5 CONTROL OF WORK
5-1.01 General
Section 5 includes specifications related to the Contract parties' relations and Contract acceptance . Furnish the resources except Department -furnished materials required to complete the work as described in the Contract. Provide QC . Work is subject to the Department's inspection, sampling, and testing. The Department 's inspection, sampling, and testing do not relieve you of your responsibility to provide QC. Ensure the Department 's safe and unrestricted access to the work. Furnish facilities necessary for the Department's inspection . Where th e means and methods to complete the work are not described in the Contract, choose the means and methods to complete the work. Where the Contract describes more than 1 construction method or more than 1 type of material or equipment , the Department does not assure that each construction method or type of material or equipment can be used successfully throughout all or any part of the project. You are responsible to use the alternative or alternatives that will accomplish the work under the conditions encountered. Failure to comply with any Contract part is a waiver of your right to an adjustment of time and payment related to that part. Use contract administration f orms available at the Department's website .
5-1.02 Contract Components
A component in one Contract part applies as if appearing in each. The parts are complementary and describe and provide for a complete work. If a discrepancy exists:
1.Governing ranking of Contract parts in descending order is: 1.1. Special provisions 1.2. Project plans 1.3. Standard specifications 1.4. Revised standard plans 1.5. Standard plans 1.6. Supplemental proje ct information
2.Written numbers and notes on a drawing govern over graphics
3.Detail drawing governs over a general drawing
4.Specific specification governs over a general specification
5.Specification in a section governs over a specification referen ced by that section If a discrepancy is found or confusion arises, submit an RFI .
5-1.03 Engineer'S Authority
The Engineer makes the final decision on questions regarding the Contract , including:
1.Work quality and acceptability
2.Manner of performance of the work
3.Drawing and specification interpretation
4.Contract fulfillment
5.Time and progress rate
6.Measurement and payment The Engineer has the authority to enforce or fulfi ll an order that you fail to fulfill promptly. Failure to enforce a Contract part does not waive enforcement of any Contract provision. SECTION 5 CONTROL OF WORK The Engineer may reject work that does not comply with the Contract at any time, including after a payment has been made.
5-1.04 5-1.05 Reserved
5-1.06 Protests
You may protest an Engineer's decision by submitting an RFI.
5-1.07 5-1.08 Reserved
5-1.09 Partnering
5-1.09A General
The Department strives to work cooperatively with all contractors; partnering is our way of doing business. The Department encourages project partnering among the project team made up of significant contributors from the Department and the Contractor and their invited stakeholders. For a contract with a total bid over $1 million , professionally facilitated project partnering is encouraged. For a contract with a total bid over $10 million and 100 or more working days, profe ssionally facilitated project partnering is required. In implementing project partnering, you and the Engineer manage the Contract by:
1.Using early and regular communication with involved parties
2.Establishing and maintaining a relationship of shared t rust, equity, and commitment
3.Identifying, quantifying, and supporting the attainment of mutual goals
4.Developing strategies for using risk management concepts
5.Implementing timely communication and decision making
6.Resolving potential problems at the lowest possible level to avoid negative impacts
7.Holding periodic partnering meetings and workshops as appropriate to maintain partnering relationships and benefits throughout the life of the project
8.Establishing periodic joint evaluat ions of the partnering process and attainment of mutual goals
9.Evaluating potential VECPs with stakeholders Partnering does not void any Contract part. The Department's Field Guide to Partnering on Caltrans Construction Projects is available to the proj ect team as a reference. This guide provides structure, context, and clarity to the partnering process requirements. For the guide, go to the Department's Division of Construction website . In implementing project partnering, the project team must:
1.Creat e a partnering charter that includes: 1.1. Mutual goals, including core project goals and may also include project -specific goals and mutually supported individual goals, including VECPs . 1.2. Partnering maintenance and close -out plan . 1.3. Dispute resolution plan that includes a dispute resolution ladder and may also include use of facilitated dispute -resolution sessions . 1.4. Team commitment statement and signatures .
2.Participate in monthly partnering -evaluation surveys to measure progress on mut ual goals and may also measure short -term key issues as they arise.
3.Evaluate the partnering facilitator on the Partnering Facilitator Evaluation forms. The Engineer provides the evaluation forms to the project team and collects the results. The Departme nt makes evaluation results available upon your request. Facilitator evaluations must be completed at the end of: 3.1. Initial partnering workshop . 3.2. Project close -out partnering workshop .
4.Conduct a project close -out partnering workshop.
5.Document lessons learned before Contract acceptance. SECTION 5 CONTROL OF WORK
5-1.09B Partnering Meeting s
5-1.09B(1) General
Reserved
5-1.09B(2) Partnering Facilitator, Workshops, and Meetings
The Engineer sends you a written invitation to enter into a partnering relationship after Con tract approval. Respond within 15 days to accept the invitation and request the initial partnering workshop. After the Engineer receives the request, you and the Engineer cooperatively:
1.Select a partnering facilitator that offers the service of a monthl y partnering -evaluation survey with a 5-point rating and agrees to follow the Department's Partnering Facilitator Standards and Expectations available at the Department's Division of Construction website.
2.Determine the initial workshop date, duration, a nd site location.
3.Discuss when, where, and how the project close -out partnering workshop will be held.
4.Agree to other workshop administrative details. During the initial partnering workshop, determine the schedule for follow -up partnering team meeti ngs. Monthly follow -up partnering team meetings are encouraged through Contract acceptance. Quarterly follow -up partnering team meetings are required if monthly team meetings are not held. Additional partnering workshops may be held outside the scheduled p artnering team meetings as determined by you and the Engineer.
5-1.09B(3) Facilitated Dispute Resolution
The Department encourages the project team to exhaust the use of partnering meetings in dispute resolution before engaging an objective third party. For certain disputes a facilitated dispute resolution session may be appropriate and effective in clarifying issues and resolving all or part of a dispute before referring the dispute to a DRA or DRB. For projects with a DRB, an additional 20 days can be ad ded before referring the dispute to a DRB traditional dispute meeting in accordance with section 5 -1.43E(3)(d). This additional time affords the project team time to plan and hold the facilitated dispute resolution session. To allow this additional referra l time, the project team must document its agreement and intention in the partnering charter as part of the dispute resolution plan.
5-1.09C Training in Partnering Skills Development
For a contract with a total bid over $10 million and 100 or more working days , training in partnering skills development is required. You and the Engineer cooperatively schedule the training session and select a professional trainer, training site, and 1 t o 4 topics from the following list to be covered in the training:
1.Active listening 12. Ethics
2.Building teams 13. Facilitation skills
3.Change management 14. Leadership
4.Communication 15. Partnering process and concepts
5.Conflict resolution 16. Project management
6.Cultural diversity 17. Project organization
7.Dealing with difficult people 18. Problem solving
8.Decision making 19. Running effective meetings
9.Effective escalation ladders 20. Time management
10.Emotional intelligence 21. Win-win negotiation
11.Empathy Before the initial partnering workshop, the trainer conducts a 1 -day training session in partnering skills development for the Contractor's and the Engineer's representatives. This training session must be a separate session from the initial partnering workshop and must be conducted locally. The training session must be consistent with the partnering principles under the Department's Field Guide to Partnering on Caltrans Construction Projects . SECTION 5 CONTROL OF WORK Send field supervisory personnel to the training session. One of these must be your assigned representative specified in section 5 -1.16.
5-1.09D Payment
The Department pays for:
1.1/2 of partnering workshops and sessions based on facilitator and workshop site costs
2.1/2 of the monthly service cost for partnering -evaluation surveys
3.Cost of the trainer and training site for partnering skills development The Engineer determines the costs based on invoice prices minus any available or offered discounts . The Department does not pay markups on these costs. The Department does not pay for your employees' wages, travel expenses, or other costs associated with
1.attending the partnering workshops and sessions, (2) completing monthly partnering -evaluation surveys , or (3) attending training in partnering skills development.
5-1.10 5-1.11 Reserved
5-1.12 Assignment
The performance of the Contract or any Contract part may be assigned only with prior written consent from the Department. To request consent, submit a Contractor Action Request -Assignment of Contract Performance form. The Department does not consent to any requested assignment that would relieve you or your surety of the responsibility to complete the work or any part of the wor k. If you assign the right to receive Contract payments, the Department accepts the assignment upon the Engineer's receipt of a Contractor Action Request -Assignment of Contract Monies, Assignee Change of Name/Address form . Assigned payments remain subjec t to deductions and withholds described in the Contract. The Department may use withheld payments for work completion whether the payments are assigned or not.
