Chapter 3: General Provisions, Section 5: Control of Work

Section 5, “Control of Work,” of the Standard Specifications, details how contract work will be controlled. The proper performance of the contractor and resident engineer assure control.

Verify that the contractor provides quality control over the work. During the manufacture of products and the execution of the project, the contractor performs the actions necessary to assess and adjust production and construction processes to control the level of quality produced in the end product or facility, and to fulfill specified requirements.

The California Department of Transportation (Caltrans) performs activities required for acceptance. The resident engineer and authorized representatives sample, test, and inspect the work to determine if the quality characteristics meet the contract requirements within the tolerances specified. When tolerances are not specified, use judgment to determine if any deviation is allowed consistent with the trades involved.

For additional information on quality control and Caltrans acceptance, refer to Section 3-607, “Quality Assurance,” of this manual.

Section 5-1.01, “General,” of the Standard Specifications, requires the contractor to provide safe and unrestricted access to the work for inspection by Caltrans. The resident engineer must take full advantage of this access.

The Department of Industrial Relations, Division of Occupational Safety and Health (Cal/OSHA) establishes standards for safe access to work, and Caltrans enforces them under Section 7-1.02K(6), “Occupational Safety and Health Standards,” of the Standard Specifications.

The cost of providing access for inspection of bid item work is included in the bid item price. If the contractor is required to construct facilities specifically to provide access for inspection of extra work, the cost may be included on change order bills. These costs, however, are limited to only the increased cost of providing inspection for the extra work and may not include the access costs that fall under the original item work.

Never operate the contractor’s equipment or allow any Caltrans representatives to operate the contractor’s equipment. During quality assurance inspections, only the contractor’s own equipment operators must operate the equipment.

3-502 Engineer’s Authority

The term “engineer” refers to the resident engineer and authorized representatives. The engineer is responsible for contract administration and is authorized to make the final decision on questions regarding the contract. The engineer must act in accordance with Caltrans policies and procedures and, in the absence of written policy or procedures, must exercise judgment within their ability and span of control as established by the district.

The engineer will focus on the details and methods of performing the work only if one or more of the following conditions exist:

Otherwise, the details and methods must be left to the contractor’s discretion.

Resident engineers must report their assignments to all interested parties by submitting Form CEM-0101, “Resident Engineer’s Report of Assignment.” Submit this form as early as possible.

The resident engineer is the lead for contact and correspondence with the contractor.

3-503 Protests

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

3-504 Partnering

Partnering allows all parties and stakeholders to establish and maintain cooperative communication channels and mutually resolve conflicts at the lowest responsible level. Become familiar with and follow Section 5-1.09, “Partnering,” of the Standard Specifications and the Caltrans publication, Field Guide to Partnering on Caltrans Construction Projects. This publication is available under Resources/Manuals at:

For additional guidance, contact the partnering coordinator in either the district or the Division of Construction. The names and contact numbers for these coordinators are available under Contacts on the Caltrans link at:

Supplemental funds to cover the anticipated partnering costs are included in projects with an engineer’s estimate of more than $1 million. To pay for Caltrans’ share of the partnering costs, execute a change order using the change order code AUZZ.

Use of a partnering facilitator is recommended on all projects. Use of a partnering facilitator is required, however, on all projects greater than $10 million and longer than 100 working days. A list of partnering facilitators is available under Contacts at:

When selecting a partnering facilitator:

3-505 Order of Work

If the plans or special provisions do not contain a specified sequence of operations, contractors may select their own schedules, provided the planned order of work meets any dates specified for completion and openings of portions of the work to traffic.

Occasionally, the contractor may submit a proposed modification of the specified order of work that will be more satisfactory for the work’s operation. If, in the resident engineer’s opinion, Caltrans will benefit as much or more by adopting the proposed modification as it would under the specified plan, the contractor’s plan may be implemented with a change order requested by the contractor. Caltrans must receive a monetary adjustment if the contractor has any reduced costs from the change. Also, a contractor may benefit if a change is proposed and accepted under a change order for a value engineering change proposal. Refer to Section 3-405, “Value Engineering,” of this manual and Section 4-1.07, “Value Engineering,” of the Standard Specifications.

The resident engineer must recheck the specified plan of operations during the work’s progress. Changes in circumstances may necessitate altering the planned sequence and schedule. Construction in stages is often a part of the contract on major projects, and revised progress schedules may be required as the stages of work develop.

