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STATE OF CALIFORNIADEPARTMENT OF TRANSPORTATION

Issued byDivision of Construction

GRAY DAVISGovernor

JEFF MORALESDirector, Department of Transportation

TONY V. HARRISChief Deputy Director

BRENT FELKERChief Engineer

JOHN MCMILLANAssistant Division Chief, Construction

ROBERT PIEPLOWChief, Division of Construction

MICHAEL KISSELChief, Office of Contract Compliance

MARK M. BRYNER - MILTON M. COSTELLO - ROY L. FISHER and BRIAN SYFTESTADEditing Team

ALFRED BLUM THERESA McCOURT - JOHN RODRIGUEZ - and CAROL ROSSTechnical Support

JOHN HANCOCKEditor

Additional Copies of this Manual can be Purchased from:

State of CaliforniaDepartment of TransportationPublication Distribution Unit

1900 Royal Oaks DriveSacramento, California 95815-3800

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

California Department of Transportation Construction Manual December 2003TOC.1Table of Contents

S T A T E O F C A L I F O R N I A D E P A R T M E N T OF T R A N S P O R T A T I O N

CONSTRUCTION MANUALTABLE OF CONTENTS

Chapter-Section

1 Caltrans Construction Organization

1-0 Construction Manual Overview1-1 Construction Organization1-2 Public Relations1-3 Personnel Development1-4 Facilities and Equipment1-5 Field Expenses and Purchases

2 Safety and Traffic

2-1 Safety2-2 Traffic2-3 Major Construction Incidents

3 General Provisions

3-0 Introduction3-1 Definitions and Terms3-2 Proposal Requirements and Conditions3-3 Award Execution and Approval of Contract3-4 Scope of Work3-5 Control of Work3-6 Control of Materials3-7 Legal Relations and Responsibility3-8 Prosecution and Progress3-9 Measurement and Payment

4 Construction Details

4-00 Introduction4-10 Dust Control4-11 Mobilization4-12 Construction Area Traffic Control Devices4-15 Existing Highway Facilities

California Department of Transportation Construction Manual December 2003

TOC.2 Table of Contents



Chapter-Section

4-16 Clearing and Grubbing4-17 Watering4-18 Dust Palliative4-19 Earthwork4-20 Erosion Control and Highway Planting4-22 Finishing Roadway4-24 Lime Stabilization4-25 Aggregate Subbases4-26 Aggregate Bases4-27 Cement Treated Base4-28 Lean Concrete Base4-29 Treated Permeable Bases4-37 Bituminous Seals4-39 Asphalt Concrete4-40 Portland Cement Concrete Pavement4-41 Pavement Subsealing and Jacking4-42 Groove and Grind Pavement4-49 Piling4-50 Prestressing Concrete4-51 Concrete Structures4-52 Reinforcement4-53 Shotcrete4-54 Water Proofing4-55 Steel Structures4-56 Signs4-57 Timber Structures4-58 Preservative Treatment of Lumber, Timber, and Piling4-59 Painting4-61 Culvert and Drainage Pipe Joints4-62 Alternative Culverts4-63 Cast-in-Place Concrete Pipe

TOC.3Table of Contents



Chapter-Section

4-64 Plastic Pipe4-65 Reinforced Concrete Pipe4-66 Corrugated Metal Pipe4-67 Structural Metal Plate Pipe4-68 Subsurface Drains4-69 Overside Drains4-70 Miscellaneous Facilities4-72 Slope Protection4-73 Concrete Curbs and Sidewalks4-74 Pumping Plant Equipment4-75 Miscellaneous Metal4-80 Fences4-81 Monuments4-82 Markers and Delineators4-83 Railings and Barriers4-84 Traffic Stripes and Pavement Markings4-85 Pavement Markers4-86 Signals, Lighting and Electrical Systems4-88 Engineering Fabrics4-90 Portland Cement Concrete4-91 Paint4-92 Asphalts4-93 Liquid Asphalts4-94 Asphaltic Emulsions4-95 Epoxy

5 Contract Administration

5-0 Conduct of the work5-1 Project Records and Reports5-2 Funds5-3 Contract Change Orders5-4 Disputes


TOC.4 Table of Contents



Chapter-Section

5-5 Emergency Contract Administration

6 Sampling and Testing

6-1 Sample Types and Frequencies6-2 Acceptance of Manufactured Material and Sampling Methods6-3 Field Tests

7 Environmental

7-1 Environmental Rules and requirements

8 Employment Practices

8-1 Labor Compliance8-2 Equal Employment Opportunity8-3 Disadvantaged Business

9 Projects Funded by Others

9-1 Construction Contract Administration for Projects Funded by Others9-2 Projects Administered by a Local Agency on the State Highway System

APPENDIX 1 Sample Forms

INDEX

California Department of Transportation Construction Manual July 2004

Construction Manual Overview 1-0.1

Chapter 1 Caltrans Construction Organization

1-001Purpose

1-002Scope

ConstructionManual Overview

Construction Manual Overview

1-001 PurposeWhen applying Caltrans policy to the administration of construction contracts,knowing how to not only interpret contract documents and plans but also applyengineering experience and judgement is extremely important. The ConstructionManual (manual) cannot replace this valuable experience and judgement.Caltrans intends this manual as a resource for all personnel engaged in contractadministration. The manual establishes policies and procedures for the constructionphase of Caltrans projects. However, this manual is not a contract document. Itimposes no obligations or requirements on contractors. Resident engineers and otherCaltrans personnel who administer Caltrans contracts must never attempt to use themanual as a substitute or supplement to the specifications and other contractrequirements.

1-002 ScopeThe manual covers topics in two general areas:

1. Policies and procedures related to the duties of Caltrans constructionpersonnel. This topic includes internal policies and procedures for thefollowing areas:

Safety

Training

Acquiring and using resources

Public relations

Coordinating with other Caltrans units and outside agencies andorganizations

2. Construction contract administration. This topic includes the following areas:

Making timely and accurate contract payments

Ensuring and documenting the contractors compliance with contractrequirements

The manual uses the Standard Specifications and some of the more frequently usedspecial provisions as the basis for contract administration instructions and guidelines.Before attempting to apply these instructions and guidelines, the field engineer musthave a thorough understanding of the specifications and other contract requirements.The manual contains many references to other publications and documents, includingother Caltrans manuals and publications. However, we have made a concerted effortto minimize any repetition of information found in other publications.


1-0.2 Construction Manual Overview

1-003 FormatThe manual has been carefully organized to reflect, as much as possible, the generalorganization of the Standard Specifications. Chapters are organized to logically leadthe 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 ChangesThe 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 madeto 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: Complete Form CEM-9001, Construction Manual Proposed Change, and send

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

The Division of Construction will review the proposed change and make adecision regarding any future revision.

