system, or a securitysystem 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 fireextinguishers, see Section 8.06, “Emergency Action Plan Requirements,” of the

Caltrans Safety Manual.

Only properly trained and qualified personnel must operate nuclear gauges Residentengineers and supervisors of nuclear gauge operators must be aware of therequirements for handling nuclear gauges, including transporting and storage Refer

to California Test 121, “Use of Nuclear Gages,” for nuclear gauge requirements

1-405 Automotive Equipment

District construction assigns vehicles to field personnel The resident engineer orthe construction engineer will determine the use of vehicles at the project level withdue consideration for the needs of the Office of Structure Construction’s personnel

To accomplish the work, vehicles may be exchanged at the project level as necessary

1-405 Automotive

Equipment

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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, see the procedures in Chapter 18, “Motor Vehicle Accidents,”

of the Caltrans Safety Manual Chapter 18 requires that each vehicle carry Form

STD 269, “Accident Identification Card.”

You may obtain supplies and repairs for vehicles from the Division of Equipment facilities

In case of breakdown, contact the nearest Division of Equipment facility Also, each

vehicle contains a directory that lists the shops and personnel to contact in case of a

vehicle breakdown or emergency on the road Roadside assistance is also available 24

hours a day with the use of the official state credit card for fuel Each vehicle must be

equipped with the credit card and instructions for obtaining emergency service

1-405B Home Storage Permits

The California Code of Regulations requires the use of vehicle home storage permits

The director of the Division of Equipment develops, publishes, maintains, and oversees

the administration of guidelines for home storage permits For these guidelines, see the

Division of Equipment web page at the following address:

http://issc.dot.ca.gov/EquipServCenter/

The guidelines contain specific requirements for field employees in construction, surveys,

material testing, and structure construction

If theft, burglary, pilferage, or damage by vandalism occurs, immediately notify the

individual in the district who is responsible for coordinating the reporting of such

incidents Unless advised not to do so by this district coordinator, notify the local

police authorities, giving full details as you know them and complete descriptions

of the damaged or missing articles The district coordinator will advise the resident

engineer of any further action

Also notify the district property controller of any lost, stolen, destroyed, or damaged

inventory property For this purpose, use Form ADM-0396, “Report of Lost, Stolen,

or Destroyed/Damaged State-Owned Property.”

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Section 5 Field Expenses and Purchases

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1-501 General

1-502 Travel Expenses

Section 5 Field Expenses and Purchases Section 5 Field Expenses and Purchases

1-501 General

This section of the Construction Manual (manual) contains guidelines for paying

for travel expenses and obtaining goods and services

1-502 Travel Expenses

The Division of Accounting Services administers payment for travel expenses that

Caltrans employees incur

Supervisors must ensure employees do not abuse travel expenses The Caltrans Travel

and Expense Guide, issued by the Division of Accounting Services, contains

instructions and the policy for submitting travel expense claims

Pay particular attention to the charging information on travel requests and travel

expense claim forms Employees who attend training or work on task forces must

obtain from the group coordinator or leader the correct charging information

1-503 Miscellaneous Purchases

Whenever possible, obtain supplies and equipment from district warehouses and

stockrooms Use the procedures established in the district for obtaining these supplies

See the Caltrans Acquisition Manual, issued by the Office of Procurement and

Contracts of the Division of Administrative Services, for information and guidelines

about acquiring the following:

The Caltrans Acquisition Manual is available at the following web address:

http://adsc.caltrans.ca.gov/

For items that are unavailable through district warehouses, use commercial vendors

The following two procedures are the most frequently used methods field personnel

use for purchasing from such vendors

1-503A Cal-Cards

Cal-Cards are credit cards used to purchase items that are not available in district

warehouses and stockrooms For guidelines and information about Cal-Cards, see

the Cal-Card Handbook on the web site of the Office of Procurement and Contracts

of the Division of Administrative Services To use Cal-Cards, use the procedures

established by the Office of Procurement and Contracts and the districts

1-503 Miscellaneous Purchases

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1-5.2 Field Expenses and Purchases

In general, use the Cal-Card for office and engineering supplies necessary to supportthe construction project

1-503B Cash Purchase TransactionsYou may make cash purchases of no more than $50 plus tax for the following:

Typical cash purchases include items such as postage stamps and post office boxrental fees Obtain and submit receipts for all cash purchases

For obtaining reimbursement for approved purchases, submit Form FA-3202, “TravelExpense Claim,” or Form FA-0202, “Cash Expenditure Voucher.”

1-504 Services Contracts

The resident engineer uses service contracts to obtain services or rent equipment tofulfill construction engineering obligations For many services, such as repair ofoffice 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 servicecontract Do not use service contracts to purchase supplies or finished articles

1-504 Services Contracts

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Section 1 Safety

2-101 General

2-102 Duties and Responsibilities

2-102A District Construction Deputy Director

2-102B Construction Safety Coordinator

2-102C Construction Engineer

2-102D Resident Engineer

2-102E Project Safety Coordinator

2-102F Project Staff

2-103 Managing Safety Hazards

2-103A Imminent Hazards

2-103B Dangerous Conditions (Serious Hazards)