3-506 Assignment

If the contractor submits any of the following contractor action request forms to the resident engineer, the contractor must also include a completed and signed Form STD 204, “Payee Data Record,” as part of the submittal in accordance with Section 5-1.12, “Assignment,” of the Standard Specifications. Submittal of scanned or faxed copies is acceptable.

Carefully review and verify the information in contractor action request submittals. Adhere to the procedures listed in the instructions of Forms CEM-1202A, CEM-1202B, and CEM-1203. For a contractor business name change submitted under Form CEM-1202A, refer to Section 3-704A, “Responsibilities,” of this manual for information regarding validation of insurance bonds and contract bonds.

3-507 Subcontracting

Contractors can use subcontractors on their projects provided the subcontractor and the prime contractor comply with Section 5-1.13, “Subcontracting,” of the Standard Specifications, and with state and federal laws and regulations. The contractor is required to submit Form CEM‑1201, “Subcontracting Request,” before subcontracted work starts.

When projects use subcontractors, the resident engineer must focus primarily on:

For more information on these subcontracting requirements, refer to Section 8-3, “Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises,” of this manual.

3-507A Amount of Work Subcontracted

Section 5-1.13, “Subcontracting,” of the Standard Specifications, requires that the prime contractor perform at least 30 percent of work using the contractor’s own organization unless a different percentage is specified in the special provisions. This requirement does not apply if the work is for a building-construction, non-federal-aid contract.

The percentage of work subcontracted is calculated for first-tier subcontractors only. A contractor’s organization includes only workers employed and paid directly by the prime contractor and only equipment owned or rented by the prime contractor, with or without operators.

Discuss unusual subcontracting situations with the construction engineer. If the situation indicates that additional information is necessary but only available through an inspection of the contractor’s records, request a copy of the subcontract agreement from the prime contractor. If a review of the subcontract agreement does not help resolve the situation, discuss the possibility of an audit with Division of Construction’s field coordinator.

3-507B Calculating the Amount of Work Subcontracted

The contractor must submit Form CEM-1201, “Subcontracting Request,” stating what percentage and dollar amount of an item will be subcontracted. The resident engineer must verify the amount. Any rational method of estimating the amount will be acceptable; for example:

When an entire item is subcontracted, use the prime contractor’s item bid price as the dollar amount for the form. When a portion of an item is subcontracted, apply the percentage of the bid item subcontracted to the prime contractor’s item bid price as the dollar amount for the form.

To assure that the contractor is not requesting approval for a subcontractor other than those listed in the bid documents, the resident engineer must check the DBE, DVBE, and small business commitment listings and the list of subcontractors. If a discrepancy is noted, advise the contractor and ask for an explanation. The resident engineer must not approve the subcontracting request until the contractor provides an acceptable explanation.

3-507C The Subletting and Subcontracting Fair Practices Act

3-507C (1) Subcontracting in the Bidding Process

Sections 4100 through 4114 of the Public Contract Code are called the “Subletting and Subcontracting Fair Practices Act” (Fair Practices Act) and apply to Caltrans construction projects. It is designed to prevent prime contractors from “bid shopping” for subcontractors after bids are opened and the low bidder is known.

The Fair Practices Act requires that subcontracted work in excess of one-half of 1 percent, or 0.005 percent, of the contractor’s total bid amount or $10,000, whichever is greater, must be listed in the prime contractor’s bid proposal. When a prime contractor fails to list a subcontractor in its bid, the law requires that the prime contractor must perform the work with its own forces. The prime contractor may not add an unlisted subcontractor by requesting a substitution. Exceptions to this requirement are discussed in Public Contract Code 4107 (c) and Public Contract Code 4109.

For building projects such as a maintenance station or other off-highway project, all subcontracted work in excess of one-half of 1 percent of the contractor’s total bid amount must be listed.

Verify that the listed subcontractor performs the work or that the contractor complies with the substitution procedures in the Fair Practices Act.