5-1.13 Subcontracting
5-1.13A General
No subcontract releases you from the Contract or relieve s you of your responsibility for a subcontractor's work . Before subcontracted work starts, submit a Subcontracting Request form. Do not use a debarred contractor. For a list of debarred contractors, go to the Department of Industrial Relations' website . If you violate Pub Cont Code § 4100 et seq., the Department may exercise the remedies provided in Pub Cont Code § 4110. The Department may refer the violation to the Contractors State License Board as provided under Pub Cont Code § 411 1. Except for a building -construction non -federal -aid contract, perform work equaling at least 30 percent of the value of the original total bid with your employees and with equipment you own or rent, with or without operators. Each subcontract must comply with the Contract. The Department encourages you to include a dispute resolution process in each subcontract. Each subcontractor must have an active and valid:
1.State contractor license with a classification appropriate fo r the work to be performed (Bus & Prof Code § 7000 et seq.)
2.Public works contractor registration number with the Department of Industrial Relations Submit copies of subcontracts upon request. Upon req uest, immediately remove and do not again use a subcontractor who fails to satisfactorily prosecute the work. SECTION 5 CONTROL OF WORK
5-1.13B Disadvantaged Business Enterprises
5-1.13B(1) General
Use each DBE as listed on the DBE Commitment form unless you receive authorization for a substitution. Ensure that all subcontracts and agreements with DBEs to supply labor or materials are performed under 49 CFR 26. Maintain records, including:
1.Name and business address of each 1st -tier subcontractor
2.Name and business address of each DBE subcontractor, DBE vendor, and DBE trucking company, regardless of tier
3.Date of payment and total amount paid to each business If you are a DBE contractor, include the date of work performed by your own forces and the corresponding value of the work. Before the 15th day of each month for the previous month's work, submit:
1.Monthly DBE Trucking Verification form
2.Monthly DBE Payment form If a DBE is decertified before completing its work, the DBE must notify you in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify you in writing of the certification date. Submit t he notifications. Upon work completion, complete a Disadvantaged Business Enterprises (DBE) Certification Status Change form. Submit the form within 30 days of Contract acceptance. Upon work completion, complete a Final Report – Utilization of Disadvantage d Business Enterprises (DBE), First -Tier Subcontractors form. Submit it within 30 days of Contract acceptance. The Department withholds $10,000 until the form is submitted. The Department releases the withhold upon submission of the completed form.
5-1.13B(2) Disadvantaged Business Enterprises
Section 5 -1.13(B)(2) applies if a DBE goal is shown on the Notice to Bidders . DBEs must perform work or supply materials as listed on the DBE Commitment form. Do not terminate or substitute a listed DBE for convenien ce and perform the work with your own forces or those of an affiliate, a non -DBE firm, or another DBE firm or obtain materials from other sources without authorization from the Department. The Department authorizes a request to use other forces or sources of materials if it shows any of the following justifications:
1.Listed DBE fails or refuses to execute a written contract based on the plans and specifications for the project.
2.You stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet your bond requirements.
3.Work requires a contractor license and the listed DBE does not have a valid license under the Contractors License Law.
4.Listed DBE fails or refuses to perform the work or furnish the listed material s.
5.Listed DBE's work is unsatisfactory and not in compliance with the Contract.
6.Listed DBE is ineligible to work on the project because of suspension or debarment.
7.Listed DBE becomes bankrupt or insolvent.
8.Listed DBE voluntarily withdraws with written notice from the Contract.
9.Listed DBE is ineligible to receive credit for the type of work required.
10.Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.
11.Department determines other doc umented good cause under 49 CFR 26.53. SECTION 5 CONTROL OF WORK Notify the original DBE of your intent to use other forces or material sources and provide the reasons. Provide the DBE with 5 business days to respond to your notice and advise you and the Department of the reasons why the use of other forces or sources of materials should not occur. Your request to use other forces or material sources must include:
1.1 or more of the reasons listed in the preceding paragraph
2.Notices from you to the DBE regarding the requ est
3.Notices from the DBE to you regarding the request If the Department authorizes the termination or substitution of a listed DBE, make good faith efforts to find another DBE. The substitute DBE must (1) perform at least the same dollar amount of work as the original DBE under the Contract to the extent needed to meet the DBE goal and (2) be certified as a DBE with the most specific available NAICS or work code applicable to the type of work the DBE will perform on the Contract at the time of your requ est for substitution. Submit your documentation of good faith efforts within 7 days of your request for authorization of the substitution. The Department may authorize a 7 -day extension of this submittal period at your request. Refer to 49 CFR 26 app A for guidance regarding evaluation of good faith efforts to meet the DBE goal. Unless the Department authorizes a request to terminate or substitute a listed DBE, the Department does not pay for work unless it is performed or supplied by the DBE listed on the DBE Commitment form. You may be subject to other sanctions under 49 CFR 26.
5-1.13B(3) Use of Joint Checks
You may use a joint check between the Contractor or lower -tier subcontractor and a DBE subcontractor purchasing materials from a material supplier if you obtain prior approval from the Department for your proposed use of jo int checks upon submittal of a DBE Joint Check Agreement Request form. To use a joint check, the following conditions must be met:
1.All parties, including the Contractor, must a gree to the use of a joint check
2.Entity issuing the joint check acts solely to guarantee payment
3.DBE must release the check to the material supplier
4.Department must authorize the request before implementation
5.Any party to the agreement must pro vide requested documentation within 10 days of the Department's request for the documentation
6.Agreement to use a joint check must be short -term, not to exceed 1 year, allowing sufficient time needed to establish or increase a credit line with the materi al supplier A request for a joint check agreement may be initiated by any party. If a joint check is used, the DBE remains responsible for all elements of 49 CFR 26.55(c)(1). Failure to comply with section 5 -1.13B(3) disqualifies DBE participation and res ults in no credit and no payment to the Contractor for DBE participation. A joint che ck may not be used between the C ontractor or subcontractor and a DBE regular dealer, bulk material supplier, manufacturer, wholesaler, broker, trucker, packager, manufactu rer's representative , or other persons who arrange or expedite transactions.
5-1.13C Disabled Veteran Business Enterprises
Use each DVBE as shown on the Certified DVBE Summary form unless you receive authorization from the Department for a substitution. The substitute must be another DVBE, unless DVBEs are not available. The substitute must perform the work originally stated . Any authorization for a substitute is contingent upon the Department of Gener al Services' approval of the substitute. The requirement that DVBEs be certified by the bid opening date does not apply to DVBE substitutions after Contract award. The Department authorizes substitutions for any of the reasons provided in 2 CA Code of Regs § 1896.73. SECTION 5 CONTROL OF WORK Include in your substitution request:
1.Copy of the written notice issued to the DVBE with proof of delivery
2.Copy of the DVBE's response to the notice
3.Name and certification number of the listed DVBE and the proposed substitute If a DVBE substitute is not available, requests for substitutions of a listed DVBE must include:
1.Contact with the DVBE advocate from the Department and the Department of Veteran Affairs
2.Search results from the Department of General Services ' website of av ailable DVBEs
3.Communication with a DVBE community organization nearest the job site, if applicable
4.Documented communication with DVBEs describing the work to be performed, the percentage of the total bid, the corresponding dollar amount, and the resp onses to the communication The Department forwards your substitution request to the Department of General Services. The Department of General Services issues a notice of approval or denial. The Department provides you this notice. If you fail to use a lis ted DVBE without an authorized substitution request, the Department issues a penalty of up to 10 percent of the dollar amount of the work of the listed DVBE. Maintain records of subcontracts made with DVBEs. Include in the records:
1.Name and business add ress of each business
2.Total amount paid to each business For the purpose of determining compliance with Pub Cont Code § 10115 et seq.:
1.Upon work completion, complete and submit Final Report -Utilization of Disabled Veteran Business Enterprises (DVB E) State Funded Projects Only form.
2.Upon reasonable notice and during normal business hours, permit access to its premises for the purposes of: 2.1. Interviewing employees 2.2. Inspecting and copying books, records, accounts , and other material that may be relevant to a matter under investigation
5-1.13D Non –Small Businesses
Use each subcontractor as shown on the Certified Small Business Listing for the Non -Small Business Preference form unless you receive authorization for a substitution . The requirement that small businesses be certified by the bid opening date does not apply to small business substitutions after contract award. Maintain records of subcontracts made with small business subcontractors and records of materials purchased from certified small business suppliers. Include in the records:
1.Name and business address of each business
2.Total amount paid to each business For the purpose of determining compliance with 2 CA Code of Regs § 1896 et seq.:
1.Provide the Department relevant information requested .
2.Upon reasonable notice and during normal business hours, permit access to its premises for the purposes of: 2.1. Interviewing employ ees. 2.2. Inspecting and copying books, records, accounts and other material that may be relevant to a matter under investigation .
5-1.13E Prompt Payment
Reserved SECTION 5 CONTROL OF WORK
5-1.13F 5-1.13J Reserved
5-1.14 Reserved
5-1.15 Safety Representative
Reserved
5-1.16 Representative
Before starting work, assign a representative to:
1.Receive the Engineer's orders
2.Prosecute the Engineer's orders
3.Supervise the workers
4.Coordinate the subcontractors' work
5.Coordinate and manage p roject safety work The representative must be present at the job site while work is in progress. Submit the representative's name and telephone number so the representative can be easily contacted to perform emergency work while work is not in progress.