1-003Format

1-004Changes


California Department of Transportation Construction Manual August 20061-1.iConstruction Organization


Section 1 Construction Organization

1-101 General

1-102 Division of Construction Organization1-102A Division of Construction, Chief1-102B Office Chiefs and Staff1-102C Construction Field Coordinator

1-103 District Construction Organization1-103A District Director1-103B District Construction Deputy Director1-103C Construction Manager1-103B Construction Engineer

1-104 Office of Structure Construction Organization1-104A Office of Structure Construction, Chief1-104B Area Structure Construction Manager1-104C Structure Construction Engineer

1-105 Construction Project Organization1-105A Using Personnel From the Office of Structure Construction1-105B Resident Engineer1-105C Structure Representative1-105D Assistant Resident Engineer1-105E Field Office Engineer1-105F Specialist and Coordinators

1-106 Local Projects

Construction Organization 1-1.1


1-101General

1-102Divisionof ConstructionOrganization

Section 1ConstructionOrganization

Section 1 Construction Organization

1-101 GeneralIn accordance with the Government Code, the powers and duties of Caltrans includeconstructing transportation systems.The Streets and Highways Code directs Caltrans to lay out and construct all statehighways between the termini designated by law and on the locations determined bythe California Transportation Commission. This code also authorizes Caltrans toenter into those contracts that are required for Caltrans to perform its duties.The Caltrans director has delegated to the deputy director of Project Delivery variousresponsibilities for administering construction contracts. In turn, the deputy directorof Project Delivery has delegated many of these responsibilities to the Division ofConstruction 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 OrganizationThe following are the responsibilities of various personnel in the Division ofConstruction.1-102A Division of Construction ChiefThe Division of Construction chief leads the program to deliver quality transportationproducts and services. The Division of Construction chief does the following: Establishes the divisions direction, definition, policies, and objectives.

Develops and uses performance measures to determine program efficiency andeffectiveness.

Acts as a consultant to the districts and service centers.

1-102B Office Chiefs and StaffWithin the Division of Construction, office chiefs and their staff assist in thefollowing: Developing and improving program performance measures.

Providing reviews to document the understanding and application of processesfor administering contracts.

Providing expert assistance on complex and sensitive contract administrationissues.

Office chiefs and their staff collaborate with the construction industry and otherstakeholders to improve the administration of construction contracts.


1-1.2 Construction Organization

1-103District

ConstructionOrganization

1-102C Construction Field CoordinatorConstruction 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 goodfaith.

Advising district construction managers on complex and sensitive issues inconstruction contracts.

1-103 District Construction OrganizationA 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: Planning and directing the activities of the district construction division.

Budgeting for personnel and other resources as necessary to administer contractsand provide for the works integrity and safety.

Obtaining and providing training for all activities related to contractadministration and construction engineering.

Ensuring district construction complies with statutory requirements, Caltransdirectives, and Division of Construction objectives.

Coordinating construction activities with other district functions.

Recommending to the Division of Construction chief revisions to the policiesand procedures outlined in the Construction Manual (manual).

1-103C Construction ManagerIn 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: Budgeting for personnel and other resources necessary to administer contracts.

Obtaining and providing training for all activities related to contractadministration and construction engineering.

Coordinating construction activities with other district functions.

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: Supervising assigned personnel.



Ensuring adequate training for those assigned personnel who are or may beassigned as resident engineers, encouraging diligent pursuit of their CaltransResident Engineer Certificate.

Ensuring that materials and completed work comply with plans, specifications,and design criteria.

Approving or not approving a resident engineers recommendation for contractchange orders and time extensions.

Ensuring that the maintenance of project records complies with this manual.

Ensuring the performance of all safety-related activities.

Ensuring compliance with regulations and specifications related to labor and civilrights.

Collaborating with the districts project development unit on constructability reviewsand providing expert assistance on construction matters for design and trafficengineers.

Ensuring that the practice of civil engineering on assigned contracts complieswith the Professional Engineers Act.

1-104 Office of Structure Construction OrganizationThe Office of Structure Construction is responsible for the technical control of structurework. Engineers from the Office of Structure Construction are assigned to all districtsto provide field engineering for structures. The district may request that the assignedstructure representative act as the resident engineer where structure workpredominates.The Office of Structure Construction has the ultimate responsibility and authority fordecisions relating to the structural adequacy of contract work on structures.1-104A Office of Structure Construction, ChiefFor construction contracts, the Office of Structure Construction, chief, must uniformlyexecute statewide structure construction services to the districts. The duties of theposition include the following: Planning and directing the activities of the statewide division.

Budgeting for structure construction personnel and other resources, as necessary,to administer contracts.

Obtaining and providing training for all engineering activities for structureconstruction.

Ensuring that statewide structure construction complies with regulations, Caltranspolicies, and program objectives.

Coordinating the activities of structure construction statewide with all districtfunctions and with other Engineering Services functions.

Recommending to the Division of Construction chief, revisions in the Division ofConstructions policies and objectives.

Producing and distributing policies and procedures for inspecting and administeringstructure construction work.

1-104Division of StructureConstructionOrganization

California Department of Transportation Construction Manual September 2007


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 districtsor a portion of a metropolitan area or district. The duties of the position include thefollowing: Assigning structure construction staff within the managers assigned area, including

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

Obtaining and providing adequate training for all structure construction staff withina designated area.

Advising and assisting the district about contract change orders and claimsinvolving structure work.

Providing the structure construction headquarters in Sacramento with statusinformation on all contracts within the managers area.

Informing the district managers of structure construction activities within theirareas.

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: Supervising the activities of structure construction personnel.

Ensuring adequate training for assigned structure construction personnel.

Collaborating with Engineering Services and the districts design unit onconstructability reviews, and providing expert assistance on structure constructionmethods.

Ensuring structure materials and completed structure work generally comply withthe contract plans, specifications, and design policies.

Providing concurrence and advice to the district for contract change orders andtime extensions on structure work items.

Ensuring and verifying that the maintenance of project records complies withthe manual.

Ensuring the performance of all safety-related activities.

Ensuring that the practice of civil engineering on contracts in the assigned areacomplies with the Professional Engineers Act.

1-105 Construction Project OrganizationThe 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 numberof 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.

1-105Construction Project

Organization



In some instances, several smaller projects may be grouped together and administeredfrom 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 asassistant resident engineers. The resident engineer must be familiar with the termsof the engineering consultant contract. The resident engineer must also monitor theperformance of the consultant personnel.1-105A Using Personnel From the Office of Structure ConstructionWhen structure work predominates, the districts may use structure constructionpersonnel as resident engineers. Upon district request, the Office of StructureConstruction will select staff acceptable to the district as resident engineers.All resident engineers, whether from the Office of Structure Construction or districtpersonnel, 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, particularlywhen work load varies because of temporary overstaffing or understaffing. In suchinstances, the resident engineer and the structure representative will assign personnelthrough agreement with each other. In making their assignments, they will considerthe 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 EngineerUnder the general direction of a construction engineer, the resident engineer isresponsible for the contract administration and construction engineering of allassigned projects. As a Caltrans representative, the resident engineer acts within theauthority of the following: The State Contract Act

Section 5-1.01, Authority of the Engineer, of the Standard Specifications

The manual

Any other applicable administrative instructions

The construction engineer is the resident engineers counselor on the intent andapplication of any portion of the contract. On complex or sensitive constructionissues, the resident engineer and construction engineer should consult with theconstruction field coordinator.A registered professional engineer must be responsible for the engineering integrityof a construction project. The resident engineer, as the Caltrans person in responsiblecharge, must be a licensed professional engineer in the State of California, as definedby the Professional Engineers Act.Selecting a person to act as resident engineer is dependent upon the following: The works magnitude and complexity

The type of work

The degree of independent control and direction to be exercised

Pursuit or completion of the Caltrans Resident Engineer Certificate Program



Only the person best qualified for a specific project should be selected as the residentengineer.The civil service classification of a resident engineer is related to the projects sizeand complexity as well as to the staff size required to properly administer the assignedcontract or contracts. Normally, the person selected as resident engineer will be aregistered professional engineer at the transportation engineer level. On complexprojects (or a group of projects) that require a large staff to monitor the contractorsoperations, a senior level engineer may be necessary. Complexity, rather than monetaryvalue, 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 supervisors attention.To permit contract expenditures to overrun allotted funds seriously reflects on theresident engineers 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 RepresentativeUnder the general direction of a structure construction engineer, the structurerepresentative must inspect, document, and field test materials for all structure workon 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: The State Contract Act

The Standard Specifications

The manual

The Bridge Construction Records and Procedures Manual

Other applicable administrative instructions

Under the general direction of a construction engineer and a structure constructionengineer, the structure representative must administer all assigned contracts. Whenacting as a resident engineer, the structure representative has authority commensurateto this responsibility.The structure representative acting as resident engineer should consult the constructionengineer whenever the structure representative is unsure about the intent andapplication of any portion of the contract.



The person responsible for the structural integrity of a construction contract must bea registered professional engineer. If the structure representative is not registered,that person must defer to the structure construction engineer any decisions and actionsthat constitute the practice of civil engineering, as defined by the ProfessionalEngineers Act.1-105D Assistant Resident EngineerThe assistant resident engineer must ensure the performance of assigned workcomplies with the requirements of the plans, Standard Specifications, and specialprovisions. The duties of the position include the following: Ensuring the contractor complies with all contract requirements.

Performing, or calling for, required tests to ensure work quality.

Keeping complete, accurate, and concise records of the work and quantities.

Keeping the resident engineer informed of work progress and problems.

Responding to any contractor questions about plans and specifications. Theassistant resident engineer must not direct the contractors work but mustimmediately notify the contractor when work is not in compliance.

As a representative of Caltrans, acting professionally at all times.

Working effectively by knowing construction methods and inspection techniques.

1-105E Field Office EngineerThe field office engineer must maintain complete and accurate project records.These records may include the following: Monthly progress pay estimates

Extra work reports

Contract change orders

Labor and equipment records

Correspondence

Personnel records

Once assigned, the field office engineer should remain on the project until itscompletion.1-105F Specialists and CoordinatorsThe complexity of many Caltrans projects has resulted in the use of many districtspecialists and coordinators. These include the following: Materials and plant specialists

Weights and measures coordinators

Survey coordinators

Labor compliance and civil rights personnel

Safety coordinators

Traffic handling, signing, and electrical specialists

Landscape specialists

California Department of Transportation Construction Manual August 2006


Environmental - construction liaison

Storm water coordinator Schedule analysts

Claims engineers

In the absence of a Caltrans policy on any specific job problem, the authority of theresident engineer will prevail over that of a specialist or coordinator.

1-106 Local ProjectsLocal 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.

1-106Local Projects

California Department of Transportation Construction Manual August 2006

Section 2 Public Relations

1-201 General

1-202 Relations Among Caltrans Personnel1-202A The Resident Engineer and Staff1-202B The Resident Engineer and the District

1-203 Relations With the Contractor

1-204 Relations With Utility Companies and Other Public Agencies

1-205 Relations With Property Owners

1-206 Relations With the General Public


Public Relations 1-2.i


1-2.1Public Relations


1-201General

1-202Relations AmongCaltrans Personnel

Section 2Public RelationsSection 2 Public Relations

1-201 GeneralThe subject of public relations can be divided into the following categories: Internal relations among Caltrans personnel

Relations with the contractor

Relations with utility companies and other public agencies

Relations with property owners

Relations with the general public

1-202 Relations Among Caltrans PersonnelWithin Caltrans, public relations can be divided into two subcategories: 1) relationsbetween the resident engineer and staff and 2) relations between the resident engineerand the district.1-202A The Resident Engineer and StaffDevelopment and maintenance of good relations between Caltrans personnel is largelya matter of adequate communication and a clear division of responsibility. Employeesmust know precisely what their responsibilities are, and they must be given theauthority to handle these responsibilities.The most important communications are between project personnel and the residentengineer. It is recommended strongly that resident engineers hold short staff meetingseach workweek. At these meetings the resident engineer should brief assistant residentengineers on the weeks operations, announce any changes or new assignments ofresponsibility, and discuss any other pertinent subjects.Resident engineers should provide personnel with an opportunity to demonstratetheir strongest capabilities and highest capacity for responsibility. The residentengineer should ensure that assistant resident engineers have an opportunity to gainexperience in the various construction phases.Assignment rotation is encouraged as long as the effectiveness of the overall operationdoes not suffer. Similarly, if feasible, assign personnel to operations different fromthose handled on previous projects. Newly assigned personnel should study theapplication portions of the Standard Specifications, special provisions, the plans,this Construction Manual, and any other applicable publications of Caltrans. Anindividual should not be required to perform new duties until the resident engineeris assured that the person is capable of performing them correctly and effectively.1-202B The Resident Engineer and the DistrictCommunication is a two-way responsibility. Resident engineers should adequatelyinform their supervisors of facts so the supervisors are not embarrassed by learningabout project events from outside sources. Conversely, good management practice


1-2.2 Public Relations

1-203Relations With the

Contractor

requires that supervisors keep their personnel informed of decisions affecting anemployees 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 problemsin 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 ContractorIn communicating with the contractor and the contractors 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 contracts 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 contractorspersonnel. If the resident engineer and assistant resident engineers know the plansand specifications thoroughly, the contractors personnel will respect the residentengineers judgment in cases where interpretation becomes necessary. A satisfactoryrelationship between Caltrans and the contractor at all levels is an important resultof smooth relations between the resident engineer and the contractors 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 knowledgeof 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 contractors options. Deviationsfrom specified methods require contract change orders. Deviations must also provideequal or better results while preserving the contracts integrity. Finally, the rights ofunsuccessful bidders must be protected.If any doubt exists about a contractual matter, the resident engineer has an obligationto clarify in writing the Caltrans position for the contractor.


1-2.3Public Relations

1-204Relations WithUtility Companiesand Other PublicAgencies

1-204 Relations With Utility Companies and Other Public AgenciesGood public relations with internal and external stakeholders will have a beneficialeffect in completing a construction project within scope, schedule and budget.Preconstruction discussions that may affect Caltrans functional units or local agenciesand communities should involve all stakeholders. The resident engineer should makeearly personal contact and establish a good working relationship with staff of affectedutility companies and other agencies. Such agencies may include: local school districts,local transit agencies, permitting agencies, California Highway Patrol and local policeorganizations, local bicyclist and pedestrian advocacy groups, local community groups,and any other government agency or local group with interest in the project. Earlypersonal contact with staff from these agencies and groups will acquaint them withupcoming construction operations and will enable them to have input and scheduletheir work or services to the best advantage of all concerned.

1-205 Relations With Property OwnersAnother important part of public relations is courteously dealing with the propertyowners near the project. The owners are the ones most affected by constructionoperations.By courteously listening to the property owners problem, request, or question and bytaking the time to explain or answer, the resident engineer can generate faith thatCaltrans is not an impersonal organization running roughshod over the general publicor the individual. Sometimes this human approach will reduce unreasonable demandsand complaints by the property owner.Construction operations (for example, temporary closures of streets and drivewaysand construction noise, especially at night) may have an adverse effect on nearbyresidents and businesses adjacent to the project. Informing business owners andresidents near the project about the reason for, and the duration of, the activity will goa long way toward a higher degree of acceptance and tolerance. Timely notice isimportant. Also consider rescheduling construction activity around major business orpublic events.The necessity for residential relocations should be considered during constructabilityreviews and if necessary discussed at project development team meetings. Detailsfor temporary relocations appear in Section 10.10.05.01 of the Right of Way Manual.If nightitime noise levels become an issue during construction and temporary relocationof residents is not addressed in the project files, contact the construction fieldcoordinator for guidance.Start public relations early. The fullest possible cooperation of the contractorsorganization should be solicited to achieve good public relations most effectively. Bycalling on property owners together, the resident engineer and the superintendentcan assure owners that inconvenience and the nuisance of noise and dust will bekept to a minimum. For some projects on metropolitan freeways, contractors havedistributed their own informational folders to property owners. This practice shouldbe encouraged.

1-205Relations WithProperty Owners


1-2.4 Public Relations

1-206 Relations With the General PublicThe main differences in public relations toward the property owners and the generalpublic occur in the scope of coverage and the degree of personal contact. Whenhighway construction information must be conveyed to large numbers of highwayusers (including those who commute regularly over a particular route and those whouse the route only occasionally), contact the public information officer early in theproject. 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 personnelas speakers at meetings of the local chamber of commerce and service clubs. Residentengineers so inclined might consider joining a service organization. Frequent noticesand progress reports in the local press are also very common and effective methodsof keeping the public informed of changing project conditions.On advice by the resident engineer, the district should also issue press releases. Thedistrict should contact members of the local press before the job starts, inform themhow they can contact the proper person for information throughout the contract, andinvite them to tour the project with the resident engineer. In special cases, the districtmay prepare and distribute pamphlets to motorists who are delayed as they passthrough construction. If the traveling public outside of the district will be affected, theCaltrans information officer in Sacramento must be advised directly.Project personnel should always keep in mind that they are representatives of Caltransand the State of California. As such, they are expected to conduct themselves in amanner that will command respect and be a credit to the organization.


1-206Relations With the

General Public

Section 3 Personnel Development

1-301 General

1-302 District Role

1-303 Supervisor Role

1-304 Individual Duties

1-305 Resources and Budgeting

1-306 Subject Matter, Trainees, and Instructors

1-307 Just-in-Time Training

1-308 Training Methods


Personnel Development 1-3.i


1-3.1Personnel Development


1-301General

1-302District Role

Section 3PersonnelDevelopment

Section 3 Personnel Development

1-301 GeneralPersonnel development is essential for successfully implementing Caltrans strategicplan, goals, and objectives. Moreover, most construction employees want to learnnew job skills. A comprehensive training and development program helps to recruitand retain new construction staff. It is in the best interests of Caltrans to train staffearly in their careers, reinforce that training as time passes, and update staff jobskills as changes in policy and technology affect the way Caltrans conducts businessand serves its stakeholders.Base staff development needs on Caltrans fundamental goals and objectives. Designeach training and development activity to produce construction personnel who areprepared to perform their essential job duties.

1-302 District RoleDistrict construction will do the following: Identify training needs based on the following:

1. The employees current knowledge and skills

2. Additional job skills necessary for the employees success in the current jobassignment

3. Skills the employee will need for future job assignments

Include training and development planning in each employees yearly individualdevelopment plan.

Provide each employee with adequate training and development opportunitiesthat will facilitate the implementation of the employees training and developmentplan.

For each construction employee, maintain a historic record of completed trainingand development sufficient to enable a supervisor to evaluate the employeesconstruction knowledge and skill level.

1-303 Supervisor RoleSupervisors will do the following: Ensure that each employee under their direct supervision is capable of performing

the assigned duties.

Periodically review subordinates qualifications and use that information whenmaking decisions about new job assignments.

1-303Supervisor Role


1-3.2 Personnel Development

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

Establish a succession plan, indicating who will back up the supervisor and theemployees 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.

Take immediate action to correct any known deficiency in an employeescapability to perform currently assigned tasks.

Encourage the development of subordinates, and foster a working environmentin which employees are encouraged to learn new job skills.

Assist employees to participate in external training opportunities requested bythe 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.

1-304 Individual DutiesEach individual employee will do the following: As directed by the supervisor, attend training activities and learn the skills and

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

Attend a training class when scheduled to do so.

Be responsible for evaluating their own ability to perform the essential job dutiesfor 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.

In the planning of activities for training and development, consider futurepromotional 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 individuals career path.

Obtain prior approval from the supervisor to attend a training activity.

Accurately report training expenditures, including filling out the G numbercolumn on the time reporting system. In addition, employees are to follow theprocedures for requesting and documenting training detailed in the LearningManagement System on Caltrans intranet.

1-304Individual Duties


1-3.3Personnel Development

1-305Resources andBudgeting

1-306Subject Matter,Trainees, andInstructors

1-307Just-in-TimeTraining

1-305 Resources and BudgetingAs a minimum, individual construction employees must devote 2 percent ofregularly scheduled work time to in-service occupational training. In the 2 percentoccupational training goal, do not include training other than that required in theoccupational training plan. In addition to the resources for the 2 percent goal will beresources to sufficiently plan, prepare, and execute training instruction required tosupport the districts training and development plan. On average, organized in-servicetraining may be distributed so that the average employee will spend approximately 2percent of the time as a trainee.

1-306 Subject Matter, Trainees, and InstructorsThe district construction administration must ensure the completeness andaccuracy of the information disseminated through training and developmentactivities. The Division of Construction, workforce development unit, willsupport, coordinate, and assist the district to the full extent of its abilities andresources.Instructional subject matter for a course should be sufficiently broad to encompassall 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 personnelwill be required to use the job skills.Personnel and consultant trainers who prepare and conduct training must bequalified in the subject matter and in the theory and techniques of training.Assistance for determining training expertise and training for trainers is availablethrough the Division of Construction.

1-307 Just-in-Time TrainingSome contract special provisions provide for just-in-time training, which isjoint training with industry and construction staff. This training should includeall contractor and Caltrans staff who are directly involved in the constructionoperation. The objective of this training is to introduce new practices, improveworkmanship, improve quality, and to provide current and timely training tothe people actually performing the work.

1-308 Training MethodsIn-service training can be handled in various ways. Depending on the particularsubject, different methods may be appropriate. In all instances, encourageinstructors to use learning techniques that involve their students rather thantechniques that simply use lecture. Whenever possible, students should beprovided with the opportunity to perform a task shortly after receiving instructionand watching a demonstration. Classes for inspectors should be participatoryand include guided discussions that encourage and promote an exchange ofideas and experiences among participants.Caltrans construction uses the following basic training references: Construction Manual

Standard Specifications

Standard Plans

District construction manuals

Highway Construction Checklists

1-308Training Methods


1-3.4 Personnel Development

California Manual on Uniform Traffic Control Devices Maintenance Manual Manual of Test Other technical publications

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 versedin 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 followedby 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 experienceis 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.


Section 4 Facilities and Equipment

1-401 General

1-402 Resident Engineer Offices1-402A Commercial Office Space1-402B Caltrans Facilities1-402C Trailers1-402D Maintaining Resident Engineers Offices1-402E Field Office Utilities

1-403 Care of Equipment

1-404 Nuclear Gauges

1-405 Automotive Equipment1-405A Operation of State Vehicles1-405B Home Storage Permits

1-406 Reporting Losses


Facilities and Equipment 1-4.i


1-4.1Facilities and Equipment


1-401General

1-402Resident EngineerOffices

Section 4Facilities andEquipment

Section 4 Facilities and Equipment

1-401 GeneralThis section provides guidelines for the acquisition and the care of facilities andequipment used in Caltrans construction field operations.

1-402 Resident Engineer OfficesDistrict construction must provide offices for resident engineers. Charge the rentand other items and services included in the cost of resident engineers offices to thephase 4 expenditure authorization as state-furnished material. When an office isused for more than one project, appropriately prorate the charges.

For a description of items and services included in the cost of the resident engineersoffice, refer to the Coding Manual, Volume I, Object Code 184. State-furnishedmaterial funds may also be used for utilities (Object Code 002) and monthlycommunications (phones and cell phones, Object Code 025).

Carefully select the field office location. Consider security, and avoid areas, such asresidential neighborhoods, where the field office would create a nuisance.

Use service contracts to move furniture and equipment between offices.

1-402A Commercial Office SpaceGenerally, secure commercial office space only for large or multistage projects. Theprocess to secure approval of a lease for commercial office space takes 90 to 180days.

Refer any questions concerning commercial property leases to the appropriate districtright of way unit.

1-402B Caltrans FacilitiesSpace in Caltrans facilities, such as district offices or maintenance station buildings,may be available for resident engineer offices.

1-402C TrailersWhere land is available, you may lease commercial office trailers or use Caltrans-owned trailers, if available, for resident engineer offices. Check with the districtequipment manager to see if any Caltrans-owned office trailers are available.

Lease commercial office trailers in the same way you would lease commercial officespace. 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 highwayright-of-way.


1-4.2 Facilities and Equipment

1-403Care of 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 engineers staff must routinely maintain neatnessin the field facility. This responsibility includes picking up papers, keepingdesktops neat, filing papers, and hanging maps.

For janitorial work, you may use service contracts. Lease agreements forcommercial office space may already include a janitorial service. The use ofjanitorial services does not preclude Caltrans personnel from light housekeepingbetween service periods.

Each resident engineers field office must display a sign that identifies the officeas a Caltrans facility.

1-402E Field Office UtilitiesUse a service contract for field office utility work. Notify the Division ofAccounting when starting, transferring or terminating utility services. Form FA-2134, Utility Service Request, should be filled out and forwarded to theDivision of Accounting and a copy kept in the project files. The Division ofAccounting has a web site with an electronic form and instructions at:

http://onramp.dot.ca.gov/hq/accounting/utility.

For more information, contact the district construction office. If the location isso isolated that electricity is not available, the Division of Equipment can supplyskid-mounted generators to supply electrical power for office trailers.

1-403 Care of EquipmentResident 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 inventoryno 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 engineers 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 theCaltrans Safety Manual.

1-404 Nuclear GaugesOnly 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. Referto California Test 121, Use of Nuclear Gages, for nuclear gauge requirements.

1-404Nuclear Gauges


1-4.3Facilities and Equipment

1-406Reporting Losses

1-405 Automotive EquipmentDistrict construction assigns vehicles to field personnel. The resident engineeror the construction engineer will determine the use of vehicles at the projectlevel with due consideration for the needs of the Office of StructureConstructions personnel. To accomplish the work, vehicles may be exchangedat the project level as necessary.

1-405A Operation of State VehiclesFor policies, guidelines, and rules for driver training and the safe operation ofmotor vehicles, refer to Chapter 17,Motor Vehicle Saftey,of the Caltrans Safety Manual.

Section 9-09, Requirements for First Aid Medical Supplies of the CaltransSafety Manual requires a 10-unit first aid kit to be at each construction crewfield site. To satisfy this requirement, each vehicle must carry a first aid kit.

For reporting accidents, see the procedures in Chapter 18, Motor VehicleAccidents, of the Caltrans Safety Manual. Chapter 18 requires that each vehiclecarry Form STD. 269, Accident Identification Card.

You may obtain supplies and repairs for vehicles from the Division of Equipmentfacilities. In case of breakdown, contact the nearest Division of Equipmentfacility. Also, each vehicle contains a directory that lists the shops and personnelto contact in case of a vehicle breakdown or emergency on the road. Roadsideassistance is also available 24 hours a day with the use of the official statecredit card for fuel. Each vehicle must be equipped with the credit card andinstructions for obtaining emergency service.

1-405B Home Storage PermitsThe California Code of Regulations requires the use of vehicle home storage permits.The director of the Division of Equipment develops, publishes, maintains, and overseesthe administration of guidelines for home storage permits. For these guidelines, see theDivision of Equipment web page at the following address:

http://onramp.dot.ca.gov/hq/equipment/InfoRes.htm

The guidelines contain specific requirements for field employees in construction,surveys, material testing, and structure construction.

1-406 Reporting LossesIf theft, burglary, pilferage, or damage by vandalism occurs, immediately notify theindividual in the district who is responsible for coordinating the reporting of suchincidents. Unless advised not to do so by this district coordinator, notify the localpolice authorities, giving full details as you know them and complete descriptionsof the damaged or missing articles. The district coordinator will advise the residentengineer of any further action.

Also notify the district property controller of any lost, stolen, destroyed, or damagedinventory property. For this purpose, use Form ADM-0396, Report of Lost, Stolen,or Destroyed/Damaged State-Owned Property.

1-405AutomotiveEquipment


Section 5 Field Expenses and Purchases

1-501 General

1-502 Travel Expenses

1-503 Miscellaneous Purchases1-503A Cal-Cards1-503B Cash Purchase Transactions

1-504 Services Contracts


Field Expenses and Purchases 1-5.i


1-5.1Field Expenses and Purchases


1-501General

1-502Travel Expenses

Section 5Field Expensesand Purchases

Section 5 Field Expenses and Purchases

1-501 GeneralThis section of the Construction Manual (manual) contains guidelines for payingfor travel expenses and obtaining goods and services.

1-502 Travel ExpensesThe Division of Accounting Services administers payment for travel expenses thatCaltrans employees incur.Supervisors must ensure employees do not abuse travel expenses. The Caltrans Traveland Expense Guide, issued by the Division of Accounting Services, containsinstructions and the policy for submitting travel expense claims.Pay particular attention to the charging information on travel requests and travelexpense claim forms. Employees who attend training or work on task forces mustobtain from the group coordinator or leader the correct charging information.

1-503 Miscellaneous PurchasesWhenever possible, obtain supplies and equipment from district warehouses andstockrooms. Use the procedures established in the district for obtaining these supplies.See the Caltrans Acquisition Manual, issued by the Office of Procurement andContracts of the Division of Administrative Services, for information and guidelinesabout acquiring the following: Commodities

Supplies

Equipment

Furniture

Information technology products and services

The Caltrans Acquisition Manual is available at the following web address:http://adsc.caltrans.ca.gov/For items that are unavailable through district warehouses, use commercial vendors.The following two procedures are the most frequently used methods field personneluse for purchasing from such vendors.1-503A Cal-CardsCal-Cards are credit cards used to purchase items that are not available in districtwarehouses and stockrooms. For guidelines and information about Cal-Cards, seethe Cal-Card Handbook on the web site of the Office of Procurement and Contractsof the Division of Administrative Services. To use Cal-Cards, use the proceduresestablished by the Office of Procurement and Contracts and the districts.

1-503MiscellaneousPurchases


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: 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 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 ContractsThe 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.

1-504Services Contracts


Section 1 Safety

2-101 General

2-102 Duties and Responsibilities2-102A District Construction Deputy Director2-102B Construction Safety Coordinator2-102C Construction Engineer2-102D Resident Engineer2-102E Project Safety Coordinator2-102F Project Staff

2-103 Managing Safety Hazards2-103A Imminent Hazards2-103B Dangerous Conditions (Serious Hazards)2-103C Minor or Nonserious Conditions

2-104 Division of Occupational Safety and Health2-104A Authority and responsibility2-104B Citations and Civil Penalties2-104C Classes of Employers2-104D Procedures During Division of Occupational Safety and Health Inspections

2-104D (1) Elements of a Cal/OSHA Inspection2-104D (2) Participation in the Inspection2-104D (3) Procedures If Citations Are Received

2-105 Specific Safe Practices2-105A Code of Safe Practices2-105B Tailgate Safety Meetings

2-106 Accident Reports and Investigations

2-107 Safety Precautions for the Public in Construction Areas

2-108 Hazardous Waste


Safety 2-1.i

Chapter 2 Safety and Traffic

Safety 2-1.1

2-101General

Section 1Safety

Section 1 Safety

2-101 GeneralFederal and state laws have established occupational safety and health standardswith which all employers must comply. These laws require an employer to providea 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 illnessprevention program. Use the Caltrans Safety Manual in conjunction with theConstruction Manual (manual). The Caltrans Safety Manual lists mandatory safetypolicies and procedures, provides a centralized reference to operational safetyadvisories, and standardizes instructions related to reporting employee occupationalinjuries, vehicular accidents, and claims against Caltrans.Federal Highway Administration (FHWA) requirements and the StandardSpecifications establish compliance with safety regulations as a condition of thecontract. As a contract requirement, compliance with safety regulations is enforceableby contract administration procedures, as are all other specifications.

2-102 Duties and ResponsibilitiesThe following describes the districts responsibilities for safety on Caltransconstruction projects:2-102A District Construction Deputy DirectorThe district construction deputy director must ensure that a training program ismaintained to acquaint all Caltrans construction personnel with the basics ofconstruction safety.2-102B Construction Safety CoordinatorThe districts construction safety coordinator must act as technical advisor andcoordinate the districts administration of contractors compliance with safetyrequirements. The construction safety coordinator must also do the following: Be familiar with highway construction procedures, equipment, and construction

zone traffic management, and also be able to recognize and anticipate unsafeconditions created by a contractors operation.

Visit projects periodically to observe the contractors operation and any trafficconditions affected by construction activity. The frequency of these visits willdepend upon the type and complexity of the work. When requested by the residentengineer, the coordinator must make additional visits. However, during the lifeof shorter contracts, one visit may be sufficient.

Make a written report of each visit, and file a copy of the report with the projectrecords. The purpose of the visit is not to perform a complete safety inspection,but to observe the contractors overall efforts and answer questions or look atspecific areas as requested by the resident engineer.

2-102Duties andResponsibilities

Chapter 2 Safety and Traffic


2-1.2 Safety

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

Be responsible for administering the districts construction safety trainingprogram. Structure the training program to meet the districts needs. Thismandatory training must take place at a frequency of a minimum of four hoursper employee per year and must be included in the districts 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.

Be the advisor for the construction safety portion of the preconstructionconference. 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 contractors 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 ofthe contract including the applicable Construction Safety Orders. In doing do, theresident engineer must also do the following: Identify an unsafe condition as well as the specific regulation involved, if known.

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

In a special safety report using Form CEM-4601, Assistant Resident EngineersDaily Report, document the construction safety activities of both the contractorand Caltrans project personnel. At least weekly, complete this report and file itin Category 6, Safety, of the project records.

Ensure the contractor complies with all safety orders through normal contractadministration procedures. The state-enforcing agency for safety regulations isCal/OSHA.

Give project safety deliberate attention, both at preconstruction conferences andthroughout the duration of the contract. In the project files, document safetydiscussions at preconstruction conferences and cover at least the following items:

1. The contractors accident prevention program required by Cal/OSHA.

2. The contractors 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.


Safety 2-1.3

4. Other safety items that may be pertinent to the contract, related to itemssuch as blasting operations, work in confined spaces, personal protectiveequipment, 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 andCal/OSHA.

6. The contractors safety training program.

Develop the code of safe practices for the project and ensure they are followed.

2-102E Project Safety CoordinatorThe resident engineer may delegate safety responsibilities to an assistant who willact as the project safety coordinator. Usually this delegated work will be in additionto other assigned duties, but on large contracts it may be full time. The project safetycoordinator must monitor and document the contractors compliance with safetyrequirements and must keep the resident engineer informed. The project safetycoordinator also acts as a safety advisor to Caltrans project personnel.2-102F Project StaffCaltrans does not intend that the resident engineer and the project safety coordinatorcarry the total load of monitoring the contractors construction safety activities. Allconstruction personnel must consider the safety of the operations in conjunctionwith their normal inspections.

2-103 Managing Safety HazardsIn carrying out Caltrans responsibilities for ensuring safety compliance as a contractrequirement, use the following guidelines:2-103A Imminent HazardsImminent hazards are dangerous conditions that, if not corrected, would likely resultin an accident causing severe or permanently disabling injury, or causing death.When an imminent hazard is found to exist or when the contractor permits repeatedoccurrences of a hazardous condition, the resident engineer must take the followingsteps: Immediately advise the contractor verbally of the condition and the need for

immediate correction.

Remove all Caltrans and consultant employees from the hazardous exposure.

Order the contractor to remove all personnel not needed to make the corrections.

If the contractor complies, document the incident in the projects safety reportwith appropriate references in the resident engineers daily report.

If the contractor does not comply, suspend the affected operation. Confirm thesuspension order with written notice to the contractor.

Document the incident and the action taken in the resident engineers daily report.

Whenever it is necessary to suspend a contractors operation, notify the constructionsafety 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 ofthe actions taken. Safety reports, giving all details leading up to the suspension, andcopies of orders by the resident engineer, Cal/OSHA, or both, must be placed inCategory 6, Safety, of the contract files.

2-103Managing SafetyHazards


2-1.4 Safety

2-103B Dangerous Conditions (Serious Hazards)Dangerous conditions (sometime referred to as serious hazards) are those that donot present an immediate danger to workers, but if not corrected could result in adisabling injury and possibly death, or could develop into an imminent hazard. Whena dangerous condition is found to exist, the resident engineer must take the followingsteps: Advise the contractor verbally of the condition and the need for timely correction.

If appropriate, set a compliance deadline.

Remove all Caltrans and consultant employees from the hazardous exposure.

If the contractor does provide timely correction, consider ordering a suspensionof the affected operation. Confirm the suspension order with written notice tothe contractor.

Document the incident in the projects safety report with appropriate referencesin the resident engineers daily report.

2-103C Minor or Nonserious ConditionsMinor or nonserious conditions are ones that could result in minor injuries or thatmay be classified as a minor threat to health. When a nonserious or minor conditionis found to exist, the resident engineer must take the following steps: Advise the contractor verbally of the condition and the need for correction.

Document the incident in the projects safety report.

Protect Caltrans and consultant employees from exposure.

If the contractor fails to correct the condition or permits a repeated occurrence, notifythe construction safety coordinator.

2-104 Division of Occupational Safety and HealthThis section provides information about the organization of Cal/OSHA, itsenforcement powers, and Cal/OSHA inspections.2-104A Authority and responsibilityThe law requires Cal/OSHA to enforce the safety orders and to promote safeworkplaces and practices. Cal/OSHA achieves this function through three separateagencies, a rule-making function, an enforcement function, and an independentappeals board, described as follows: The Occupational Safety and Health Standards Board (standards board) adopts,

amends, and repeals the safety orders. Both state and federal law require thatthese safety orders be no less restrictive than the federal Occupational Safetyand Health safety orders.

Cal/OSHA is responsible for administering the safety orders as adopted by thestandards board.

Citations issued by Cal/OSHA for violations may be appealed to the OccupationalSafety and Health Appeals Board for a hearing, and in rare instances, thenappealed to a superior court.

To allow Cal/OSHA to accomplish its mission, the Labor Code gives Cal/OSHA theauthority to enter and inspect any place of employment to ensure that safe conditionsand practices are being observed. If necessary, this right of entry can be enforced bywarrant.

2-104Division of

Occupational Safetyand Health


Safety 2-1.5

2-104B Citations and Civil PenaltiesCal/OSHA has the duty to issue citations if unsafe conditions or work practices aredocumented during an inspection. Civil penalties are proposed consistent with theseverity of the violations cited. The amount of the penalty is determined by proceduresestablished in the regulations. Public agencies are not exempt from these penalties.Violations are classified by severity, as either general or serious. Under specificcircumstances, these classifications will be expanded to willful, repeat, or both.Violations result in monetary penalties. Penalties are also mandatory for failing toabate hazards and for making false statements.In addition to the civil penalties noted above, managers can be held criminallyresponsible. To be held criminally responsible, the manager must knowingly ornegligently allow a serious violation, repeatedly violate the safety orders, or directlyrefuse to correct a known, unsafe condition. The criminal penalties can be as severeas six months to one year in jail and may include fines.Occasionally, Cal/OSHA will issue an informational memorandum when a condition,or potential condition, is encountered in which no employee has been exposed, butif an employee were to be exposed, a safety violation would exist. Violations of aninformational memorandum are always classified as willful violations.2-104C Classes of EmployersCalifornia recognizes four different types of employers, any of which can be citedby Cal/OSHA for safety violations. This classification of different types can resultin more than one employer being cited for the same violation. The following are therecognized classes of employers as defined by the Labor Code: Exposing employerThe employer whose employees were exposed to the

hazard.

Creating employerThe employer who actually created the hazard.

Controlling EmployerThe employer who was responsible by contract orthrough actual practice for the safety and health conditions on the work site.This employer is the one who had the authority for ensuring the hazardouscondition was corrected.

Correcting EmployerThe employer who had the responsibility for actuallycorrecting the hazard.

With regard to Caltrans employees, Caltrans (not the resident engineer) may be theexposing employer if a Caltrans employee is allowed to work in an unsafe locationor to participate in an unsafe act. Because Caltrans has given resident engineers andtheir staff engineers the authority to intervene when they believe a condition or actto be unsafe, the possibility also exists that Caltrans may be considered by Cal/OSHA to be a controlling employer.2-104D Procedures During Division of Occupational Safety and Health InspectionsThis section describes what takes place during a Cal/OSHA inspection and whatresident engineers and their assistants should do during a Cal/OSHA inspection.

2-104D (1) Elements of a Cal/OSHA InspectionEvery Cal/OSHA inspection has three elements, the opening conference, the walk-through inspection, and the closing conference, described as follows: Opening conferenceThe Cal/OSHA inspector will ask for the highest level of

management on-site. Introductions will be made, and the inspector will state the


2-1.6 Safety

reason and purpose of the inspection. At this time, the inspector will ask questionsabout the employer, such as the size of the organization, number of employeeson-site, addresses and phone numbers, and other information. Questions mayalso be asked about the employers injury and illness prevention program. Thebasis for Caltrans program is the Caltrans Safety Manual. The employer will beasked for permission to make a walk-through inspection of the site, and theemployer will be invited to accompany the inspector.

Walk-through inspectionThe inspector will tour the site observing the workin progress, the condition of the site, and the work practices being followed.Employees may be interviewed concerning the training they have received, workprocedures, and protective equipment they are using. The inspector may takephotographs and measurements during the inspection. If this is a post-accidentinvestigation, witnesses will be identified and interviewed. Witness contactinformation, such as name, address and telephone number, may be requested.The inspector will identify any violations that are observed. Any such violationprobably will become a citation during the closing conference.

Closing conferenceAfter the walk-through inspection has been completed,the inspector will meet with management, supervisors, and employeerepresentatives to discuss the violations and any proposed citations. Citationsmay be based on the inspectors observations and also on statements made bymanagers, supervisors, and employees. This conference may be held immediatelyafter the walk-through inspection or may be deferred. Although this conferenceis usually conducted in person, it may sometimes be conducted by telephone.

2-104D (2) Participation in the Inspection As a matter of policy, Caltrans will cooperate and participate with Cal/OSHA. If

you are asked questions that you are uncomfortable with, politely decline toanswer. Caltrans employees are not required to make any statement that may beharmful to their interests or those of Caltrans. In the event of an inspection, dothe following:

Opening conferenceNotify the construction safety coordinator that Cal/OSHAis planning to make an inspection. If the construction safety coordinator is notavailable, notify the district safety officer of the pending inspection. At the sametime, notify the construction engineer. If the construction safety coordinator orsafety officer can arrive in a reasonable length of time, request that the walk-through inspection be delayed pending their arrival. The resident engineer orrepresentative must participate in the inspection. The construction engineer shouldparticipate.

Walk-through inspectionParticipate and document the inspection. Record whatareas were inspected, who was interviewed, and what violations were mentionedby the Cal/OSHA inspector. If the inspector takes photographs, take the samephotograph for Caltrans records. Also, if any measurements are taken,independently take the same measurements.

Closing conferenceThe resident engineer must participate in the closingconference, and the construction engineer or a representative (other than theresident engineer) should participate. If the district safety officer or constructionsafety coordinator is not present, insist that the closing conference be delayeduntil the district safety officer is present. If citations are proposed, remain openand noncommittal.


Safety 2-1.7

2-104D (3) Procedures If Citations Are ReceivedIf citations are received either by personal delivery or by mail, take the followingactions: Notify the district safety officer and your construction engineer that the citations

have been served.

Fax a copy of the citation to the Office of Safety and Health in the AdministrativeService Center.

For citations related to structure work, structure representatives must notify theOffice of Structure Construction of the citations.

The district safety officer, and in most instances the Office of Safety and Health,will work with the resident engineer to resolve the citations. If necessary, arrangementsfor legal support will also be made.

2-105 Specific Safe PracticesEvery employee has the responsibility to be informed of and to follow the specificpolicies and practices discussed in the Caltrans Safety Manual.2-105A Code of Safe PracticesThe Construction Safety Orders require that every employer adopt a written code ofsafe practices. The resident engineer must ensure that this code is prepared for everyproject. Pay particular attention to ensure the code includes those items unique to aspecific project as well as those portions of the contractors code that affect Caltransemployees and consultants. The project file must contain documentation that allemployees and consultants have read and understood the code of safe practices andhave received a project safety orientation.2-105B Tailgate Safety MeetingsThe Construction Safety Orders also require tailgate or toolbox safety meetings. Asstated in Construction Safety Order 1509, Injury and Illness Prevention Program,these meetings must be held at least once every 10 working days.Section 2-05, Tailgate Safety Meetings for Field Personnel, of the Caltrans SafetyManual, contains specific instructions for tailgate meetings. Follow this section anddistrict policy.

2-106 Accident Reports and InvestigationsChapter 19, Special Reporting of Serious Injury, Illness, or Fatality, of the CaltransSafety Manual, explains the reporting requirements for the serious injury, illness, orfatality of Caltrans employees and non-Caltrans employees working on a Caltransproject. This chapter also explains the reporting requirements for major propertydamage or fatal accidents that occur in construction zones. Part 4, The InvestigativeProcesses, of Chapter 19, Special Reporting of Serious Injury, Illness, or Fatality,of the Caltrans Safety Manual, discusses and describes accident committeeinvestigations.Report to the Division of Construction accidents with no injuries, but with a highpotential for being fatal or disabling. These types of accidents include the following: Falsework or guying system failures

Overturned cranes

High-voltage contacts

2-105Specific SafePractices

2-106Accident Reportsand Investigations


2-1.8 Safety

Trench excavation or shoring failures

Gas or fuel line fires or explosions

Hazardous utilities breaks

Collisions with structures under construction or with their supporting falseworkthat cause displacement of a major member

For all accidents occurring in construction zones, the resident engineer should takesufficient photographs or videotapes to document the conditions that existed at thetime of the accident, including all signing and traffic control features that may havebeen in effect at the time of the accident. Depending on district policy and the natureand severity of the accident, additional documentation may be required. For additionalinformation on accident investigation and documentation, consult the constructionsafety coordinator.

2-107 Safety Precautions for the Public in Construction Area

caltrans construction manualdot.ca.gov/hq/construc/manual2001/cmaug2009withbookmarks.pdfa district...

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