3-507C (2) Substitution Process

To replace a subcontractor listed in the bid documents, the prime contractor must submit a written request based on the reasons identified in Public Contract Code Section 4107, and include the public works contractor registration number of each substituted subcontractor. To assure this requirement is met, verify that the subcontractor’s registration number is valid at the California Department of Industrial Relations’ Public Works Contractor Registration Search website:

When the prime contractor requests a substitution, proceed as follows:

  1. Send the request to the district Construction office for review.
  2. The district Construction office must send a written notice to the listed subcontractor by certified mail, overnight mail, or fax, informing the listed subcontractor of the prime contractor’s request to substitute and the reasons for the request. The notice must provide the subcontractor 5 business days to submit a written objection to the substitution.
  3. If the listed subcontractor does not file a timely written objection, the resident engineer must approve the substitution. The resident engineer must approve the new subcontractor following the guidelines under Section 3-507D, “Procedure for Approval or Acknowledgment of Subcontractors,” of this manual. If the removed subcontractor’s firm was a listed DBE, DVBE, or small business, refer to Sections 8-3, “Disadvantaged Business Enterprises," and 8-4, "Disabled Veteran Business Enterprises,” of this manual for additional steps required in the process.
  4. If the listed subcontractor submits timely written objections to the substitution, the district must conduct a hearing. Send written notice of the hearing to the prime contractor and the subcontractor a minimum of 5 business days before the hearing is conducted. The written notice should include a request that any substantiating documents be provided before the hearing.
3-507C (3) Hearing Process for Substitutions

The intent of the substitution hearing is to give both parties the opportunity to explain to the hearing officer why a substitution should or should not occur. Substitution hearings are conducted informally. Normally, the hearing officer is the district Construction deputy director.

3-507C (3a) Before the Substitution Hearing
3-507C (3b) During the Substitution Hearing
3-507C (3c) After the Substitution Hearing
3-507C (4) Violations of the Subletting and Subcontracting Fair Practices Act

The following presents typical examples of some of the more common violations of the Subletting and Subcontracting Fair Practices Act by a prime contractor:

If these or any other violations occur, proceed as follows:

You are in apparent violation of Sections 4100 through 4114, “Subletting and Subcontracting Fair Practices Act,” of the Public Contract Code, for work being performed on item(s) ____ of Caltrans Contract No. ____. You will be assessed a penalty of $____ as provided in Section 4110 of the Public Contract Code.

If you wish to dispute this apparent violation or the assessed penalty, you must request a hearing with Caltrans. You will be given 5 days notice of the time and place of the scheduled hearing in accordance with Section 4110 of the Public Contract Code.

If you do not request a hearing, the penalty will be assessed as a permanent deduction on the next progress pay estimate.

Occasionally, the contractor will list subcontractors that are not required to be listed. In this case, changes require only an updated subcontracting request to identify the new subcontractor. For the process, refer to Section 3-507D, “Procedure for Approval or Acknowledgment of Subcontractors,” of this manual. If the subcontractor is a DBE, DVBE, or small business, refer to Section 8-3, “Disadvantaged Business Enterprises," or Section 8-4, "Disabled Veteran Business Enterprises,” of this manual for additional requirements.

3-507C (5) Hearing Process for Substitution Violations

Section 4110 of Public Contract Code requires Caltrans to conduct a hearing for violations of the “Subletting and Subcontracting Fair Practices Act.” The intent of the violation hearing is to determine whether a penalty should be assessed against the prime contractor for the violations. Each party is entitled to present its arguments on the alleged violations. The hearing should follow this process.

3-507C (5a) Before the Violation Hearing
3-507C (5b) During the Violation Hearing
3-507C (5c) After the Violation Hearing

3-507D Procedure for Approval or Acknowledgment of Subcontractors

The resident engineer has the responsibility of approving subcontractors on federally funded projects and acknowledging subcontractors on state-financed projects. In general, approving or acknowledging subcontractors is necessary for only first-tier subcontractors. The contractor must submit Form CEM-1201, “Subcontracting Request,” to request subcontracting of contract work. When the contract is awarded, the contractor receives a blank Form CEM-1201, “Subcontracting Request.” Provide additional blank forms to the contractor when necessary. The last page of the form contains instructions for completing the form.

Upon receipt of Form CEM-1201, and before approving the contractor’s request, do the following:

Process the requests in the order of the request number, because lines 2 and 6 contain running balances based on the percentage of work required. Follow the form’s instructions to complete the rest of the form.

3-508 Representative

As required by Section 5-1.16, “Representative,” of the Standard Specifications, contractors, including those in a joint venture, must name in writing one authorized representative and provide the representative’s contact information. Resident engineers must insist that contractors meet this requirement promptly. If the contractor’s representatives from a joint venture disagree with each other, the resident engineer can contractually refuse to work with more than one representative.