5-1.17 Character of Workers
If a worker appears to the Engineer to be incompetent or acts disorderly or improperly, discharge the worker immediately upon request. Do not employ that worker again on the work.
5-1.18 Workplace Violence and Harassment Prevention
You and the Engineer are responsible to maintain a work environment that protects employees and members of the public from acts of violence, threats, harassment, intimidation, or abusive conduct in perfo rmance of the work. There will be zero -tolerance for such acts or conduct. The following are used in determining if any such acts or conduct have occurred:
1.An act of violence is an attempt or actual use of force with the intent to threaten, harass, inti midate, commit a violent injury, or damage property.
2.A threat is a verbal, written, or physical statement intended to intimidate by expressing intent to harass, injure, or damage property.
3.Harassment is severe or pervasive use of unwelcome words, act ions, or physical contact. Verbal or written harassment may include disparaging or derogatory comments or slurs, or unreasonable or excessive criticism.
4.Intimidation is an attempt to frighten, alarm, or scare a person into, or deter them from, some acti on.
5.Abusive conduct is a behavior of an individual in the workplace, with malice, that a reasonable person would find hostile, offensive, or unrelated to performance of the work. The Department will make the final determination as to whether an individ ual's acts or conduct require removal from the Contract. Once notified by the Engineer, immediately remove the individual and do not allow that individual to participate on the Contract. If you believe a Department employee has engaged in such acts or cond uct, immediately inform the Department.
5-1.19 Reserved
5-1.20 Coordination With Other Entities
5-1.20A General
Other entities may perform work at or near the job site and material sources at any time. Coordinate activities to avoid delays. Each contractor or other entity performing work at or near the job or material site is responsible to the other for damage to work, persons, or property and for costs due to unnecessary delays. SECTION 5 CONTROL OF WORK
5-1.20B Permits, Licenses, Agreement s, and Certifications
5-1.20B(1) General
Comply with PLACs . The Department makes PLAC changes under section 4 -1.05. Maintain a copy of each PLAC at the job site.
5-1.20B(2) Before Award
To make a change to a PLAC made available to you before award , submit the proposed change. The Department sends the proposed change to the appropriate authority for consideration.
5-1.20B(3) After Award
Confirm with the Engineer which after -award PLACs are obtained by the Department and which are obtained by the Contractor. To make a change to an after -award PLAC obtained by the Department, submit the proposed change. The Department sends the proposed change to the approp riate authority for consideration. Obtain those PLACs to be issued to you and pay the fees and costs associated with obtaining them. Submit copies of Contractor -obtained after -award PLACs.
5-1.20B(4) Contractor –Property Owner Agreement
Before procuring material from or disposing of material on nonhighway property:
1.Submit a written agreement from the property owner: 1.1. For the use of the property 1.2. Absolving the Department from responsibility in connection with the property
2.Obtain authorization to start Before Contract acceptance, submit a document signed by the owner of the material source or disposal site stating that the Contractor has compli ed with the Contractor -owner agreement.
5-1.20C Railroad Relations
If the Contract includes an agreement with a railroad company, the Department makes the provisions of the agreement available in the Information Handout in the document titled "Railroad Re lations and Insurance Requirements." Comply with the requirements in the document.
5-1.20D Occupied Improvements within the Right -of-Way
Reserved
5-1.20E Water Meter Charges
Reserved
5-1.20F Irrigation Water Service Charges
Reserved
5-1.20G Water Meter Removal Charges
Reserved
5-1.20H 5-1.20J Reserved
5-1.21 5-1.22 Reserved
5-1.23 Submittals
5-1.23A General
Section 5 -1.23 includes specifications for action and informational submittals . Any submittal not specified as an informational submittal is an action submittal. Submit action and informational submittals to the Engineer. Each sheet of a submittal must include:
1.Contract number SECTION 5 CONTROL OF WORK
2.District –County –Route –Post Mile
3.Structure name and nu mber, if any The Department rejects a submittal if it has any error or omission. If the last day for submitting a document falls on a Saturday or holiday , it may be submitted on the next business day with the same effect as if it had been submitted on the day specified. Convert foreign language documents to English and US customary units.
5-1.23B Action Submittals
5-1.23B(1) General
Maintain a sequential list of action submittals except for samples, test samples, and ma terial sources. With each individual submittal, submit a copy of the updated list. Submit an action submittal before the start of the affected work to allow for review and corrections without work delays. Except for test samples, obtain the Department's au thorization for action submittals before you perform work based on them. Except for shop drawings and test samples, allow 15 days for review. For action submittals requiring railroad review, allow 65 days for review unless otherwise specified. For a revise d action submittal, allow the same number of days for review as for the original submittal. The time allowed for the review of an action submittal starts when the Department receives the submittal. Do not change the scope of work on revised submittals. The Department's authorization of an action submittal does not void any Contract part.
5-1.23B(2) Shop Drawings
5-1.23B(2) (a) General
Submit shop drawings as specified and as otherwise required to control the work. Each drawing and calculation sheet must be in black ink and sequentially numbered. Each drawing sheet , if not submitted electronically , must:
1.Be 11 by 17 inches
2.Be on a minimum of 20 -lb paper
3.Have text of a minimum nominal height of 5/32 inch Each calculation sheet , if not submitted electronically must:
1.Be 8-1/2 by 11 inches
2.Have text of a minimum 12 -point font Paper submittals t ext and graphics must be legible for photocopying and reduction. Calculations must demonstrate the design adequacy. Calculations specified as independently checked must be sealed and signed by an engineer who is registered as a civil engineer in the State and who did not seal and sign the drawings. Allow 20 days for the review. If multiple sets are submitted simultaneously or an additional set is submitted before the review of a previously submitted set is complete, designate the sequence that the sets are to be reviewed. Allow the review time specified p lus 15 days for each additional set. A set consists of 40 or fewer sheets. If drawings require corrections, the Department: SECTION 5 CONTROL OF WORK
1.Describes the deficiencies
2.Stamps the drawings with the date that the review stopped
3.Returns the drawings Show the set rev ision number. Uniquely number each revised detail. Show the number in an inverted triangle near the revised portion of the detail. In a legend, describe and date the revision. Upon completion of review, the Department returns 1 copy that shows the authoriz ed date. To make a change to an authorized drawing, submit it as specified for a new submittal. Note the changes. Upon the completion of work shown on the drawings, submit electronic copies of as -built drawings . Include an index o f the sheet numbers and titles on the 1st sheet for each structure. Arrange the drawings in the drawing -number order shown in the index.
5-1.23B(2) (b) Electronic Shop Drawings
If specified, email electronic shop drawing and calculation sheet submittals to : sc.office.associates@dot.ca.gov . Submit a PDF file in a resolution of at least 300 dpi. Each PDF email attachment must not exceed 25 MB in size. The email message must not exceed 50 MB in size. The subject line of the email must contain:
1.The words "Sh op Drawing Submittal"
2.Contract number
3.Bid item number In the email for each PDF file, list the number of pages If separate emails are needed to accommodate large files, indicate the total number of e -mails included in the submittal. For each PDF file, use the following naming convention:
1.For shop drawings: SD_Contract number_Bridge number_Bid item number_Submittal e -mail number Example: SD_12 -345678_54 -0001_123_1_of_<<Total Number>>.PDF
2.For calculations: CALC_Contract number_Bridge number_Bi d item__number_Submittal e -mail number Example: CALC_12 -345678_54 -0001_123_1_of_<<Total Number>>.PDF After submitting the electronic files, send a notification of the electronic submittal to the Engineer. Include the names of the submitted files. Upon com pletion of review, the Department returns 1 electronic copy with the date of authorization.
5-1.23B(3) 5-1.23B(10) Reserved
5-1.23C Informational Submittals
Informational submittals include:
1.Certificates of compliance
2.Manufacturer's instructions not associated with drawing submittals
3.Notifications
4.PLACs
5.Subcontracts
6.QC test data, QC test results, and QC evaluation reports SECTION 5 CONTROL OF WORK
5-1.24 Construction Surveys
5-1.24A General
The Department places stakes and marks under chapter 12, "Construction Surveys," of the Department's Surveys Manua l. Submit your request for Department -furnished stakes:
1.Once staking area is ready for stakes
2.On a Request for Construction Staking form After your submittal, the Department starts staking within 2 business days. Preserve stakes and marks placed by the Department. If the stakes or marks are destroyed, the Department replaces them at the Department's ea rliest convenience and deducts the cost.
5-1.24B Department Construction Surveys for Automated Machine Guidance
Reserved
5-1.25 5-1.26 Reserved
5-1.27 Records
5-1.27A General
Reserved
5-1.27B Record Retention
Retain project records from bid preparation through:
1.Final payment
2.Resolution of claims, if any For at least 3 years after the later of these, retain cost records, including records of:
1.Bid preparation
2.Overhead
3.Payrolls
4.Payments to subcontractors and su ppliers
5.Cost accounting Maintain the records in an organized way in the original format, electronic and hard copy, conducive to professional review and audit.
5-1.27C Record Inspection, Copying, and Auditing
Make your records available for inspection , copying , and auditing by State representatives for the same time frame specified under section 5 -1.27B. The records of subcontractors and suppliers must be made availab le for inspection, copying, and auditing by State representatives for the same period. Before Contract acceptance, the State representative notifies the Contractor, subcontractor, or supplier 5 business days before inspection, copying, or auditing. If an a udit is to start more than 30 days after Contract acceptance, the State representative notifies the Contractor, subcontractor, or supplier of the date when the audit is to start.
5-1.27D Cost Accounting Records
Maintain cost accounting records for the project distinguishing between the following work cost categories:
1.Work performed based on bid item prices
2.Change order work other than extra work. Distinguish this work by: 2.1. Bid item prices 2.2. Force account 2.3. Agreed price
3.Extra work. Distinguish extra work by: SECTION 5 CONTROL OF WORK 3.1. Bid item prices 3.2. Force account 3.3. Agreed price 3.4. Specialist billing
4.Work performed under potential claim records
5.Overhead
6.Work performed by subcontractors, suppliers, owner -operato rs, and professional services Cost accounting records must include:
1.Final cost code lists and definitions
2.Itemization of the materials used and copies of the corresponding vendors' invoices
3.Direct cost of labor
4.Equipment rental charges
5.Work ers' certified payrolls
6.Equipment: 6.1. Size 6.2. Type 6.3. Identification number 6.4. Hours operated
5-1.27E Change Order Bills
Maintain separate records for change order work costs. Submit change order bills using the Department 's Internet change order billing system . Change order bills, including those for subcontracted work, must be submitted by the 15th to be eligible for inclusion on the monthly progr ess payment. Avoid undue delay in submitting change order bills. The Contractor submitting and the Engineer authorizing a change -order bill using the Internet change - order billing system is the same as each party signing the bill. The Department provides b illing system:
1.Training within 30 days of your request
2.Accounts and user identification to your assigned representatives after a representative has received training Each representative must maintain a unique password.
5-1.28 Project Safety Reviews
Your assigned project safety representative must perform and document project safety reviews with the Engineer:
1.At least 3 business days before the start of job site activities
2.Every other week after the start of job s ite activities and after any incident that results in serious injury, illness, or fatality to your personnel, subcontractor's and supplier's personnel, and any other persons present at the job site at the request of you or your subcontractors
3.Submit pro ject safety review documentation to the Engineer and correct deficiencies within 3 business days from the day the project safety review is completed or sooner as directed by the Engineer Upon Contract acceptance , your project safety representative must participate in a safety meeting with the Engineer.
5-1.29 Job Hazard Analyses
Prepare a job hazard analysis for each work activity to be performed on the job site as required by CA Code of Regs § 3203(a)(4) and 1511(b). Submit each job hazard analysis as an informational submittal . Each job hazard analysis must identify the following: SECTION 5 CONTROL OF WORK
1.Work a ctivity description
2.Existing and predictable hazards associated with the work activity
3.Hazard control measures , preventative , or corrective actions to be taken for the work activity Submit each job hazard analysis at least 5 business days before the start of a work activity. During the project safety reviews required under section 5 -1.28, discuss job haza rd analyses for active work activities and work activities planned to start within 5 business days. Submit a revised job hazard analysis when equipment or methods change results in a change to the hazards previously identified. Submit a revised job hazard analysis within one working day of the identified change.
5-1.30 Noncompliant and Unauthorized Work
Correct or remove and replace work that (1) does not comply with the Contract, (2) is unauthorized, or (3) both. The Department does not pay for any of the following:
1.Corrective, removal, or replacement work
2.Unauthorized work If ordered, submit a work plan for the corrective, removal, or replacement work. If you fail to comply promptly with an order under section 5 -1.30, the Department may correct, remove, or replace noncompliant or unauthorized work. The Department deducts the cost of this work.
5-1.31 Job Site Appearance
Keep the job site neat . In areas visible to the pu blic:
1.If practicable, dispose of debris removed during clearing and grubbing concurrently with its removal. If stockpiling is necessary, dispose of debris weekly.
2.Furnish trash bins for construction debris. Place the debris in trash bins daily.
3.For falsework to be reused, stack the forms neatly and concurrently with their removal.
5-1.32 Areas for Use
Occupy the highway only for purposes necessary to perform the work . If no State -owned area is designated for the Contractor's use, you may arrange for temporary storage with the Department. Defend, indemnify, and hold the State harmless to the same extent as under section 7 -1.05. The Department does not allow temporary residences within the highway.
5-1.33 Equipment
Legibly stencil or stamp at a clearly visible location on each piece of equipment except hand tools an identifying number and:
1.On compacting equipment, its make, model number, and empty gross weight that is either the manufacturer's rated weight or the scale weight
2.On meters and on the load -receiving element and indicators of each scale, the make, model, serial number, and manufacturer's rated capacity Submit a list describing each piece of equipment and its identifying number. Upon request, submit the manufacturer's information that designates portable vehicle scale capacities. For proportioning materials, use measuring devices, material plant controllers, and undersupports comp lying with section 9 -1.02B. Measuring devices must be tested and approved under California Test 109 in the Department's presence by any of the following:
1.County Sealer of Weights and Measures
2.Scale Service Agency SECTION 5 CONTROL OF WORK
3.Official of the Division of Measurement Standards The indicator over -travel must be at least 1/3 of the loading travel. The indicators must be enclosed against moisture and dust. Group the measuring system dials such that the smallest increment for each indicator can be read from the location at which proportioning is controlled.
5-1.34 5-1.35 Reserved
5-1.36 Property and Facility Preservation
5-1.36A General
Preserve and protect:
1.Highway improvements and facilities 2 Adjacent property
3.Waterways
4.ESAs
5.Lands administered by other agencies
6.Railroads and railroad equipment
7.Nonhighway facilities, including utilities
8.Survey monuments
9.Department's instrumentation 10 Temporary work
11.Roadside vegetation not to be removed Comply with Govt Code § 4216 et seq. Notify the Engineer at least 3 business days before you contact the regional notification center. Failure to contact the notification center prohibits excavation. Immediately report damage to the Engineer. If you cause damage, you are r esponsible. The Department may make a temporary repair to restore service to a damaged facility. Install suitable safeguards to preserve and protect facilities from damage. Install temporary facilities, such as sheet piling, cribbing, bulkheads, shores, or other supports, necessary to support existing facilities or to support material carrying the facilities.
5-1.36B Railroad Property
If working on or adjacent to railroad property , do not interfere with railroad operations. For a n excavation on or affecting railroad property, submit work plans showing the system to be used to protect the railroad facilities. If the Contract does not include an agreement with a railroad company, do not allow personnel or equipmen t on railroad property. Prevent material, equipment, and debris from falling onto railroad property.
5-1.36C Nonhighway Facilities
5-1.36C(1) General
Before starting work that could damage or interfere with underground infrastructure, locate the infrastr ucture described in the Contract, including laterals and other appurtenances, and determine the presence of other underground infrastructure inferred from visible facilities, such as buildings, meters, and junction boxes. Underground infrastructure describ ed in the Contract may be in different locations from those described, and additional infrastructure may exist. Upon discovering an underground main or trunk line not described in the Contract, immediately notify the Engineer and the infrastructure owner. The Engineer orders the locating and protecting of the SECTION 5 CONTROL OF WORK infrastructure. The locating and protecting is change order work. If ordered, repair infrastructure damage. If the damage is not due to your negligence, the repair is change order work. Immediately not ify the Engineer of a delay due to the presence of main -line underground infrastructure not described in the Contract or in a substantially different location. Notify the Engineer if the infrastructure described in the Contract cannot be found. If after gi ving the notice, you find the infrastructure in a substantially different location from that described, finding the infrastructure is change order work.
5-1.36C(2) Nonhighway Facility Protection
Reserved
5-1.36C(3) Nonhighway Facility Rearrangement
The D epartment may rearrange a nonhighway facility during the Contract. Rearrangement of a nonhighway facility includes installation, relocation, alteration, or removal of the facility. The Department may authoriz e facility owners and their agents to enter the highway to perform rearrangement work for their facilities or to make connections or repairs to their property. Coordinate activities to avoid delays. If necessary rearrangement of underground infrastructure is not described in the Contract, the Engineer may order you to perform the work. The rearrangement is change order work. Immediately notify the Engineer of a delay due to a rearrangement different from that described in the Contract. If you want infrastru cture rearrangement different from that described in the Contract:
1.Notify the Engineer
2.Make an arrangement with the infrastructure owner
3.Obtain authorization for the rearrangement
4.Pay the infrastructure owner any additional cost The Department does not adjust time or payment for a rearrangement different from that described the Contract.
5-1.36D Survey Monuments
Protect survey monuments on and off the highway. Upon discovery of a survey monument not identified and located by the Depa rtment, immediately:
1.Stop work near the monument
2.Notify the Engineer Do not resume work near the monument until authorized.
5-1.36E Landscape
If you damage plants not to be removed:
1.Dispose of them unless the Engineer authorizes you to reduce th em to chips and spread the chips within the highway at locations designated by the Engineer
2.Replace them Replace plants with plants of the same species. Replace trees with 24 -inch-box trees. Replace shrubs with no. 15 -container shrubs. Replace ground c over plants with plants from flats. Replace Carpobrotus ground cover plants with plants from cuttings. Plant ground cover plants 1 foot on center. SECTION 5 CONTROL OF WORK If a plant establishment or permanent erosion control establishment period is specified, replace plants befor e the start of the plant establishment or permanent erosion control establishment period; otherwise, replace plants at least 30 days before Contract acceptance. Water each plant immediately after planting. Saturate the backfill soil around and below the ro ots or the ball of earth around the roots of each plant. Water as necessary to maintain plants in a healthy condition until Contract acceptance.
5-1.36F Irrigation Facilities
Keep existing irrigation facilities in place that are described to be removed, r elocated, or modified until the Engineer determines they are no longer need ed. Maintain the existing water supply . If the existing water supply is interrupted for more than 3 consecutive days, provide an alternative water supply. Water the existing plants in the area irrigated from that water supply, including those maintained by the Department, as necessary to maintain healthy plant growth. If you and the Department irrigate existing plants from the same water supply , furnish enough water to the Department for watering plantings on and off the highway as necessary to maintain a healthy condition through Contract acceptance. If you damage irrigation facilities not to be removed:
1.Remove and dispose of them.
2.Repair and replace damaged facilities within 10 days.
3.Use similar commercial -quality components from the same manufacturer or components that are compatible with the existing irrigation system if authorized.
4.After completing the repair or replacement of the facilities, perform an operational test in the presence of the Engineer. If you repair or replace the remote control valves, conduct the test with the irrigation controller in the automatic mode. Notify the Engineer:
1.At least 4 business days before shutting off t he water supply to any portion of the existing irrigation system
2.Immediately after restoring the water supply to any portion of the existing irrigation system
5-1.37 Maintenance and Protection
5-1.37A General
Maintain and protect work until the Department has granted relief from maintenance or accepted the Contract. Do not remove any padlock used to secure a portion of the work until the Engineer is present to replace it. Notify the Engineer at least 3 business days before removing the lock. Prevent construction equipment that exceeds the maximum weight limits in Veh Code Div 15 from operating on completed or existing treated base, pavement, or structures.
5-1.37B Load Limits
5-1.37B(1) General
For ar eas within the project limits and subject to the Contractor providing protective measures and repairing related damage, construction equipment exceeding the size or weight limits in Veh Code Div 15 may move over:
1.Public roads within the highway .
2.Treated base or pavement under construction or completed .
3.Culverts and pipes .
4.Structures not open to traffic that are designed for AASHTO HS20 -44 live loading, except culverts and pipes. Before crossing one of these structures, submit the dimensions and maximum axle loadings of the equipment; and unless a material hauling equipment lane on a bridge is shown on the drawings, comply with the following specifications: SECTION 5 CONTROL OF WORK 4.1. The maximum loading on a bridge due to pneumatic -tired truck and t railer combinations must not exceed: 4.1.1. 28,000 lb for single axles 4.1.2. 48,000 lb for tandem axles 4.1.3. 60,000 lb total gross load for single vehicles 4.1.4. 110,000 lb total gross load for truck and trailer or semi -trailer combinations 4.2. The loading on a bridge due to 2 -and 3 -axle pneumatic -tired earthmovers must not exceed that shown in the following table: Allowable Construction Loading on Bridges for 2 -and 3-Axle Earthmovers Bridge girder center -to-center spacing (feet) Maximum axle loa ding (pounds) 4 28,000 5 29,000 6 30,000 7 32,000 8 34,000 9 37,000 10 and over 40,000 NOTE: Minimum axle spacing: For 2 -axle earthmovers: For 3 -axle earthmovers: Axles 1 to 2 = 20 feet Axles 1 to 2 = 8 feet Axles 2 to 3 = 20 feet
5.Completed or existing base, pavement, and structures under the Department's Transportation Permits Manual , whether open to the public or not . Loads imposed on existing, new, or partially completed structures must not exceed the load -carrying capacity of t he structure or any portion of the structure as determined by AASHTO LRFD with interims and California Amendments, Design Strength Limit State II. The f' c to be used in computing the load - carrying capacity must be the smaller of the following:
1.Actual co mpressive strength at the time of loading
2.Value of f' c shown on the plans for that portion of the structure or 2.5 times the value of f c shown on the plans for portions of the structure where no f' c is shown
5-1.37B(2) Increased Load Carrying Capacity
You may submit a request to the Department to redesign a structure to increase its load -carrying capacity. The Department does not authorize a redesign for any of the following:
1.Load increase of more than 130,000 lb per single axle or pair of axles les s than 8 feet apart
2.Total gross vehicle weight more than 330,000 lb Your request to the Department must include:
1.Description of the structure or structures
2.Detailed overload description
3.Date the revised plans are required
4.Signed statement a greeing to pay the costs, including the engineering costs
5.Signed statement agreeing to waive a time extension request for any delay If the Department authorizes a redesign to strengthen the structure, the Engineer notifies you of the change's estimated cost and availability date of the revised plans. If the cost and date are satisfactory to you, the Engineer prepares a Change Order for the changes.
5-1.37B(3) Material Hauling Equipment Lane on Bridges
Section 5 -1.37B(3) applies to a bridge con structed with a material hauling equipment lane . SECTION 5 CONTROL OF WORK You may cross the bridge with pneumatic -tired material hauling equipment that exceeds the size and weight limits specified but that does not exceed the load limits sho wn on the "Material Hauling Equipment Loading " chart. For each bridge with a material hauling equipment lane:
1.Construct a minimum 150 -foot approach at each bridge end to a grade that provides a smooth transition to the bridge roadway grade. Maintain these approaches in a smooth and uniform condition during the operation of the equipment.
2.Operate equipment such that jolting and bouncing of the equipment while crossing the bridge is prevented.
3.Confine equipment to the material hauling equipment lane using temporary barriers unless the plans show that the entire bridge may be used for hauling equipment and the permanent barriers are completed.
4.Allow at most 1 piece of equipment on the bridge at one time.
5.Operate equipment at a maximum speed of 25 mph. If ordered, verify the weight of loaded material hauling equipment by weighing. The Department furnishes individual wheel or axle type scales. The Department weighs the equipment within the project limits and within the highway at a loca tion accessible to the equipment. You determine the exact weighing location. Install and maintain the scales. Installing and maintaining scales is change order work.
5-1.38 Maintenance and Protection Relief
You may request relief from maintenance and prot ection responsibilities for a completed work part. The work part must have been completed under the Contract and to the Engineer's satisfaction. Work parts eligible for relief include:
1.Completed 0.3 mi section o f roadway or a 0.3 mi section of one roadway of a divided highway or frontage road including: 1.1. Planned roadway protection work 1.2. Lighting 1.3. Required traffic control 1.4. Access facilities
2.Bridge or other major structure
3.Complete unit of a t raffic control signal system or a highway lighting system
4.Nonhighway facility constructed for another agency If relieved by the Department, you are not required to perform further work on that part of work. You are not responsible for damage to a relie ved work part, including damage caused by traffic or the elements, except for that caused by your own activities or negligence.
5-1.39 Damage Repair and Restoration
5-1.39A General
Before Contract acceptance, restore damaged work to the same state of completion as before the damage. Restoration of damaged work includes restoration of erected falsework and formwork. The Department does not adjust payment for repair or restoration that the Engin eer determines was caused by your failure to construct the work under the Contract or protect the work.
5-1.39B Damage Caused by an Act of God
Under Pub Cont Code § 7105, the Department pays for repair or restoration to damaged work in excess of 5 percent of the total bid if the damage was caused by an act of God . Submit a request for repair or restoration work payment before performing work other than emergency work. The Engineer determines the repair or restoration work cost under section 9 -1.04 except m arkups are not allowed. SECTION 5 CONTROL OF WORK The Department may change the Contract for the areas requiring repair or restoration. If the cost for the changes exceeds the repair or restoration cost based on the Bid Item List, the Engineer determines the payment adjustment unde r section 9 -1.04.
5-1.39C Landscape Damage
5-1.39C(1) General
Repair slopes or other existing facilities that were damaged after starting job site activities and before starting plant establishment or permanent erosion control establishment . As ordered, replace plants that have been damaged from either or both of the following conditions:
1.Ambient air temperature falling below 32 degrees F during the plant establishment period
2.Department or its supplier restricting or stopping water delivery during the plant establishment period This plant replacement work is change order work.
5-1.39C(2) Plant Establishment Period of 3 Years or More
Section 5 -1.39C(2) applies if a plant establishment period of 3 years or more is s hown on the Notice to Bidders . Repair slopes or other existing facilities that were damaged before starting job site activities. This work is change order work. Repair slopes or other existing facilities that were damaged by a change in the runoff pattern from that which existed on the date of the Notice to Bidders and was the result of work by others within the highway. This work is change order work. Replace plants and repair slopes, irrigation systems, and other highway facilities damaged as a result of rain during the plant establishment period. The Department pays 1/2 the accumulated costs in excess of the greater of 5 percent of the plant establishment work or $2,000; the Contractor pays the other 1/2. The Engineer determines the repair cost under sect ion 9 -1.04.
5-1.40 5-1.41 Reserved
5-1.42 Requests for Information
Submit an RFI upon recognition of any event or question of fact arising under the Contract. The Engineer responds to the RFI within 5 business days. Proceed with the work unless otherwise ordered. You may protest the Engineer's response by:
1.Submitting an Initial Potential Claim Record form within 5 business days after receiving the Engineer's response
2.Complying with section 5-1.43
5-1.43 Potential Claims and Dispute Resolution
5-1.43A General
Minimize and mitigate the impacts of work or events for which you will make a potential claim . Submit potential claim records using the Department 's Internet potential claim system. For information on submittal of potential claim records using the Internet potential claim system, go to the Department's Division of Construction website. A potential claim record that you submit using the Internet potenti al claim system is the same as the originator of the claim and you signing the potential claim record. For the Internet potential claim system, potential claim records are:
1.Initial Potential Claim Record form
2.Supplemental Potential Claim Record fo rm
3.Full and Final Potential Claim Record form
4.Closed Potential Claim Record form SECTION 5 CONTROL OF WORK Submit a Closed Potential Claim Record form if you choose not to pursue an Initial Potential Claim Record that has been submitted. Failure to comply with this procedure is:
1.Waiver of the potential claim and a waiver of the right to a corresponding claim for the disputed work in the administrative claim procedure
2.Bar to arbitration (Pub Cont Code § 10240.2)
5-1.43B Initial Potential Cl aim Record
Submit an Initial Potential Claim Record form within 5 business days of the Engineer's response to the RFI or within 5 business days from the date when a dispute arises due to an act or fai lure to act by the Engineer. The Initial Potential Claim Record form establishes the claim's nature and circumstances. The nature and circumstances must remain consistent. The Engineer responds within 5 business days of receiving the f orm. Proceed with the work for which you will make a potential claim unless otherwise ordered. Within 20 days of a request, provide access to the project records determined necessary by the Engineer to evaluate the potential claim.
5-1.43C Supplemental Potential Claim Record
Within 15 days of submitting the Initial Potential Claim Record form , submit a Supplemental Potential Claim Record form including:
1.Complete nature and circumstances causing the potential claim
2.Contract specifications supporting the basis of a claim
3.Estimated claim cost and an itemized breakdown of the individual costs stating how the estimate was determined
4.TIA The Engineer evaluates the Supplemental Potential Claim Record form and responds within 20 days of receiving the submittal. To pursue a potential claim, comply with sections 5 -1.43D and 5 -1.43E. If the estimated cost or effect on the scheduled completion date changes, update the Sup plemental Potential Claim Record form information as soon as the change is recognized and submit this information.
5-1.43D Full and Final Potential Claim Record
Notify the Engineer within 10 days of the completion date of the potentially claimed work. The Engineer authorizes this completion date or notifies you of a revised date. Within 30 days of the completion of the potentially claimed work, submit a Full and Final Potential Claim Record form including:
1.Detailed factual account of the events causing the potential claim, including: 1.1. Pertinent dates 1.2. Locations 1.3. Work items affected by the potential claim
2.Contract documents supporting the potential claim and a statement of the r easons these parts support entitlement
3.Itemized cost breakdown if a payment adjustment is requested. Segregate costs into the following categories: 3.1. Labor, including: 3.1.1. Individuals 3.1.2. Classifications 3.1.3. Regular and overtime hours worked 3.1.4. Dates worked 3.2. Materials, including: 3.2.1. Invoices 3.2.2. Purchase orders 3.2.3. Location of materials either stored or incorporated into the work SECTION 5 CONTROL OF WORK 3.2.4. Dates materials were transported to the job site or incorporated into the work 3.3. Equip ment, including: 3.3.1. Detailed descriptions, including make, model, and serial number 3.3.2. Hours of use 3.3.3. Dates of use 3.3.4. Equipment rates at the rental rate s listed in Labor Surcharge and Equipment Rental Rates in effect when the affected work related to the potential claim was performed
4.Detailed account of the time impact if a time adjustment is requested: 4.1. Dates for the requested time. 4.2. Reasons fo r a time adjustment. 4.3. Contract documentation supporting the requested time adjustment. 4.4. TIA. The TIA must demonstrate entitlement to a time adjustment.
5.Identification and copies of your documents and copies of commun ications supporting the potential claim, including certified payrolls, bills, canceled checks, job cost reports, payment records, and rental agreements
6.Relevant information, references, and arguments that support the potential claim If the total potent ial claim cost exceeds $500,000, include an independent CPA cost audit report. Submit the audit report within 70 days of the completion of the potentially claimed work. The CPA's cost audit must be performed as an examination -level engagement under the att estation engagements in the Government Auditing Standards published by the Comptroller General of the United States. The attest documentation prepared by the CPA in connection with the audit must be submitted for review with the audit report. Within 20 day s of the Engineer's request, make your financial records available for an audit by the State for verifying the actual cost described in your audit. The Department does not participate in costs for the report where no entitlement is determined. If entitleme nt is determined, the Department pays for 1/2 the cost of the report; the Contractor pays for the other 1/2. The cost is determined under section
9-1.05 except no markup is allowed.
The Department does not consider a Full and Final Potential Claim Record f orm that does not have the same nature, circumstances, and basis of claim as those specified on the Initial Potential Claim Record form and Supplemental Potential Claim Record form. The Engineer evaluates the information presented in the Full and Final Pot ential Claim Record form and responds within 30 days of its receipt unless the Full and Final Potential Claim Record form is submitted after Contract acceptance, in which case, a response may not be provided. The Engineer's receipt of the Full and Final Po tential Claim Record form must be evidenced by postal return receipt or the Engineer's written receipt if delivered by hand.
5-1.43E Alternative Dispute Resolution
5-1.43E(1) General
5-1.43E(1)(a) General
The ADR process must be used for the timely resolution of disputes that arise out of the work. You must comply with section 5 -1.43E to pursue a claim, file for arbitration , or file for litigation. The ADR process is not a substitute for submitti ng an RFI or a potential claim record. Do not use the ADR process for disputes between you and subcontractors or suppliers that have no grounds for a legal action against the Department. If you fail to comply with section 5 -1.43 for a potential claim on be half of a subcontractor or supplier, you release the Department of the subcontractor's or supplier's potential claim. Do not use the ADR process for quantification of disputes for overhead expenses or costs. For a dispute for overhead expenses or costs, co mply with section 9 -1.17D. Each party and the DRA or DRB must complete the Dispute Resolution Advisor Agreement form or Dispute Resolution Board Agreement form and comply with the provisions of the agreement. For these forms, go to the Department's Divisio n of Construction website . SECTION 5 CONTROL OF WORK No DRA -or DRB -related meetings are allowed until each party and the DRA or DRB, execute the agreement. However, each party and the DRA or DRB, may agree to sign and execute the agreement at the initial project meeting. DRA or DR B members must attend each meeting with the parties. DRA or DRB members must submit an updated disclosure statement whenever there is change in status. The Department furnishes the DRA or DRB with the Contract documents and provides meeting facilities at no cost to you. Neither party may meet nor discuss Contract progress or issues with the DRA or DRB members outside of progress meetings, traditional dispute meetings, and informal dispute meetings unless the other party is present or included in the communication .
5-1.43E(1)(b) Definitions
dispute meeting: Traditional and informal dispute meeting. DRA: 1-member board established by the parties to assist in resolving disputes. DRB: 3-member board established by the parties to assist in resolving disputes. party: You or the Department.
1.the parties: You and the Department jointly.
2.each party: You and the Department severally. outside technical services: Consultants with no prio r direct involvement in the Contract.
5-1.43E(1)(c) Establishment of Procedures
Upon selecting the DRA or DRB, the parties must have an initial project meeting at the start of job site activities with the DRA or DRB to establish and agree to procedures fo r:
1.Submitting documents
2.Conducting hearings
3.Providing recommendations
4.Performing associated tasks The established procedures must comply with the Contract and the Dispute Resolution Advisor Agreement or Dispute Resolution Board Agreement. The procedures need not comply with laws of evidence.
5-1.43E(1)(d) Progress Meetings
The parties must periodically meet with the DRA or DRB at the job site so the DRA or DRB members can keep abreast of construction activities and become familiar with the wor k in progress. The meetings must be held at the start of job site activities and at least once every 3 months after that. The parties may agree to waive the scheduled meetings when the only work remaining is plant establishment work or permanent erosion co ntrol establishment work.
5-1.43E(1)(e) Traditional Dispute Meetings
You must follow the traditional dispute meeting process to pursue a potential claim. Either party may refer a dispute to the DRA or DRB. To request a dispute meeting, a party must submit a copy of the referral and supporting documentation to the DRA or DRB and the other party. The documentation must describe the dispute in individual discrete segments such that resolved and unresolved segments are differentiated. The party must include an estimate of the cost of the affected work and impacts to the work completion date. If the dispute involves a subcontractor, the subcontractor's superintendent or project manager must attend the meeting otherwise your position paper is considered as your e ntire position. SECTION 5 CONTROL OF WORK Only the following persons are allowed to participate and present information at the meeting:
1.Engineer
2.Department's area construction engineer
3.Department's structure representative
4.Your superintendent
5.Your project manager
6.Either party's employees that have direct knowledge of the dispute and direct involvement in the project
7.Consultants directly involved in the development of the estimate or construction
8.Subcontractor's superintendent or project manager if the dispute involves a subcontractor The person presenting information at the meeting must have been directly involved in the project at the time the dispute occurred. The following persons are not allowed to attend the meeting:
1.Attorneys
2.Claim cons ultants
3.Outside technical services not employed by either party unless requested by the DRA or DRB If the DRA or DRB needs outside technical services to help the DRA or DRB make a recommendation, the parties must agree to the services before they are p rovided. If the parties and the DRA or DRB agree, the technical services may be provided by technical staff who works for either party. During a dispute meeting, each party presents its position, makes rebuttals, furnishes relevant documents, and responds to DRA or DRB questions and requests. The following is not allowed:
1.Testimony under oath
2.Cross -examination
3.Reporting of the procedures by a shorthand reporter or by electronic means If either party fails to attend a dispute meeting, all documents submitted by the nonattending party is considered as the nonattending party's entire position, and the DRA or DRB and the attending party may proceed with the dispute process.
5-1.43E(1)(f) Informal Dispute Meetings
The parties may resolve small and unco mplicated disputes using an informal process. The parties may use this process only if the parties and the DRA or DRB agree its use is appropriate for resolving the dispute. The informal dispute meeting process is independent from the traditional process. The Department does not grant time extensions for the traditional dispute process if the informal dispute process is used. Each party furnishes the DRA or DRB a 1 -page brief description of the dispute with supporting documentation and any additional inform ation requested by the DRA or DRB. In an informal dispute meeting, each party presents its position and receives the DRA's or DRB's recommendation orally on the same day the dispute is heard. The DRA or DRB furnishes a 1 -page report confirming the recommen dation within 5 business days. Either party may ask for clarification of the DRA's or DRB's recommendation at the dispute meeting. If the dispute remains unresolved, the parties must notify the DRA or DRB within 5 business days after receipt of the DRA's or DRB's written confirmation of the recommendation. The DRA or DRB will not be bound by its informal recommendation if a dispute is later heard in a traditional dispute meeting. If the dispute is not resolved using the informal dispute meeting proce ss, the parties must comply with the traditional dispute meeting specifications. SECTION 5 CONTROL OF WORK
5-1.43E(1)(g) Recommendations
Recommendations must be based on the Contract and contract documents. Recommendations resulting from the ADR process are nonbinding. If the part ies resolve the dispute with the aid of the DRA's or DRB's recommendation, the parties must implement the resolution.
5-1.43E(1)(h) Completion of Alternative Dispute Resolution
All ADR activities must be completed before Contract acceptance. Accelerated t imeframes may be used if the parties and the DRA or DRB agree. If a dispute becomes an unresolved claim after Contract acceptance, comply with section 9 -1.17D(2). Neither party may call the DRA or DRB members who served on the Contract as a witness in arbi tration or other proceedings that may arise from the Contract. The parties must indemnify and hold harmless the DRA or DRB members from and against all claims, damages, losses, and expenses, including attorney's fees, arising out of and resulting from the findings and recommendations of the DRA or DRB.
5-1.43E(1)(i) Payment
Pay the DRA or each DRB member $2,000 per day for the DRA's or DRB member's participation at each on-site meeting. On-site meetings include:
1.Initial project meeting
2.Progress meeti ngs
3.Dispute meetings The payment includes full compensation for on -site time, travel time and expenses, transportation, lodging, and incidentals for each day or portion thereof. Before a DRA or DRB member spends any time reviewing the plans or specific ations, evaluating positions, preparing recommendations, completing forms, or performing any other off -site DRA -or DRB - related tasks, the parties must agree to pay for the tasks. Pay the DRA or DRB member $200 per hour for these off -site tasks. This payme nt includes full compensation for incidentals such as expenses for telephone, fax, and computer services. The Department does not pay for (1) any DRA -or DRB -related work performed after Contract acceptance or (2) your cost of preparing for or attending AD R meetings. The Department pays:
1.$2,000 for each DRA on -site meeting
2.$6,000 for each DRB on -site meeting
3.$200 per hour for agreed off -site DRA -or DRB -related tasks The Department does not adjust the unit price for an increase or decrease in the quantity of:
1.DRA on -site meeting
2.DRB on -site meeting
3.Hourly off -site DRA -or DRB -related tasks Within 60 days of receipt of Department 's payment, submit copies of associated invoices and supporting documents in the form of a canceled check or bank statement for DRA -or DRB -payment verification.
5-1.43E(2) Dispute Resolution Advisor
5-1.43E(2)(a) General
Section 5 -1.43E(2) applies if a bid item for dispute resolution advisor on -site meeting is shown on the Bid Item List. SECTION 5 CONTROL OF WORK Dispute Resolution Ad visors must be on the Department's Dispute Resolution Advisor Candidates List at the Department's Division of Construction website. To be listed on the Department's Dispute Resolution Candidates List, candidates must:
1.Submit a completed Candidate Applic ation for Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) form
2.Meet the minimum qualifications for experience
3.Have completed training by the Department
4.Have served on at least 3 dispute resolution boards on a Department co ntract as a member or at least 2 dispute resolution boards on a Department contract as the chairman Candidates must submit an updated resume on Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) Resume form annually or whenever there is a change in status of active DRAs or DRBs.
5-1.43E(2)(b) DRA Selection
Within 30 days after Contract approval, the parties must select a DRA using the following procedure:
1.Each party nominates 3 DRA member candidates, each candidate must: 1.1. Be knowledgeable in the contract documents and the type of construction anticipated in the Contract 1.2. Have no prior direct involvement on the Contract 1.3. Have no financial interest in the Contract or with the parties, subcontractors, suppliers, consultant s, or associated legal or business services within 6 months before award and during the Contract except for payments for Department DRA or DRB services or payments for retirement or pensions from either party not tied to, dependent on, or affected by the n et worth of the party
2.The parties must request a disclosure statement from each nominated DRA candidate and must furnish them to the other party. Each statement must include: 2.1. Current resume of the candidate's experience 2.2. Declaration statement that describes past, present, anticipated, and planned professional or personal relationships with each of the following: 2.2.1. Each party involved in the Contract 2.2.2. Each part y's principals 2.2.3. Each part y's counsel 2.2.4. Associated subc ontractors and suppliers
3.The parties are allowed: 3.1. One-time objection to any of the three candidates without stating a reason 3.2. Objection to any of the other party 's subsequent candidates based on a specific breach of the candidate's responsibili ties or qualifications under items 1 and 2 above
4.The parties must select 1 of the candidates to be the DRA. If the parties cannot agree on 1 candidate, each party must select 1 of the candidates nominated by the other and the DRA is decided between the 2 candidates by a coin toss.
5-1.43E(2)(c) DRA Replacement
The services of the DRA may end at any time with a notice of at least 15 days if either of the following occurs:
1.DRA resigns .
2.Either party replaces the DRA for failing to comply with the re quired employment or financial disclosure conditions of the DRA as described in the Contract and the Dispute Resolution Advisor Agreement. A DRA replacement is selected the same way as the original DRA. The selection of a replacement DRA must start upon d etermination of the need for a replacement and must be completed within 15 days. The Dispute Resolution Advisor Agreement must be amended to reflect the change of the DRA. SECTION 5 CONTROL OF WORK
5-1.43E(2)(d) DRA Traditional Dispute Meeting
If you choose to pursue a potential c laim, refer the dispute to the DRA within 5 business days after receiving the Engineer's response to your Supplemental Potential Claim Record. The dispute meeting must be held no later than 25 days after the DRA receives the referral unless the parties agr ee otherwise . At least 10 days before the scheduled dispute meeting, each party must furnish documentation to the DRA that supports its position and any additional information requested by the DRA. Upon receipt of both parties' position documentation, the DRA will provide each party the other party 's position documentation. If the DRA requests additional information within 5 business days after the dispute meeting, the party receiving the request must provide this information to the DRA and the other party within 5 business days after receiving the request. The DRA furnishes a written recommendation within 10 days after the dispute meeting unless the parties agree to allow more time. Within 5 business days after receiving the DRA 's recommendation, either party may request clarification of any part of the recommendation . The DRA furnishes a written response within 2 business days of the request. O nly 1 request for clarification from each party is allowed per dispute. Within 10 days after receiving the DRA's recommendation, each party must furnish a written response to the DRA and the other party indicating acceptance or rejection of the recommendation. If a party rejects the recommendation and has new information that supports its p osition, the party may request reconsideration. The reconsideration request must be made within 10 days after receiving the DRA 's recommendation. Only 1 reconsideration request from each party is allowed per dispute. If the parties accept the DRA's recomme ndation but cannot agree on the time or payment adjustment within 30 days after accepting the recommendation, either party may request that the DRA recommend an adjustment.
5-1.43E(3) Dispute Resolution Board
5-1.43E(3)(a) General
Section 5 -1.43E(3) applies if a bid item for dispute resolution board on -site meeting is shown on the Bid Item List. Dispute Resolution Board Members must be on the Department's Dispute Resolution Board Candidates List at the Department's Division of Const ruction website. To be listed on the Department's Dispute Resolution Board Candidates List, candidates must:
1.Submit a completed Candidate Application for Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) form
2.Meet the minimum q ualifications for experience
3.Have completed training by the Department Candidates must submit an updated resume on Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) Resume form annually or whenever there is a change in status of active DRAs or DRBs.
5-1.43E(3)(b) DRB Member Selection
Within 45 days after Contract approval, the parties must select DRB members and establish the DRB using the following procedure:
1.Each party nominates a DRB member candidate, each candidate must: 1.1. Be knowledgeable in the contract documents and the type of construction anticipated in the Contract 1.2. Have no prior direct involvement on the Contract 1.3. Have no financial interest in the Contract or with the parties, subcontractors, suppliers, consultants, or associated legal or business services within 6 months before award and during the Contract except for payments for Department DRA or DRB services or payments for retirement or pensions from either party not tied to, dependent on, or affected by the net worth of the party SECTION 5 CONTROL OF WORK
2.The parties must request a disclosure statement from each nominated DRB member candidate and must each furnish it to the other party. Each statement must include: 2.1. Current resume of the candidate's experience 2.2. Decla ration statement that describes past, present, anticipated, and planned professional or personal relationships with each of the following: 2.2.1. Each party involved in the Contract 2.2.2. Each part y's principals 2.2.3. Each part y's counsel 2.2.4. Associat ed subcontractors and suppliers
3.The parties are allowed: 3.1. One-time objection to the other party 's candidate without stating a reason 3.2. Objection to the other party 's candidate based on a specific breach of the candidate's responsibilities or qual ifications under items 1 and 2 above
4.If either party objects to the other party 's candidate, the party whose candidate was objected to must nominate another DRB candidate within 5 business days.
5.The 1st candidate from a party that receives no objecti on becomes that party's selected DRB member.
6.Each party furnishes written notification to its selected DRB member.
7.Within 15 days after their notifications, the selected DRB members recommend to the parties the 3rd DRB member candidate and furnish that candidate 's disclosure statement. If the 2 DRB members cannot agree on the 3rd DRB candidate, they will submit a list of two candidates to the parties for the final selection and approval.
8.Within 1 0 days after the recommendation, each party must notify the first 2 DRB members whether the party approves of or objects to the recommended 3rd DRB member candidate. Objections may be allowed based on item 3 above .
9.The 3 selected DRB members then decide wh o will act as the DRB chairman. If the p arties do not agree with the selected chairman, the 3rd member will act as the DRB chairman.
5-1.43E(3)(c) DRB Member Replacement
The services of a DRB member may end at any time with a notice of at least 15 days if any of the following occurs:
1.A memb er resigns .
2.The Department replaces its selected member .
3.You replace your selected member .
4.The Department's and your selected members replace the 3rd member .
5.Either party replaces any member for failing to comply with the required employment or financial disclosure conditions of the DRB membership as described in the Contract and in the Dispute Resolution Board Agreement . Replacing any DRB member must be accomplished by written notification to the DRB and the other party with substantiation for replacing the member. A replacement DRB member is selected the same way as the original DRB member. The selection of a replacement DRB member must start upon determination of the need for a replacement and must be completed within 15 days. The Dispute Res olution Board Agreement must be amended to reflect the change to the DRB.
5-1.43E(3)(d) DRB Traditional Dispute Meeting
If you choose to pursue a potential claim, refer the dispute to the DRB within 21 days after receiving the Engineer's response to your Supplemental Potential Claim Record unless a facilitated dispute resolution is included in the signed original partnering charter, in which case, make the referral within 41 days after receiving the response . The dispute meeting must be held no sooner than 30 days and no later than 60 days after the DRB receives the referral unless the parties otherwise agree. At least 15 days before the scheduled dispute meeting, each party must provide documentation to the DRB that supports its position and any additional information requested by the DRB. Upon receipt of both parties' position documentation, the DRB chairman will provide each party the other party 's position documentation. SECTION 5 CONTROL OF WORK If the DRB requests additional informat ion at the dispute meeting, the party receiving the request must provide this information to the DRB and the other party within 10 days after receiving the request. The DRB furnishes a written recommendation report within 30 days after the dispute meeting unless the parties agree to allow more time. Within 10 days after receiving the DRB's recommendation report, either party may request clarification of any part of the recommendation. The DRB furnishes a written response within 7 days of the receipt of request. Only 1 request for clarification from each party is allowed per dispute. Within 30 days after receiving the DRB's recommendation, each party must furnish a written response to the DRB and the other party indicating acceptance or rejection of the recom mendation. If a party rejects the recommendation, the party must include a list of specific reasons for the rejection. If a party has new information that supports its position, the party may request a reconsideration. The reconsideration request must be m ade within 30 days after receiving the DRB's recommendation. Only 1 request for reconsideration from each party is allowed per dispute. If the parties accept the DRB's recommendation but cannot agree on the time or payment adjustment within 60 days after a ccepting the recommendation, either party may request that the DRB recommend an adjustment.
5-1.43F Reserved
5-1.44 5-1.45 Reserved
5-1.46 Final Inspection and Contract Acceptance
When you complete the work, request the Engineer's final inspection . If the Engineer determines that the work is complete , the Engineer recommends Contract acceptance . Immediately after Contract acceptance, you are relieved from:
1.Maintenance and protection duties
2.Responsibility for injury to persons or property or damage to the work occurring after Contract acceptance except as specified in section 5 -1.47
5-1.47 Guarantee
Guarantee that work remains free from su bstantial defects for 1 year after Contract acceptance except for work parts for which you were relieved of maintenance and protection. Guarantee each of these relieved work parts for 1 year after the relief date. The guarantee excludes damage or displacement caused by an event outside your control, including:
1.Normal wear and tear
2.Improper operation
3.Insufficient maintenance
4.Abuse
5.Unauthorized change
6.Acts of God During the guarantee period, repair or replace eac h work part having a substantial defect. The Department does not pay for corrective work. During corrective work activities, provide the same insurance specified before Contract acceptance. The Contract bonds must be in force until the later of (1) the exp iration of the guarantee period or (2) the completion of the corrective work. If a warranty specification conflicts with section 5 -1.47, comply with the warranty specification. During the guarantee period, the Engineer monitors the completed work. If the E ngineer finds work having a substantial defect, the Engineer lists the defective work parts and furnishes you the list. Within 10 days of receipt of the list, submit for authorization a detailed plan for correcting the work. Include a schedule that include s: SECTION 5 CONTROL OF WORK
1.Start and completion dates
2.List of labor, equipment, materials, and any special services you plan to use
3.Work related to the corrective work, including traffic control and temporary and permanent pavement markings The Engineer notifies you whe n the plan is authorized. Start the corrective work and related work within 15 days of notice. If the Engineer determines corrective work is urgently required to prevent injury or property damage:
1.The Engineer furnishes you an order to start emergency repair work and a list of parts requiring corrective work
2.Mobilize within 24 hours and start work
3.Submit a corrective work plan within 5 business days of starting the emergency repair work If you fail to perform the work as specified, the Department may perform the work and bill you.
5-1.48 5-1.50 Reserved
Source: California Standard Specifications, 2024 Edition. Pages 43–72 of 1,372.