2-103C Minor or Nonserious Conditions

2-104 Division of Occupational Safety and Health

2-104A Authority and responsibility

2-104B Citations and Civil Penalties

2-104C Classes of Employers

2-104D Procedures During Division of Occupational Safety and Health Inspections

2-104D (1) Elements of a Cal/OSHA Inspection

2-104D (2) Participation in the Inspection

2-104D (3) Procedures If Citations Are Received

2-105 Specific Safe Practices

2-105A Code of Safe Practices

2-105B Tailgate Safety Meetings

2-106 Accident Reports and Investigations

2-107 Safety Precautions for the Public in Construction Areas

2-108 Hazardous Waste

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Safety 2-1.1

2-101 General

Section 1 Safety

2-101 General

Federal and state laws have established occupational safety and health standards

with which all employers must comply These laws require an employer to provide

a safe place of employment that is reasonably free from danger to life or health

The Caltrans Safety Manual is the basis for the official Caltrans injury and illness

prevention program Use the Caltrans Safety Manual in conjunction with the

Construction Manual (manual) The Caltrans Safety Manual lists mandatory safety

policies and procedures, provides a centralized reference to operational safety

advisories, and standardizes instructions related to reporting employee occupational

injuries, vehicular accidents, and claims against Caltrans

Federal Highway Administration (FHWA) requirements and the Standard

Specifications establish compliance with safety regulations as a condition of the

contract As a contract requirement, compliance with safety regulations is enforceable

by contract administration procedures, as are all other specifications

The following describes the district’s responsibilities for safety on Caltrans

construction projects:

2-102A District Construction Deputy Director

The district construction deputy director must ensure that a training program is

maintained to acquaint all Caltrans construction personnel with the basics of

construction safety

2-102B Construction Safety Coordinator

The district’s construction safety coordinator must act as technical advisor and

coordinate the district’s administration of contractors’ compliance with safety

requirements The construction safety coordinator must also do the following:

zone traffic management, and also be able to recognize and anticipate unsafe

conditions created by a contractor’s operation

conditions affected by construction activity The frequency of these visits will

depend upon the type and complexity of the work When requested by the resident

engineer, the coordinator must make additional visits However, during the life

of shorter contracts, one visit may be sufficient

records The purpose of the visit is not to perform a complete safety inspection,

but to observe the contractor’s overall efforts and answer questions or look at

specific areas as requested by the resident engineer

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• Be the district’s primary contact with the Division of Construction safety engineerand the local Division of Occupational Safety and Health (Cal/OSHA), exceptfor emergencies involving imminent hazards.

program Structure the training program to meet the district’s needs Thismandatory training must take place at a frequency of a minimum of four hoursper employee per year and must be included in the district’s annual trainingplan Safety training will include orientation training to all employees at thetime of their first assignment to construction Employees returning to constructionfollowing an absence of five years or more must also receive safety orientationtraining

conference If the coordinator does not take part in the discussion, the coordinatormust be involved in reviewing the specifications and determining what specificareas of safety will be discussed with the contractor

2-102C Construction EngineerThe district construction engineer must review construction projects to ensure thatthe resident engineer is monitoring the contractor’s construction safety programadequately and that an effective safety program is being performed While theconstruction safety coordinator acts as a technical advisor on construction safety,the construction engineer is responsible for advising the resident engineer onconstruction safety as it relates to contract administration

District construction engineers are also accountable for the performance of employeesunder their supervision They should document their reviews of employee safetyprograms

2-102D Resident EngineerThe resident engineer must ensure that the contractor complies with all aspects of

the contract including the applicable Construction Safety Orders In doing do, the

resident engineer must also do the following:

Under no circumstances instruct the contractor verbally or in writing on how tocorrect a deficiency

Daily Report,” document the construction safety activities of both the contractorand Caltrans project personnel At least weekly, complete this report and file it

in Category 6, “Safety,” of the project records

administration procedures The state-enforcing agency for safety regulations isCal/OSHA

throughout the duration of the contract In the project files, document safetydiscussions at preconstruction conferences and cover at least the following items:

1 The contractor’s accident prevention program required by Cal/OSHA

2 The contractor’s code of safe practices, also required by Cal/OSHA Thiscode must be developed for each contract and reviewed by either the residentengineer or the construction safety coordinator

3 Various permits that may be required before starting specific work items,such as excavation, trench shoring, falsework, and scaffolding

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Safety 2-1.3

4 Other safety items that may be pertinent to the contract, related to items

such as blasting operations, work in confined spaces, personal protective

equipment, back-up alarms, rollover protective structures, traffic control,

and access to elevated work

5 The reporting of disabling or fatal accidents to the resident engineer and

Cal/OSHA

6 The contractor’s safety training program

2-102E Project Safety Coordinator

The resident engineer may delegate safety responsibilities to an assistant who will

act as the project safety coordinator Usually this delegated work will be in addition

to other assigned duties, but on large contracts it may be full time The project safety

coordinator must monitor and document the contractor’s compliance with safety

requirements and must keep the resident engineer informed The project safety

coordinator also acts as a safety advisor to Caltrans project personnel

2-102F Project Staff

Caltrans does not intend that the resident engineer and the project safety coordinator

carry the total load of monitoring the contractor’s construction safety activities All

construction personnel must consider the safety of the operations in conjunction

with their normal inspections

In carrying out Caltrans’ responsibilities for ensuring safety compliance as a contract

requirement, use the following guidelines:

2-103A Imminent Hazards

Imminent hazards are dangerous conditions that, if not corrected, would likely result

in an accident causing severe or permanently disabling injury, or causing death

When an imminent hazard is found to exist or when the contractor permits repeated

occurrences of a hazardous condition, the resident engineer must take the following

steps:

immediate correction

with appropriate references in the resident engineer’s daily report

suspension order with written notice to the contractor

Whenever it is necessary to suspend a contractor’s operation, notify the construction

safety coordinator and Cal/OSHA of the hazardous condition and the actions taken

By fax, e-mail, or telephone, notify the Division of Construction safety engineer of

the actions taken Safety reports, giving all details leading up to the suspension, and

copies of orders by the resident engineer, Cal/OSHA, or both, must be placed in

Category 6, “Safety,” of the contract files

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