3-509 Character of Workers —Workplace Violence and Harassment Prevention

Caltrans has a zero-tolerance policy for violence, threats, harassment, intimidation, and abusive conduct in the work environment. Refer to Director’s Policy DP-18, “Workplace Violence Prevention Policy” and Deputy Directive DD-49, “Sexual Harassment Prevention.” These policies also apply to any subcontractor, supplier, manufacturer, fabricator, producer, or employee of a contractor in their work with Caltrans personnel, the public, and others on the project and related work locations. Caltrans may discharge a worker from the project for engaging in any of these acts. Refer to Section 5-1.18, “Workplace Violence and Harassment Prevention,” of the Standard Specifications for more information.

Consult with the Construction engineer concerning acts or conduct involving workplace violence or harassment before removing an individual from the project. The Construction engineer may consult with the deputy district director of Administration, Legal, and deputy district director of Construction when appropriate. When a formal investigation is initiated through the Office of Workplace Violence Prevention or Discrimination Complaint Investigation Unit, the Construction engineer assures that manager and supervisor roles and responsibilities are followed in compliance with existing policies. Timeframes associated with formal investigations of acts, or conduct involving workplace violence or harassment, are generally outside Construction’s influence; however, district, region, or headquarters Construction management may need to be kept informed of the formal investigation’s resolution status. Certain issues may require an interim removal of the individual from the project with a possibility future return, whereas, other issues will require permanent removal without further reconsideration. If possible, discuss the decision to remove a worker with the worker’s supervisor and district management before or as soon as possible after issuing the directive. When providing written notification to the contractor, be sure to distinguish the removal type.

If acts of violence appear to have resulted in an assault, immediately contact the California Highway Patrol or other jurisdictional law enforcement agency for their response.

If necessary, arrange for legal support in resolving disputes related to removal of individuals from the project.

If workplace violence or harassment has occurred, Caltrans may consider termination of the contract. Involve Legal support, district management, and the Construction field coordinator early in such discussions.

If a contractor notifies Caltrans of workplace violence or harassment concerns related to a Caltrans employee or Caltrans’ consultant, assure that Caltrans’ policies and procedures are followed in assessment and resolution of the issue. The Construction engineer will consult with the deputy district director of Administration, Legal, and deputy district director of Construction, before reassignment of a Caltrans employee as an interim measure.

None of these procedures affect the engineer’s authority to direct the immediate removal of a worker from the project. A worker who demonstrates incompetence or acts in a disorderly or improper manner that has potential to harm others, themselves, or property, may be removed immediately from the project site. Refer to Section 5-1.17, “Character of Workers,” of the Standard Specifications for more information. Promptly notify the contractor of a determination to remove a worker from the project. If a worker refuses to leave the project site, contact the California Highway Patrol or other jurisdictional local law enforcement agency in the project area. Certain instances may require the construction activity be suspended because of the worker‘s removal. If work is suspended, assure the contractor’s work is left in a safe and secure manner.

3-510 Coordination with Other Entities

Section 5-1.20, “Coordination with Other Entities,” of the Standard Specifications requires the contractor to coordinate with other contractors or entities at or near the job site and materials sources to avoid delays.

3-510A Permits, Licenses, Agreements, and Certifications

The contractor must possess all required permits, licenses, agreements, and certifications (PLACs) before starting the work covered by them. Verify that the contractor maintains a copy of the required PLACs at the job site.

Unless the PLACs needed to enable the contractor to use a possible local material source or disposal site are included in the information handout, the contractor must obtain them at no cost to Caltrans even if the agreement made between Caltrans and the property owner is included in the information handout.

3-510B Contractor-Property Owner Agreement

If the contractor is proposing to use a noncommercial material source or disposal site, verify that the contractor has met the requirements of Sections 5-1.20A, “General,” 5‑1.20B, “Permits, Licenses, Agreements, and Certifications,” and 6-1.03, “Local Materials,” of the Standard Specifications.

Arrange a joint meeting with the contractor and agencies that have jurisdiction over the use of the site to discuss the work and the required documentation to be submitted. This documentation may include permits, environmental studies, grading plans, a Stormwater Pollution Prevention Plan, local material plan, and testing imported soil from noncommercial sources, for example, for lead and pH levels.

The contractor may use the sample agreement in this section or Forms CEM-1904 , “Agreement Between a Contractor Working on State Facilities and a Real Property Owner for Disposing Construction-Related Material on Commercial Zoned Property Owner's Property”, or CEM-1906, “Agreement Between a Contractor Working on State Facilities and a Real Property Owner for Disposing of Construction-Related Material Suitable for Use on Residential Zoned Property.”

Review Section 7-1.02K(6)(j)(iii), "Unregulated Earth Material Containing Lead," of the Standard Specifications and consult with the district aerially deposited lead coordinator concerning lead level of the existing soils onsite, at:

After the contractor and property owner enter into an agreement and obtain all required documentation, the contractor must submit these for approval. After review and verification of the adequacy of the contractor’s submittals, provide written approval to the contractor to use the site. Refer to Examples 3-5.3, “Sample Approval to Acquire Material From Property Owner’s Property Letter,” and 3-5.4, “Sample Approval for Disposal of Material Outside the Highway Right-of-Way Letter,” for approval letter samples.

If Caltrans has already made arrangements designating a disposal or borrow site and entered into an agreement with a private property owner for disposal, removal, or excavation of material, the designated sites may be made available for contractor use as discussed in Section 7-103H, “Disposal, Staging, and Borrow Sites,” of this manual. In accordance with Section 5-1.20B, “Permits, Licenses, Agreements, and Certifications,” of the Standard Specifications, the contractor must comply with the provisions of the Caltrans-owner agreement if the contractor uses the site or the contractor may make a new agreement with the property owner.

When the contractor makes a new agreement with the property owner that revises the terms of the Caltrans-owner agreements, the new agreement supersedes the Caltrans-owner agreement. Review the new agreement to verify that Caltrans is relieved of its obligations under the terms of the original agreement.

Under some agreements, Caltrans will directly pay the owner of the material or disposal site. Payment must be made to the owner and royalties deducted from payments to the contractor. In the case of county-consummated agreements, royalties usually are deducted in a similar way.

Before contract acceptance, Section 5-1.20B(4), “Contractor-Property Owner Agreement,” of the Standard Specifications requires the contractor to submit a document signed by the owner of the site indicating that the contractor has satisfactorily complied with the provisions of the agreement. If the owner is not satisfied, determine what additional work is necessary before recommending acceptance of the contract and advise the contractor accordingly. Do not delay recommending acceptance of the contract if you determine that the contractor has complied with the terms of the agreement.

An agreement between the contractor and a property owner is not required for procuring local material from an established commercial source.

For the disposal of waste material in a commercial landfill or treatment facility, verify the types of wastes accepted and the permit status of the landfill or treatment facility at the California Water Resources Control Board, CalRecycle, and Department of Toxic Substances Control websites:

Alternatively, contact the facility to obtain a copy of the facility’s permit.

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

MATERIAL ACQUISITION AGREEMENT

Contract No.: ____________________________
County/Route/Mile post: _____________________________

The contractor, ______________________________________________, (Contractor) has entered into Contract No. _______________ (Contract), with the California Department of Transportation (Caltrans), for work that is described as follows: ___________________________________________________________________________________________________________________________________________________________ (Project).

The owner, _________________________________________________, (Owner) of the real property at __________________________________________________________________________________ (for example, address, location, county and parcel number(s), project station(s), offsets, and other property location information) agrees to allow the Contractor to remove from the Owner’s property approximately _____ cubic yards of ______________________, such as soil, aggregate, asphalt grindings, or other material, for use on the Project.

Owner agrees that the Contractor has assumed ownership of the material once it is removed from the property.

Contractor and Owner agree to abide by the requirements of Section 5-1.20, “Coordination with Other Entities,” of the Standard Specifications. The Standard Specifications are available at:

Contractor and Owner agree to obtain and furnish to the Caltrans engineer, all necessary permits, licenses, agreements, and clearances before removing material from the property.

By submission of this agreement to the Caltrans engineer, Contractor and Owner are acknowledging that they have been informed, or otherwise apprised, of all restrictions, laws and permit requirements associated with the transporting and removal of the material from the property and have agreed to abide by the same. These laws include but are not limited to:

For the disposal of materials on a property owner’s property, use the appropriate of Forms CEM-1904, “Agreement Between a Contractor Working on State Facilities and a Real Property Owner for Disposing Construction Related Material on Commercial Zoned Property Owner’s Property,” or CEM-1906, “Agreement Between a Contractor Working on State Facilities and a Real Property Owner for Disposing Construction-Related Material Suitable for Use on Residential Zoned Property.”
Other actions may require signatures from both the contractor and a property owner, or a contractor and Caltrans, such as acquiring material from a property owner’s property or approval to dispose of material outside the highway right-of-way. See Examples 3-5.2 and 3-5.3 in this manual.

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

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

Pursuant to Section 5-1.20B(4), "Contractor-Property Owner Agreement,” of the Standard Specifications, Owner acknowledges Contractor will submit this agreement to Caltrans as evidence that the Owner has authorized the use of the property as a material source for the project. Owner acknowledges that the Contractor is not authorized to make any representations or agreements on behalf of Caltrans. Contractor and Owner agree that Caltrans is released from any and all obligations to Owner made by Contractor under this agreement and Caltrans is released from any and all obligations to Owner under any previous agreement made between Caltrans and Owner.

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

Date: _______________ __________________________________________________________

(Signature of Property Owner)

Date: _______________ __________________________________________________________

(Signature of Contractor’s Authorized Representative)

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY GAVIN NEWSOM, Governor

DEPARTMENT OF TRANSPORTATION

DIVISION OF CONSTRUCTION

[Resident Engineer’s Address]

[PHONE (Area Code) xxx-xxxx]

[FAX (Area Code) xxx-xxxx]

Date: [ Month dd, yyyy ]

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

Dear [contractor name]:

In accordance with the provisions of Sections 5-1.20, “Coordination With Other Entities,” and 6-1.03, “Local Materials,” of the Standard Specifications, you are authorized to remove [insert number] cubic yards of [type of material] (material) from [property owner name]’s property located at [property address]. According to the submitted agreement, [contractor name] and [property owner] have represented all necessary permits, licenses, agreements and certifications were obtained and submitted before the removal of the material and have released the Department of Transportation (Caltrans) from any obligations resulting from its removal.

Caltrans does not warrant or guarantee that the material is of any particular type or is suitable for any particular purpose.

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

[Name of resident engineer]

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

Example 3-5.3. Sample Approval for Disposal of Material Outside the Highway Right-of-Way Letter

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY Gavin Newsom, Governor

DEPARTMENT OF TRANSPORTATION

DIVISION OF CONSTRUCTION

[Resident Engineer’s Address]

[PHONE (Area Code) xxx-xxxx]

[FAX (Area Code) xxx-xxxx]

Date: [Month dd, yyyy]

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

Dear [contractor name]:

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

Caltrans does not warrant or guarantee that the material is of any particular type or is suitable for any particular purpose.

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

[Name of resident engineer]

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

3-511 Submittals

The contract may require that plans, working drawings, or samples be submitted to the engineer for authorization. Submittals are considered either “action submittals” or “informational submittals.”

Action submittals consist of written and graphic information and samples that require the engineer’s response. The engineer reviews the submittals, makes corrections, or sends the submittals back to the contractor for correction.

Informational submittals consist of written information required to be provided before the affected work can start, but they do not require a response from the engineer.

Caltrans has a procedure for authorizing plan submittals for facilities that were designed by Structure Design. Resident engineers should contact Structure Design regarding falsework, demolition, and shoring for the procedure when structures were designed by Structure Design.

3-512 Construction Surveys

Section 5-1.24, “Construction Surveys,” of the Standard Specifications requires Caltrans to place stakes and marks necessary to permit satisfactory completion of the work. For information on construction surveys, refer to Chapter 12, “Construction Surveys,” of the Caltrans Surveys Manual.

The district Surveys Unit will set the construction marks and stakes when the area is ready and will start setting marks and stakes within 2 business days of receiving the request for construction stakes.

Contractors have the option of constructing projects with automated machine guidance (AMG) using digital terrain model (DTM) and digital design model (DDM) files provided by Caltrans. Resident engineers should notify district Surveys and the project engineer when a contractor elects to use AMG. Resident engineers need to verify with project engineers that changes to terrain affecting earthwork quantities such as soil erosion or recent improvements are reflected in the current electronic design files.

For projects with more than 5,000 cubic yards of earthwork, the following specifications are included in the contract:

3-512A Before Work Begins

Take the following steps before work begins: