Exhibit A OCTA Construction Manual Procedures PDF

Construction
Management
Procedures Manual
Orange County Transportation Authority
This procedures manual has been developed to assist

the Construction Management Team (CM) in the
administration of construction contracts performed for
the Authority. It has been developed specifically for
the use of the on-site representatives during the
construction of the Orangethorpe Corridor and
LOSSAN Corridor Grade Separation Projects.
December 21, 2012

Construction
Management
Procedures
Construction Table of Contents
Management
Procedures Rev 0 - 03/04/2011
Table of Contents
Preface
Acronyms
Section I Contract Administration
Section II Document Control
Section III Project Close Out
Section IV Quality Assurance and Controls
Section V Safety
Section VI Standard Forms
Table of Contents
Construction
Management
Procedures
Construction Acronyms
Management
Procedures Rev 1 -12/21/2012
Acronym Term or Definition

ADL Aerially Deposited Lead
AHA Activity Hazard Analysis
ASTM American Society for Testing and Materials
AWS CWI American Welding Society Certified Welding Inspector
BNSF Burlington Northern Santa Fe Railway Company
Caltrans State of California, Department of Transportation
CCO Contract Change Order
CCR California Code of Regulations
CHST Certified Construction Health and Safety Technician
CIH Certified Industrial Hygienist
CM Construction Management Team
CO Compliance Officer
COC Certificate of Compliance
Contract Manager Primavera Contract Manager
CPM Critical Path Method
CQCM Contractor Quality Control Manager
CQCP Contractor Quality Control Program
CSO Construction Safety Order
CSP Certified Safety Professional
DCA Document Control Administrator Group
DCL Document Control Library
DCS Document Control System
DIR Daily Inspection Report
FBS File Breakdown Structure
LAPM Local Assistance Procedures Manual
Log # Log Number
MSDS Material Safety Data Sheet
NCR Non-compliance Report
NDT Non-destructive Testing
NTP Notice to Proceed
Acronyms
Page 1 of 2
Construction Acronyms
Management
Procedures Rev 1 -12/21/2012
Acronym Term or Definition

OCTA Orange County Transportation Authority
PPE Personal Protective Equipment
PSP Project Safety Plan
QA Quality Assurance
QC Quality Control
RFI Request for Information
SCAQMD South Coast Air Quality Management District
SCRRA Southern California Regional Rail Authority
SCSP Subconsultant Safety Plan
Sharepoint Microsoft SharePoint Collaboration Portal
SWPPP Storm Water Pollution Prevention Program/Plan
TIE Time Impact Evaluation
VECP Value Engineering Cost Proposal
Acronyms
Page 2 of 2
Construction
Management Preface
Preface
This procedures manual has been developed to assist the Construction Management Team (CM) in the
administration of construction contracts performed for the Orange County Transportation Authority
(OCTA). It has been developed specifically for the use of the on-site representatives during construction
of the Orangethorpe Corridor and LOSSAN Corridor Grade Separation Projects. It serves the following
functions:
• Provides a reference for CM members
• Defines the general duties and functions of the CM members
• Provides standard formats for documenting, relaying, and reporting information
• Conveys to the CM information not included in the Standard Specifications or the Contract
Documents
The CM must be familiar with various Standard Specifications such as Caltrans, Greenbook, and
applicable city standards, as well as the Caltrans Local Assistance Procedures Manual and the
procedures described in this manual. It is also necessary that all personnel be familiar in detail with all of
the general, special, and technical conditions specific to each construction Contract with which they are
associated. Any conflict between the material in this manual and the Construction Contract Documents
will be decided in favor of the Contract Documents. Nothing in this manual changes a Contract. Any
doubt concerning the proper procedure to be followed shall be referred to OCTA for clarification.
This manual does not necessarily represent a minimum standard for correct or appropriate project
management and quality assurance; rather, it serves to provide guidelines for administration of
construction contracts. It is not all-inclusive as other procedures and processes not mentioned in this
manual may exist, may be developed, and may be used. The CM will encounter situations that are not
described in this manual. In these instances, it will be necessary to rely on experience, other available
publications, and/or instructions from OCTA and their representatives.
The information contained in this manual is intended to be used as a guide for observing and
documenting construction operations. Suggestions for improvements to this manual are welcomed and
will be given careful consideration. All suggestions shall be forwarded to OCTA for consideration, in
writing.
In general, unless specified otherwise, the CM will have complete responsibility for all quality assurance
inspection services performed at the project site. To assure proper fulfillment of these services, the CM
shall provide or make available this manual and copies of the Contract Documents to all project
personnel.
It is intended that the instructions in this manual will provide uniformity in the documentation of quality
assurance and project management. The combined experience of the CM and OCTA, in conjunction with
this manual, will result in a successful project administered efficiently and in compliance with the
Contract Documents.
Preface
Page 1 of 1
Construction
Management
Procedures
Section I
Contract
Administration
Procedures
Construction
Management
Procedures
Construction Section I
Management Contract Administration
Procedures Rev 1 ‐ 12/21/2012

Table of Contents
1 Roles and Responsibilities ..................................................................................................................... 1
1.1 Resident Engineer ......................................................................................................................... 1
1.2 Safety Officer ................................................................................................................................ 3
1.3 Field Inspector ............................................................................................................................... 3
1.4 Materials Sampler/Tester ............................................................................................................. 4
1.5 Project Controls ............................................................................................................................ 5
1.6 Administrative Aide ....................................................................................................................... 5
1.7 Surveying Services ......................................................................................................................... 6
2 Meetings ............................................................................................................................................... 7
2.1 Orientation Meeting ..................................................................................................................... 7
2.2 Pre‐Bid Meeting ............................................................................................................................ 7
2.3 Pre‐Construction Meeting............................................................................................................. 7
2.3.1 Meeting Agenda .................................................................................................................... 8
2.3.2 Introduction .......................................................................................................................... 8
2.3.3 Project Site ............................................................................................................................ 8
2.3.4 Lines of Communication ....................................................................................................... 8
2.3.5 Procedures ............................................................................................................................ 9
2.3.6 Contractor’s Work Plan ......................................................................................................... 9
2.3.7 Utilities ................................................................................................................................ 10
2.3.8 Environmental ..................................................................................................................... 10
2.3.9 Safety .................................................................................................................................. 10
2.3.10 Labor Compliance ............................................................................................................... 11
2.3.11 Partnering ........................................................................................................................... 11
2.3.12 Public Relations ................................................................................................................... 11
2.3.13 Submittals ........................................................................................................................... 11
2.3.14 Other Issues ........................................................................................................................ 11
2.4 Weekly Progress Meeting ........................................................................................................... 11
2.5 Miscellaneous Meetings ............................................................................................................. 12
3 Contract Compliance Matrix ............................................................................................................... 12
4 Public Relations ................................................................................................................................... 12
5 Adjacent Property Owners .................................................................................................................. 13
5.1 Third Party Complaint Process .................................................................................................... 13
6 Adjacent Projects ................................................................................................................................ 14
7 Partnering ........................................................................................................................................... 14
8 Railroad Coordination ......................................................................................................................... 15
9 Utility Coordination ............................................................................................................................. 15
9.1 Utility Coordination Meetings ..................................................................................................... 15
10 Progress Reporting .......................................................................................................................... 16
10.1 Weekly Progress .......................................................................................................................... 16
10.2 Monthly Progress ........................................................................................................................ 17
11 Schedule Reviews ............................................................................................................................ 17
11.1 Baseline Schedule ....................................................................................................................... 18
11.2 Schedule Updates and Schedule Revisions ................................................................................. 18
11.3 Schedule Time Impact Evaluations ............................................................................................. 18
11.4 Weather Days Schedule Activity and Weather Day Accounting ................................................. 18
Section I – Contract Administration
Page i
Procedures Rev 1 ‐ 12/21/2012

11.5 Schedule Submission Tracking Log ............................................................................................. 19
12 Applications for Progress Payment ................................................................................................. 19
12.1 Progress Payments ...................................................................................................................... 20
12.1.1 Line Item Overrunns and Underruns .................................................................................. 20
12.1.2 Material On Hand Payments ............................................................................................... 20
12.2 Certificate for Payment ............................................................................................................... 20
12.2.1 Payment of Retention ......................................................................................................... 21
12.3 Contractor Payments .................................................................................................................. 22
12.4 Subcontractor Payments ............................................................................................................. 22
12.5 Final Payment Invoice ................................................................................................................. 22
13 Request for Information ................................................................................................................. 23
13.1 RFI Review ................................................................................................................................... 24
13.2 Non‐Conforming RFI.................................................................................................................... 24
14 Submittals ....................................................................................................................................... 25
14.1 Review ......................................................................................................................................... 25
15 Change Management ...................................................................................................................... 26
15.1 Change Requests ......................................................................................................................... 27
15.2 Change Directives ....................................................................................................................... 29
15.3 Contract Change Order ............................................................................................................... 29
15.4 Claims .......................................................................................................................................... 30
16 Environmental ................................................................................................................................. 30
16.1 Water Quality and Erosion .......................................................................................................... 30
16.2 Air Quality ................................................................................................................................... 31
16.3 Noise ........................................................................................................................................... 31
16.4 Contaminated and Hazardous Wastes ........................................................................................ 31
17 CM Office Requirements ................................................................................................................. 32
18 Photographic and Video Records .................................................................................................... 32
18.1 Requirements for Pre‐ and Post‐Construction Surveys .............................................................. 33
18.2 Video Specifics ............................................................................................................................ 33
18.3 Time‐Lapsed Photography .......................................................................................................... 34
18.4 Uploading Files to Share Point .................................................................................................... 34
19 Labor Compliance ........................................................................................................................... 36
19.1 Responsibilities ........................................................................................................................... 36
19.2 Certified Payroll Records ............................................................................................................. 37
19.3 Close‐Out Phase .......................................................................................................................... 38

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Procedures Rev 1 – 12/21/2012

1 Roles and Responsibilities
The Construction Management Team (CM), as an agent for the Orange County Transportation Authority
(OCTA), manages all aspects of the construction Contract. The CM will be the authorized representative
between the Contractor and OCTA for construction‐related activities. OCTA will assign a Project
Manager and a Construction Program Management support team for each project, who will be
responsible for the overall execution of the project. The CM will directly communicate with OCTA for
direction and/or approval, when needed, and will be responsible for fulfilling the necessary roles to
administer the construction Contract. This section outlines the general roles needed. It is expected that
the CM will provide and maintain an organization chart of staff working on the project, along with a
staffing hour matrix for OCTA’s review and acceptance.
STAKEHOLDER
Program Outreach
CAMM
Management Department
Department
Team
DESIGNER
Cons. Program
Management
Team
Project
Manager
Resident Engineer
Legend
AUTHORITY
CONTRACTOR CM TEAM MEMBERS Construction

Management

1.1 Resident Engineer
The Resident Engineer serves as OCTA’s direct contact with the Contractor and all field personnel. The
terms “Resident Engineer” and “Engineer” are used throughout the Contract Documents and are
defined in the General Conditions as the “authorized representative of OCTA.” The Resident Engineer
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will act as OCTA’s authorized representative in matters related to the construction phase of the project.
In this role, the Resident Engineer will administer the construction Contract between OCTA and the
Contractor, including any other related procurement contract for equipment or material purchases
between OCTA and vendors, or for services between OCTA and service providers for work incorporated
into the project. For each project, the Resident Engineer is responsible for the following:
1. Performing quality assurance (QA) inspections to achieve compliance with the Contract
Documents, plans, and specifications on all phases of construction such as paving, structures,
grading, drainage, sewer, water, utility relocation, electrical installation, sign installation, and
landscaping items.
2. Preparing Monthly Project Status Reports for delivery to OCTA.
3. Performing quantity calculations for progress pay estimates and keep project records.
4. Performing design for minor changes and make design estimates for Contract change orders.
5. Performing analytical calculations for items such as basic earthwork and grading, and
redesigning facilities to fit existing field conditions.
6. Maintaining continuous communication with OCTA’s Project Manager and staff, the Design
Engineer’s staff, field personnel, public outreach personnel, and project neighbors to resolve
community project challenges and advise them of work conditions affecting the neighborhood.
7. Verifying implementation of and enforce the quality control (QC) inspection and material testing
requirements as required in accordance with the Contract Documents and the Contractor
Quality Control Program (CQCP).
8. Developing and maintaining tracking logs on a daily basis indicating the current status of all
action items including Requests for Information (RFIs), change proposals, change orders, change
directives, submittals, non‐complaint QC tests, non‐compliant or defective work, and other
processes, as necessary, in a format acceptable to OCTA.
9. Tracking and report performance of the CM staff personnel.
10. Performing constructability reviews of the plans.
11. Attending appropriate meetings.
12. Performing site visit inspections.
13. Serving as a project liaison between the construction Contractors and other parties involved in
or affected by the construction.
14. Reporting on construction safety issues.
15. Reviewing change orders, supplemental agreements, and force account agreements.
16. Reviewing pay applications submitted by the Contractor and pay estimates compiled by the CM
staff.
17. Providing recommendations for resolution of conflicts.
18. Acting as the lead for all project close out tasks such as punch lists, final inspections, and project
acceptance.
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19. Recommending, preparing, and issuing the documents indicating Final Acceptance of the
project.
1.2 Safety Officer
Each project shall have an assigned Safety Officer. The CM Safety Officer shall have a minimum of five
years of heavy construction experience in administering safety programs on heavy construction job
sites, the last two of which have been administering safety in the construction discipline for which the
firm is contracting with OCTA. The Safety Officer shall possess knowledge equal to a Certified Industrial
Hygienist (CIH), Certified Safety Professional (CSP), Certified Construction Health and Safety Technician
(CHST), or similar professional standing. The Safety Officer shall have current OSHA 10‐hour and 30‐hour
certifications.
The CM Safety Officer will be responsible for developing the Project Safety Plan (PSP), reviewing the
Contractor’s Injury and Illness Prevention Program (project‐specific safety plan) and associated activity
hazard analysis, developing and performing site orientation and any other safety training of CM field
staff, periodic monitoring of the project site, and reporting. The Safety Officer’s qualifications and
resume shall be presented to OCTA for review and acceptance, along with the PSP.
The Safety Officer shall set up, carry forward, and aggressively and effectively maintain the PSP covering
all phases of the project. It is expected that the Safety Officer will make periodic trips to the project site
to audit the Contractor’s compliance with the safety program, prepare audit reports, and if necessary,
issue safety violation notices.
The CM shall ensure that at least one Contractor or CM employee, with authority, is on duty during
working hours to immediately act in emergency situations affecting the safety of persons or property, or
in the event of a violation of any federal, state, local, or OCTA safety and health law or regulation arising
from the work. If the Contractor fails to take appropriate action if a safety incident occurs, the CM, at its
discretion, may immediately take whatever action it deems necessary, including, but not limited to,
suspending the work as provided in the Contract Documents.
If at any time the CM wishes to replace its Safety Officer, the CM must provide written notice to OCTA
30 days prior to change of personnel. The notice shall include the qualifications and resume of the
proposed replacement. The Safety Officer shall not be replaced until a suitable replacement is approved
by OCTA.
1.3 Field Inspector
Project Field Inspectors assigned to each project will act under the direction of the Resident Engineer,
and will assume the following functional responsibilities, and possess experience in all of these areas:
1. Perform QA inspections to achieve compliance with Contract plans and specifications on all
phases of construction.
2. Perform and assist in performing QA checking of grade and alignment, monitoring construction
traffic control, and observing materials sampling and testing.
3. Observe and report/document on the results of a variety of field QC tests such as relative
compaction, concrete slump tests, concrete cylinders, special inspections, and other required
field tests performed by the Contractor’s independent third‐party testing laboratory and
inspectors to ensure compliance with the construction Contract requirements. Conduct
oversight of QA testing when performed by independent QA testers.
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4. Perform quantity calculations and measurement for progress pay estimates, and keep daily
project records of work being performed by the Contractor.
5. Perform calculations and measurement of basic earthwork, grading, and all construction
components that are paid for by unit prices.
6. Maintain continuous communication with the Resident Engineer and other field personnel and
staff.
7. Maintain an awareness of safety and health requirements, and notify the appropriate party for
correction of any observed violations of applicable regulations and Contract provisions for the
protection of the public and project personnel.
8. Prepare calculations, records, reports, and daily inspection reports and correspondence related
to project activities.
9. Assist in the preparation of As‐Built Plans and other documents as required by the Resident
Engineer.
10. Assist the Resident Engineer with quantity measurements and calculations for progress pay
estimates; document the Contractor’s work performance and project events, keeping records of
extra work performance; implement minor changes in the work; implement revisions to the
plans and specifications; and develop estimates for Contract change orders.
11. Assist in preparing force account extra work reports and potential claim reports, and be
available for any change order and claim settlement meetings.
12. Prepare/write /issue Non‐compliance Reports (NCRs) and assist in the remediation necessary for
closure of NCRs.
13. Assist the Resident Engineer in project close out tasks such as punch lists, final inspections, and
project acceptance tasks.
1.4 Materials Sampler/Tester
Each CM will be required to use qualified material samplers, testers, and testing laboratories that meet
the qualifications and requirements as specified in the Contract Documents. These services will be
performed under the direction of the Resident Engineer who will assume the following functional
responsibilities and shall possess experience in such areas as follows:
1. Sample and perform tests in the field or at material sources as required by the Contract
Documents and as requested by the Resident Engineer.
2. Perform and document a variety of field QA tests such as relative compaction, soils tests,
concrete slump tests, and concrete cylinders, as well as tests needed for checking other
required field tests performed by the Contractor’s independent third‐party testing laboratory
testers and samplers to ensure compliance with the Contract requirements.
3. Prepare calculations, records, reports, daily inspection reports, and correspondence related to
project activities.
4. Transport samples for testing to the laboratory, if required.
5. Ensure that the independent testing laboratory hired by the CM is providing independent
testing, sampling, and special inspection staff on an as‐needed basis.
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6. Perform source inspection, sampling, and testing on an as‐needed basis.
7. Transport samples for testing to the laboratory, as required.
8. Perform laboratory testing of test samples as required, when sampled.
9. Provide test results in writing to the Resident Engineer within seven days of the test performed.
These reports will clearly indicate whether the construction or materials meet the Contract
requirements or fail to meet the Contract requirements. The Resident Engineer should require
the independent testing laboratory to provide raw data test results as soon as they are available
for use on the project. The final signed report should follow within seven days of the final test
being performed (e.g., the final samples of a concrete test sample set).
10. Provide technical assistance as requested by the Resident Engineer.
1.5 Project Controls
Each project will require staff that can assist with project controls. Such individual will act under the
direction of the Resident Engineer, will assume the following functional responsibilities, and shall
possess experience in such areas as follows:
1. Review all schedules of all types submitted by the Contractor in accordance with the Contract
requirements, conduct analyses and assessments of those schedules, and provide written
comments.
2. Independently estimate the progress and status of the work as of the data date of each schedule
update (on or about the day of the data date) and use that information to review the
Contractor’s submitted schedule update.
3. Provide advice and opinions to the Resident Engineer and OCTA regarding the Contractor’s
schedules, schedule updates, and the progress of the Contractor’s work.
4. Evaluate all Contractor time extension requests and provide a written opinion as to the validity
of the request, consistent with the requirements of the Special and General Conditions.
5. Generate special schedules and customized schedule reports using the Primavera Project
Management scheduling software, for use by the Resident Engineer and OCTA.
1.6 Administrative Aide
The Administrative Aide will act under the direction of the Resident Engineer, will assume the following
functional responsibilities, and shall possess experience in all of these areas. The Administrative Aide will
also act as the Document Control Lead for the project.
1. Manage the flow of correspondence and all other project documentation required to be
managed by the CM.
2. Assist the CM staff by performing administrative tasks, as instructed.
3. Log the issuance or receipt, and the disposition and processing steps, of all documents such as
RFIs, Value Engineering Cost Proposals (VECP), change order requests, submittals, change
directives, change orders, deficiency notices, and other documents that are required to be
tracked until accepted, approved, or resolved.
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4. Ensure that all paper and electronic copies of documentation and records are being maintained
and properly stored for easy retrieval at all times in accordance with OCTA’s Document Control
System (DCS).
5. Monitor the creation of documentation and reports required of the CM staff, notify the Resident
Engineer of any deficiencies, and endeavor to resolve those documentation issues and fill any
gaps.
6. Assist OCTA, Resident Engineer, Inspectors, and other project participants in accessing and
obtaining project documentation.
7. Ensure that periodic back‐up of electronic files is performed in accordance with OCTA’s DCS.
1.7 Surveying Services
Unless otherwise specified in the Contract Documents,
the Contractor is required to perform all surveying and
grade checking tasks necessary to accomplish the
work. The CM has an obligation to provide control
points and benchmarks as indicated on the plans and
described by the specifications. The CM will provide
surveying and engineering services by a licensed
surveyor or registered engineer necessary to establish
and place those control points and benchmarks. There
may be a need for the CM to perform surveying checks
of the Contractor’s work as deemed necessary and
appropriate to ensure the Contractor’s compliance
with the Contract. Special surveying and engineering
calculations may be required to investigate potential
non‐compliant work, and to measure unit price pay
item quantities, as required by the Resident Engineer.
The Resident Engineer will use Form‐CM105, Request
for Survey, for all survey services required by the CM.
These services are to be tracked on a Survey Request
Log in order to record all survey work performed.
Each surveyor team shall have an assigned surveying Form‐CM105 ‐ Request for Survey
manager. The CM’s Surveying Manager will act under
the direction of the Resident Engineer, will assume the following functional responsibilities, and shall
possess experience in all of these areas.
1. Perform survey services for all stages of construction that are described in the Contract
Documents as required to be performed by OCTA.
2. Administer day‐to‐day activities of the surveying tasks.
3. Perform analytical survey calculations for items such as grading, horizontal and vertical control,
right‐of‐way, and minor in‐field design.
4. Maintain continuous communications with the Resident Engineer, field personnel, and
construction administration staff when on site.
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5. Have the appropriate safety training for survey field operations and be trained in the principles
of traffic control.
2 Meetings
2.1 Orientation Meeting
OCTA will schedule an orientation meeting with the CM staff to discuss specific topics of these
procedures, processes, and expectations from the CM. This orientation will be coordinated with the
various elements of OCTA’s procedures so that overall consistency can be achieved for construction
management. A demonstration and explanation will be reviewed with each CM in order to familiarize
the CM with the DCS system including entry, reporting and the use of various forms.
2.2 PreBid Meeting
A pre‐bid meeting is necessary to familiarize the bidding contractors and project personnel with the
scope of the Contract and the job site. The meeting allows an opportunity to emphasize unique aspects
of the job. At the pre‐bid meeting, the bidding contractors and project personnel can ask questions and
seek verification of complicated or unclear designs and procedures.
The CM is requested to attend the pre‐bid meeting for each construction Contract with the prospective
bidders and Authority representatives. OCTA Contracts Administration and Materials Management
(CAMM) department will schedule, conduct, and document the meetings. The CM shall meet with
OCTA’s Project Manager in advance of the meeting to become familiar with any issues or questions that
may arise, along with the protocol of communications during the meeting.
2.3 PreConstruction Meeting
After the Contract has been awarded and before a Notice to Proceed (NTP) has been issued, the CM will
hold a Pre‐Construction meeting. Prior to this meeting, the CM should send an introduction letter to the
Contractor to remind them of things that they need to start preparing and discuss at the pre‐
construction meeting. The meeting will include the following attendees:
 Contractors and major subcontractors
 CM team
 Authority staff, Program Manager, Project Manager, Safety Manager, and others as designated
by the Project Manager
 Utility companies
 Any impacted agencies
 Material testing firms
 Design Engineer
 Surveyor
The CM will issue a written notice and an agenda to potential attendees at least one week in advance of
the meeting.
The CM and OCTA’s representatives should visit the project site and carefully review the plans and
specifications before the Pre‐Construction Meeting.
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For each construction contract, the Contractor is generally required to provide several items prior to the
Pre‐Construction Meeting. These items may require discussions at the pre‐construction meeting which
include the following:
 A list of subcontractors and contacts with telephone numbers
 Contractor Quality Control Plan
 Work Plan and schedule
 List of shop drawings and submittals and a schedule for presenting them
Each CM should check the Contract Documents for the project requirements prior to the meeting to
identify critical pre‐construction discussion items.
2.3.1 Meeting Agenda
The Resident Engineer shall prepare and distribute a pre‐construction meeting agenda to the
Contractor, OCTA, and all project stakeholders. At a minimum, meeting agenda should include the
topics contained in the following sections:
2.3.2 Introduction
1. Each pre‐construction meeting should be initiated with introductions of attendees. This will help
identify the key personnel involved with the project.
2. Each pre‐construction meeting introduction should include a meeting purpose. This meeting is
intended to address major project issues. For many attendees, this will be the first opportunity
to identify the requirements of the project. Many of the items covered in this meeting will
continue to be topics in the weekly meetings, with increasing detail, as the project proceeds.
3. The pre‐construction meeting will also include a review of the project. This review shall include
staging, major milestones, working days, start and finish dates for the project, and will be
discuss key Contract requirements. Other key elements for discussion include limited NTP,
construction NTP, and liquid damage clauses in the Contract.
2.3.3 Project Site
Project site discussions should include the following:
1. Locations available for the Contractor’s storage and workspace will be identified. Emphasis will
be placed on keeping the job site clear and orderly. The Contractor will be responsible for
keeping construction debris, materials, equipment, and Contractor employee litter “cleaned up”
on a continuous basis. Appropriate waste containers, dumpsters, etc., will be required for waste
material.
2. The site rules and regulations for site security will be discussed as outlined in the specifications.
2.3.4 Lines of Communication
The organizational will be described as follows:
1. Key personnel involved with the project.
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2. A list of representatives for all parties including name, address, and telephone number of each
of key contact personnel for each stakeholder. Each of the following stakeholders will provide a
contact list:
 OCTA
 Construction Management Team
 Contractors
 Subcontractors
 Design Engineer
 Utility Companies
 Law Enforcement
 Railroad Agencies
 Local City/County Agencies
 Other agencies as needed
It will be the responsibility of the CM to maintain this list and publish updates to all parties, as
necessary.
2.3.5 Procedures
At a minimum, the following procedures will be discussed at the meeting:
1. Procedures for fundamental project administration elements including quality assurance and
survey.
2. Procedures for Shop drawing and working drawing reviews as required by the Contract
Documents.
3. Procedures for change orders and change order supplements.
4. A description of claims and dispute resolution as detailed in the specifications.
5. A description of the methods of payment including partial payments and payment for materials
on hand.
2.3.6 Contractor’s Work Plan
At a minimum, the following contractor work plan elements will be discussed:
1. Project Schedule
The project schedule will be discussed. It will identify the start date, completion date, and major
phases of the job, and will contain a Critical Path Method (CPM) Schedule. The Contractor is
required to have a CPM Schedule showing required construction activities prepared for
presentation at the Pre‐Construction Meeting in accordance with the Contract specifications.
2. CQCP Discussion
The CQCP will comply with the Contract specifications. It is expected that the Contractor will
present the organization and general approach to the CQCP that will be submitted for review. It
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is important to understand the organization of the quality personnel, as well as the approach for
compliance with the Contract Documents.
3. Haul Plan Discussions
Most Contracts that require grading and drainage work will require the Contractor to submit a
Haul Plan. The plan will identify the Contractor’s route for hauling material, traffic control items,
and a contact person. In areas where the haul routes involve existing roadways, the Haul Plan
will comply with the Specifications and the Manual on Uniform Traffic Control Devices.
2.3.7 Utilities
At a minimum, the following elements will be discussed:
1. The status of the remaining utility relocations will be identified. The utility status will be
discussed as:
 Under construction, including the completion date, or
 Not started, including the planned start and completion date
2. This information will aid the Contractor in identifying the areas where the utility relocations may
be in conflict with the construction sequence. Identifying the status of the utilities will help
avoid possible conflicts with the schedule.
3. The Contractor has a minimum of two responsibilities regarding the utilities:
 Do not damage existing or relocated utilities, or
 Do not interfere/interrupt the utility relocation progress
2.3.8 Environmental
1. The Environmental and Archeological Clearances will be reviewed as applicable.
2. The Storm Water Pollution Prevention Program (SWPPP) will be reviewed. The Contractor is
required to submit a schedule for accomplishing temporary erosion control, temporary
sediment control, and permanent erosion control in regard to Section GC‐10 of the General
Conditions. Each of the plans will coordinate with the Work Plan. The Contractor is responsible
for the controls working adequately. If the Resident Engineer believes the controls are not
adequate, the Contractor will be informed of the situation.
2.3.9 Safety
1. The Contractor shall present its safety program at the Pre‐Construction Meeting. A list of goals
for the safety program should be included, and if not, it should be requested by the Resident
Engineer. The following questions will be asked for discussion:
 Who are the personnel assigned to the safety program?
 Does the Contractor train employees to recognize and avoid unsafe conditions and
practices?
 Are weekly and monthly safety meetings held to train employees?
 Does the Contractor’s management support the program?
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2. The Contractor will stay current on governmental, state, and federal safety regulations and
standards.
3. The Contractor will be responsible for the subcontractors’ compliance with the safety standards.
4. Traffic Management and Control
2.3.10 Labor Compliance
OCTA will be reviewing labor compliance documents regarding labor wage rate standards, reporting
requirements, apprentice utilization, bulletin board requirements, and the non‐compliance sanctions
that can be levied per the Contract Documents.
2.3.11 Partnering
Partnering issues will be discussed in accordance with the contract terms. A tentative partnering session
may be scheduled at this time.
2.3.12 Public Relations
Public Outreach strategies should be identified as a part of the pre‐construction conference including
discussions on the following:
1. OCTA will notify the public of the construction activities with support and assistance from the
Contractor and the CM.
2. Field personnel may come into contact with the public on a regular basis. Field personnel will
refrain from stating opinions related or unrelated to the project with the public.
3. The Engineer and Contractor must provide a written account to OCTA of any interaction with
the public in regard to comments or concerns raised, so that OCTA can respond appropriately.
4. All requests for information from representatives of the various news media will be referred to
OCTA.
5. In the event of an accident, no public statement will be made. All releases will come from OCTA.
2.3.13 Submittals
The CM shall discuss the necessary submittals required for construction activity prior to NTP.
2.3.14 Other Issues
Other topics not covered or identified in this procedure that are critical to the project provisions should
be highlighted as part of the pre‐construction meeting.
The CM will prepare the minutes for each Pre‐Construction Meeting. All attendees will be provided
minutes, with an opportunity to respond with corrections no later than one week from the date of
receipt of the minutes. The CM will reconcile and incorporate comments, issue the final meeting
minutes to all of the attendees, and file accordingly.
2.4 Weekly Progress Meeting
The CM is responsible for conducting weekly meetings that will have an agreed routine time, day of the
week, and location. It is expected that the Contractor, key subcontractors, CM personnel, OCTA
representatives, and any other affected agencies need to be invited. There will be a standard agenda
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that maintains old and new business for all related activities until those items are closed. It is important
that the history and decisions are documented and maintained on meeting minute forms.
The Contractor shall be required to provide a three‐week look‐ahead schedule for review at this
meeting. This schedule shall be time‐scaled, reference Contract items of work, and contain the actual
progress from the prior week. This schedule shall be in electronic format and shall be provided at least
24 hours in advance for review by the CM. Handwritten schedules will not be acceptable.
With respect to coordination and problem resolution, the activities that affect the critical path work
tasks, near‐critical path work tasks, or project duration will be given priority. Quick reviews of the
weekly estimates of pay items need to be performed to verify agreement between the Contractor and
the Engineer. If a conflict occurs between estimates, another meeting addressing the estimates will be
established to further address the issue. Minutes of the weekly meeting will be prepared by the CM and
distributed with all referenced attachments to the attendees and other parties on the standard
distribution list within two business days of the meeting.
2.5 Miscellaneous Meetings
There will be occasions where other specific meetings are required such as adjacent project
coordination, progress payment quantities, conflicts, quality standards, schedules, performance
observations, and change order negotiations. In the event that these meetings are necessary, the CM
will prepare an agenda as well as document the meeting by distributing minutes within two business
days of the meeting.
3 Contract Compliance Matrix
The CM shall develop a matrix that outlines the contractual obligations of the Contract Documents so
that a monthly report on status can be produced. This matrix will be used throughout the project to
update status and ultimately confirm the date of the completion of such Contract obligations. The CM
shall develop a format acceptable to OCTA, and should include items such as:
 Unique Item Number  Due Date  Completion Date
 Description  Reminder Date  Status Remarks
 Contract Document  Forecast Complete  Responsible Party
Date

4 Public Relations
In any community, information concerning roadway improvements is an interest to the public. The CM is
responsible for assisting OCTA with public relations activities when requested. This includes providing
relevant project information and attending internal and public meetings, as necessary. From the
standpoint of good public relations, it is important that information pertaining to the project be made
available as soon as possible, and that it is both accurate and complete.
Field personnel are in daily contact with, and under the critical eyes of, the public. It is essential that all
field personnel strive to conduct themselves in a manner that will command respect and confidence.
Field personnel will refrain from stating opinions on local issues that have no connection with the
project. Questions directed to field personnel shall be referred to the CM for answer or further referral.
The CM shall observe and work with the Contractor to ensure that the same conduct is carried through
with all Contractor and subcontractor personnel.
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The development of good public relations can eliminate many public complaints. Complaints regarding
construction should always be promptly addressed. All reasonable effort will be made to arrange a
satisfactory settlement in a tactful and considerate manner. All community related questions and
complaints will be noted in writing by whoever was contacted, and will be provided to the CM to
resolve. Field personnel should strive to listen to complaints, not provide a response, but indicate
someone will follow up with them and politely note information so that the CM can follow up. The CM
shall log complaints and regularly communicate these issues with OCTA. It is important that the CM
work with the Contractor to address construction complaints as well as assure that the Contractor is
respectfully responding when directly addressed by the public. The Contractor should provide any
complaints, remarks, or issues related to dealings with the public in writing.
The CM will ensure that adequate notice is provided to area residents and the traveling public through
the appropriate channels for traffic detours, closures, and any special construction activities. The CM
shall keep OCTA’s public relations department aware of construction activities in the event they are
notified directly. OCTA, the CM, and the entire team shall be consistent when providing a response to
the public; therefore, common coordination is required.
No copies, sketches, computer graphics, or graphs, including graphic artwork, will be released by the CM
or Contractor to any other person or agency, except after prior written approval by OCTA, and except as
necessary for the performance of services under the Contract Documents.
The CM shall not use OCTA’s name, photographs of the project, or any other publicity pertaining to the
project in any professional publication, magazine, trade paper, newspaper, seminar, Web site, or other
medium, without the express written consent of OCTA.
All requests for information from representatives of the various news media shall be referred to OCTA’s
public relations department. In the event of an accident, no public statement will be made by the CM.
All releases will come from OCTA.
5 Adjacent Property Owners
To maintain good public relations, all adjacent property owners will be treated respectfully and fairly.
Each CM should closely monitor all impacts to surrounding properties. If any private property damage is
observed, the contractor should be directed to make appropriate repairs immediately. In addition, the
CM will need to be familiar with all right‐of‐way constraints and agreements for access rights, durations
of need, notification periods, and any other elements regarding access to adjacent property owners. The
CM shall notify OCTA immediately if an issue arises that are not addressed by the contract or that have
the potential to negatively affect a property owner including blocking of property access.
5.1 Third Party Complaint Process
The CM will need to contact and work with OCTA Community Relations Specialist and Risk Management
Department related to all third party claims and incidents. The following are general steps that are
followed when a Third Party complaint has been raised to the project.
1. Compliant identified to Contractor or CM. The CM should contact the OCTA Community
Relations Specialist for the relevant project and transfer the information.
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2. The Community Relations Specialist will attempt to make contact with the complainant and
schedule a meeting to review the alleged damage or issues as necessary. The CM and
Contractor may be requested to attend the meeting.
3. OCTA Risk Management Department will send out a letter and corresponding form (Form CM‐
126) to the complainant. This form would need to be completed by the private party and will be
submitted to the Contractor for processing. The CM should request a copy of this form when
received by the Contractor and forward to OCTA.
4. OCTA Risk Management Department will follow up on a regular basis with the Contractor
insurance company on status of the claim.
It will be important for the Contractor to maintain a status listing of the third party claims such that it
can be reviewed at the weekly progress meetings as necessary.
6 Adjacent Projects
The CM will be cognizant of construction activities on other projects that are adjacent to the project,
and will record the type of construction and the company performing the work in the daily, weekly,
and/or monthly reports. It is important that the CM understand the scope of the adjacent project and
the potential effects on the schedule and activities of the project. It is expected that the CM will monitor
progress and have regular coordination meetings. The CM may invite representatives from the adjacent
projects to the weekly meeting or conduct separate discussions in order to maintain adequate
cooperation between projects.
7 Partnering
OCTA recommends the use of partnering and will use partnering techniques on most large scale
Contracts. Partnering is a non‐contractual agreement between parties to cooperate and expedite
processes that the project and each party benefits from. The primary reason for partnering is to achieve
an advantage in performance by reducing costs, improving quality, and achieving scheduled
performance. The three key elements of any successful partnering relationship are trust, long‐term
commitment, and a shared vision. Although partnering is not to be construed as a legal “partnership,”
by focusing on these key elements, disputes or barriers can be overcome and agreed upon without
destroying the partnership. If a dispute does arise, the partnering team will work to resolve the issue as
soon as possible. The longer a dispute goes without action, the greater the opportunity for costly claims.
OCTA will typically sponsor partnering sessions with an equal share of the costs being borne by the
Contractor, and it is expected that the CM, along with other key project participants, will attend all
partnering meetings. The CM will prepare a Contract Change Order (CCO) to reimburse the Contractor
for OCTA’s share of the partnering facilitator and venue cost in accordance with Contract provisions.

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8 Railroad Coordination
OCTA will enter into agreements with each respective railroad impacted by a project for required work
elements. The agreement will specify critical impacts including right‐of‐way access, duration of
construction, reimbursement requirements, and other conditions. The CM will become familiar with this
agreement and obligations so they can be monitored and confirm compliance. The Contractor is
required to give advance notice for work within the
right‐of‐way, as well as preparation of specific work
plans in accordance with the various Contract
Documents. These notifications will be processed
through the CM to each railroad, as well as any
subsequent correspondence. The CM shall prepare a
compliance matrix showing these elements and
notifications so that all requirements can be
monitored and adhered to by the Contractor.
The CM shall pay special attention to the
requirements and coordination for the use of railroad
flaggers, and create and maintain a log of the days
that flaggers were used, along with a description of
the general activities. Special notes shall be made and
subsequent notification to the Contractor if a flagger
day was not fully used. The Contract Documents also
provide that railroad flaggers who work on overtime
for holidays and beyond normal work day will be paid
directly by the Contractor since the railroad charges
extra for that time. The CM is responsible for Form‐CM104 Request for Flagging
receiving those invoices from the railroad and passing
them onto the Contractor, resolving any disputes between the railroad and the Contractor about those
charges, and processing deductive change orders to account for the cost.
9 Utility Coordination
Utility relocations are commonly required for most projects. Coordination between the utility
companies and the contractors will be critical to finishing each project on schedule. The CM will take the
lead in coordination of utility relocations being performed by utility companies. It is recommended that
regular coordination meetings are held to discuss the schedule, coordination with construction
activities, access, and traffic control. The CM shall review the Contract Documents, utility agreements,
and utility relocation plans, and develop a matrix that includes critical delivery constraints for all utilities.
The CM shall review and confirm that utility relocations being performed by each respective utility
company meets applicable permit requirements and confirm through check surveys that the horizontal
and vertical location of the utility is in accordance with the requirements of the utility agreement and
the construction contract drawings.
9.1 Utility Coordination Meetings
The Contractor is responsible for coordination of the Contract work with all affected utility companies.
This includes cooperation with utility personnel, utility contractors, and providing access to the work
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site. It is expected that there will be utility coordination meetings to document and discuss affected
work elements of the relocations and schedule impacts. The Contractor is responsible for documenting
coordination, which also includes preparation and distribution of all meeting minutes to the respective
utility companies and the CM. Each CM must closely manage the utility relocation process to ensure that
relocations are tracking in accordance with project schedules.
The CM shall ensure that the Contractor’s meeting minutes are an accurate representation of the
discussions during the meeting and that the meeting minutes are prepared and distributed promptly by
the Contractor. If the Contractor fails in this regard, the CM will be expected to prepare the meeting
minutes and promptly distribute them to the attendees.
10 Progress Reporting
10.1 Weekly Progress
Each CM shall prepare weekly reports during the construction phase that provide a summary of major
activities at the end of each week. It is expected that this report will be in the form of an email to OCTA
that is sent by Noon of the following Monday or as otherwise directed by OCTA. A hard copy and an
electronic copy will be filed in the DCS in accordance with the document control procedures. The weekly
reports will be filed in accordance with the project file breakdown structure. The topics included in this
weekly report, along with content, will be discussed and agreed to with OCTA at the beginning of the
project, and are subject to change as the project progresses.
A template agenda item list has been generated for consistency among the various projects as follows:
A. ANNOUNCEMENTS
B. SAFETY REPORTS AND INCIDENTS
C. SCHEDULE
Brief status on Schedule submittal then review Contractor 3‐week look ahead
D. SUBMITTALS
The CM13 Open Submittal log as well as Rejected Log should be attached and reviewed
E. REQUESTS FOR INFORMATION
The CM13 RFI Open log should be attached and reviewed
F. QUALITY CONTROL AND ASSURANCE
The NCR log should be attached and reviewed by Contractor
G. CHANGE MANAGEMENT
The CM13 Change Document log, review as see necessary
H. RAILROAD COORDINATION
I. UTILITY COORDINATION
J. TRAFFIC COORDINATION
K. PUBLIC RELATIONS
L. OTHER ITEMS
When an item is discussed in a particular category then it will be added in the meeting minutes using a
consistent numbering. For example, H1201 BNSF Flagger unavailable for week. The H1201 consists of
Category H from the Agenda and is weekly meeting 12 and item 01 from that category and meeting.

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10.2 Monthly Progress
The CM will prepare project status reports during the construction phase in a format acceptable to
OCTA on a monthly basis, describing the status of the project. The data date of the report shall be the
last day of the month, or other date acceptable to OCTA. The format and distribution of the report will
be reviewed with the OCTA and agreed upon at the beginning of the project, but is subject to change as
the project progresses. This report shall be developed and distributed to key project stakeholders each
month within seven calendar days after the data date of the report.
Information contained in the report shall include, but is not limited to:
1. Project summary and work accomplished in the period.
2. Project schedule status – compare actual progress to objectives, including a summary‐level bar
chart showing previous update targets and current schedule updates, critical path activities, and
impacts.
3. Description of the Contractor work activities planned to be performed next month.
4. Status of all submittals, RFIs, change orders, and claims in process, including copies of tracking
logs.
5. A description of any new Contractor notices of claim.
6. A project budget status and estimate of probable cost. Clearly indicate whenever an estimated
cost will exceed the budget, along with a recommendation of the corrective action.
7. Identification of risks to the project.
8. Any Contractor performance problems.
11 Schedule Reviews
The Contractor is required to develop and maintain a construction schedule in a CPM format identifying
the activities and critical events involved in the performance of the project. These requirements are
specified in detail in the Contract Documents. The CM will perform a detailed written review and
analysis of each schedule submission by the Contractor in a timely manner, so that any discrepancies
can be resolved. The CM is responsible for the acceptance or rejection determination consistent with
the requirements of the Contract Documents. A monthly meeting should be coordinated with the
Contractor to review and agree upon the progress of the schedule activities for the current period. This
meeting should be at a consistent time and day of the month agreed to with the Contractor. The CM
shall separately document this meeting and provide meeting minutes within three days to the
Contractor and OCTA.
The Contract Documents contain provisions that describe measures OCTA may take if the Contractor
fails to fulfill its project scheduling obligations under the Contract terms. If such a failure occurs, the CM
will be required to prepare, or to retain the services of a scheduling consultant to prepare, schedules in
accordance with the Contract Documents. Those schedules will be used to allow OCTA to manage the
project, evaluate the work by the Contractor, and determine whether the Contractor is substantially
complying with the Contract requirements. The Contract Documents provide that all costs incurred by
OCTA in preparing contractually‐required schedules by other means shall be paid by the Contractor
through a deductive change order, which the CM shall prepare and administer.
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11.1 Baseline Schedule
The CM shall enforce the project scheduling requirements of the Contract Documents, and review all
submitted schedules to determine if each schedule meets the Contract requirements. All schedule
review comments and acceptance or rejection dispositions shall be provided to the Contractor in
writing. The CM shall use qualified staff proficient with the specified scheduling software that is required
to be used by the Contractor, and shall promptly review each submitted schedule. All CM work product
created during the review of each Contractor schedule submission shall be maintained in a file folder
consistent with the document control procedures.
The CM shall expend whatever resources are required to thoroughly review the Contractor’s baseline
schedule to assure compliance with all Contract requirements. The baseline schedule has significant
contractual implications, as the Contract Documents require that the current accepted schedule be used
for the determination of all time extension requests by the Contractor, and for analysis of project delays.
11.2 Schedule Updates and Schedule Revisions
The CM shall study the project scheduling requirements of the Contract Documents and strictly enforce
the requirements related to the submission of schedule updates and schedule revisions. Schedule
revisions, as defined by the Special Conditions, are not permitted to be mixed with schedule update data
unless the revisions have been previously accepted in writing by the CM.
The CM should encourage the Contractor to submit all proposed schedule revisions for review and
acceptance before the regular (monthly) schedule update is required to be prepared and submitted. If
the Contractor fails to obtain prior approval of schedule revisions, then there may be instances where
the Contractor will have to submit two schedules with the same data date for a particular month — one
with only schedule update (status) modifications, and one with the update information and any
proposed schedule revisions. The two schedules should be reviewed for acceptance by the CM
independently. The CM shall endeavor to review all proposed schedule revisions by the Contractor
promptly, and provide review comments or acceptance before the next monthly schedule update is
required to be submitted.
11.3 Schedule Time Impact Evaluations
The CM shall become familiar with the project scheduling requirements of the Contract Documents and
strictly enforce the requirements related to the submission of a Time Impact Evaluation (TIE) by the
Contractor, whenever the Contractor requests a time extension to the Contract time or a milestone
completion time period or date. The CM is required to evaluate each TIE, perform an independent TIE
related to the delay or time impact if necessary, and prepares a report for OCTA’s review with the CM’s
recommendation for acceptance, acceptance with comments, or rejection of the Contractor TIE. If the
Contractor TIE is found to be unacceptable, the CM shall recommend to OCTA the number of days, if
any, that the Contract time or milestone completion time period or dates should be adjusted by change
order.
11.4 Weather Days Schedule Activity and Weather Day Accounting
The CM shall study the project scheduling requirements of the Contract Documents that address
weather days, become familiar with the specified process for determining the number of weather days
required to be included in the schedule, and determine the method for usage of those weather days by
the Contractor during the course of the project. The CM is required to administer the granting of
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adverse weather days, maintain a Weather Day Log of requested and allowed weather days, and ensure
that the Contractor’s schedule updates accurately reflect the current status of the allowable weather
days.
11.5 Schedule Submission Tracking Log
It is important to have core information regarding the progress of schedule submissions. The CM shall
use a tracking log of all schedule submissions based upon a template located on SharePoint CM forms.
This log should be located with the Schedule working folder under SharePoint.

12 Applications for Progress Payment
The Contractor will be paid for the value of all accepted quantities for the various items of work
satisfactorily completed in accordance with the Contract and computed in accordance with the
applicable measurement for payment provisions of the Contract. The Contractor will typically use the
Schedule of Unit Prices and Quantities submitted with its bid and made a part of the Contract upon
execution as the basis for each monthly progress payment request as the work is completed. The
Contractor will prepare additional schedule of values payment breakdowns for lump sum items. The CM
shall review and approve these schedules of values so that progress for partial payment can be
ascertained as work progresses. The CM will not allow any progress payments until the schedule of
values for lump sum pay items has been agreed to in writing.
The CM will then need to enter the unit price bid items and the schedule of values for lump sum items
into Primavera Contract Manager so that the progress can be tracked on a monthly basis. This system
maintains the values in a database that will, at any given point, provide contract values, earned value,
and other valuable metrics. It is expected that the progress payments will be made monthly, with a cut‐
off date of the 25th day of each month.
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12.1 Progress Payments
The CM will review the requirements of the Contract Documents and determine the procedure for
reviewing/concurring with monthly payment applications.
Typically, it is expected that the following sequence would be included in this procedure:
1. Contractor shall prepare and forward to the CM a draft progress payment invoice in writing
consisting of the value of the total amount of work completed plus the value of the acceptable
materials on hand prior to the end of each progress payment period cut‐off date.
2. The CM will review and evaluate the draft progress payment along with all of the
documentation for materials on hand. It is expected that the CM will confirm the values of
completed work and any discrepancy will be documented in writing.
3. The CM will schedule a monthly progress payment meeting with the Contractor to resolve any
outstanding issues and provide meeting minutes the following day.
4. The Contractor will then submit a final progress payment invoice incorporating agreements from
the progress payment meeting.
5. All quantity agreements should be verified and documented in monthly Quantity sheets or
commonly referred to as Q sheets. This is required for all line items which shows the basis and
quantities calculated for payment in that period. These Q sheets should be filed with each
payment application for record along with any material on hand documentation.
6. The CM will provide a “Certificate for Payment” to OCTA for processing of each monthly
payment.
12.1.1 Line Item Overrunns and Underruns
There may be situations in which there are quantity variations through the progress of the work. The
Contract Documents address specifics and should be considered when making a determination of
overruns or underruns. In the case of line item overruns, in general it is acceptable to compensate an
individual line item up to 125% or $25,000 above the original line item amount without prior approval as
long as the total contract value is not exceeded. The CM will prepare a change order at the end of the
contract to reconcile these amounts with the appropriate documentation. It is recommended to keep a
separate log of these items and monitor closely such that the total contract value is not exceeded.
12.1.2 Material On Hand Payments
The Contract Documents address specifics requirements of documentation necessary for material on
hand payments and should be followed. In general, OCTA will not pay more than 50% progress on a
specific line item without prior approval. The Contractor and CM should prepare a request in advance of
the progress payment application documenting the reasons for requesting payment above 50% of a
specific line item.
12.2 Certificate for Payment
The CM will be responsible for reviewing and certifying the Contractor’s progress payment invoice. The
review will involve progress of work based on the earned‐to‐date quantities of unit price items and the
earned‐to‐date completion percentage for each item in the schedule of values for lump sum payment
items, verification that proper materials are used, ensuring that stop notices filed against the project are
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released prior to final payment, and ensuring that the Contractor issues conditional releases from
subcontractors and material suppliers for items covered in the application for payment. Any payment
invoice determined by the CM not to be a proper payment invoice shall be returned to the Contractor
within seven days of receipt, setting forth in writing all reasons why the payment invoice is not proper.
The CM will be required to prepare a Certificate for Payment that constitutes a representation that the
Contractor is entitled to payment in the amount certified. The CM will advise OCTA of known incomplete
or unsatisfactory items of work, and obtain from the Contractor a schedule for correcting and
completing the work. If there are unresolved discrepancies with the Contractor, the CM shall make a
recommendation to OCTA of the amount of payment to the Contractor along with a summary of the
differences. OCTA shall make the final determination and will issue payment in the amount it deems
appropriate.
The CM will include the following statement in the Certificate of Payment:
Based on the Resident Engineer's observations at the project site and on the data
comprising the Application for Payment or Invoice, the Resident Engineer hereby
certifies that the work has progressed to the point indicated and that, to the best of the
Resident Engineer's knowledge, information, and belief, the quality of the Work is in
accordance with the Contract Documents. The foregoing representations are subject to
minor deviations from the Contract Documents correctable prior to completion and to
specific qualifications expressed by the Resident Engineer.
The CM will transmit the certification, along with the final Contractor progress payment application, to
OCTA for processing and payment. A log shall be developed that tracks the progress of each monthly
payment application along with payment releases to Contractors and subcontractors. It is important
that any special remarks regarding additional retention is summarized so that it can be viewed easily.
12.2.1 Payment of Retention
The CM will refer to each Contract, but typically a retention amount of 10 percent of a monthly progress
payment invoice will be made each month until final payment application invoice. OCTA may reduce the
percentage of retention held each month throughout the Contract period so adjustment to the payment
application will need to adjusted as needed and approved by OCTA. OCTA will typically hold the contract
specified retention for a warranty against construction defects until final acceptance.
In addition to the retention amounts, the CM may withhold additional amounts from any payments
otherwise due to the Contractor as it determines necessary, to cover the following items:
1. Payments that may be past due and payable for just claims against the Contractor or any
subcontractor for labor or materials furnished in performance of the work under the Contract.
2. For defective work not remedied.
3. For failure of the Contractor to make proper payments to any of its subcontractors.
4. A reasonable doubt that the Contractor will complete the work within the Contract time limits.
5. Damage to other work or property caused by the Contractor or subcontractor of any tier.
6. An amount, not less than 10 percent of the total progress payment, due to the failure to abate
within one working day or immediately in cases of imminent danger, infractions of the
Contractor’s Safety Plan, Cal/OSHA, Federal OSHA, ANSI, or other applicable safety standards.
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7. An amount not to exceed 20 percent of the total progress payment, due to four or more
repeated infractions in a single payment period of the Contractor’s Safety Plan, Cal/OSHA,
Federal OSHA, ANSI, and all other applicable safety standards.
8. All legally required sums for, but not necessarily limited to, stop notices, labor, and tax liens.
9. Labor compliance and certified payroll non‐compliance.
10. For any other reason stipulated in the Contract Documents.
11. Estimated project liquidated damages for major milestones.
Whenever the CM recommends withholding of any moneys otherwise due to the Contractor, written
notice of the amount withheld and the reasons therefore shall be given to the Contractor. The amount
withheld will be released upon satisfactory resolution of the grounds for such withholding.
12.3 Contractor Payments
Refer to the Contract Documents for progress payment terms and procedures. The Public Contract Code
requiring prompt payment to Contractors may be applicable to this Contract. Undisputed and properly
submitted progress payment invoices shall be paid within 30 days of receipt by OCTA. Any undisputed
and properly submitted payment invoice not paid within 30 days shall accrue interest at the legal rate
set forth in Section 685.010 of the Code of Civil Procedure. The CM shall endeavor to assure that OCTA
fulfills its obligations under the Contract and the Public Contract Code by calculating the expected
payment due date and notifying OCTA of the latest date that the payment can be made.
12.4 Subcontractor Payments
The Contractor is required to adhere to all Federal and State of California prompt payment laws and
regulations including the Business and Professions Code requiring the Contractor to pay subcontractors
within 10 days of receipt of each progress payment to the extent of each subcontractor’s interest
therein, unless otherwise agreed to in writing. The CM shall regularly monitor that the Contractor is
making these payments and that any deviation is promptly noted in writing.
12.5 Final Payment Invoice
The CM will review and evaluate the Contractor’s final payment invoice and transmit any necessary
adjustments in writing, including an itemization of the amount, segregated as to Contract item
quantities, extra work, and any other basis for payment, and shall also show all deductions made or to
be made for prior payments and amounts to be kept or retained under the provisions of the Contract.
All prior payments shall be subject to correction in the proposed final payment invoice. The Contractor is
required to respond in writing within 15 days of either accepting or objecting to the changes. If the
Contractor does not object to the changes, a final payment invoice will be submitted to the CM for
certification and processing for payment.
If the Contractor has an objection to the comments provided by the CM, then the CM shall provide a
certificate for payment with the noted revisions so that the Contractor can be paid while the
outstanding issues are resolved. Subsequently, the CM will schedule and document all meetings
necessary until resolution. If the CM and Contractor do not reach resolution, the Contractor has the
right to submit a notice of claim pursuant to the Contract Documents.
At a minimum, the following items should be met prior to the CM providing a certificate for final
payment:
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1. Final Acceptance by the CM that includes all work items and any punch list activities.
2. Contractor provides an affidavit that all payrolls, bills for materials and equipment, and other
indebtedness connected with the work have been paid or otherwise satisfied.
3. Contractor provides a release of liens and claims arising out of the Contract, to the extent and in
the form designated by the CM. If a lien claim remains unsatisfied after all payments are made,
the Contractor is required to reimburse OCTA for all monies that OCTA may be compelled to pay
in discharging the claim, including all costs and reasonable attorney's fees.
4. Contractor provides final labor and payroll reports, certificates, and other final reports required
by the Contract Documents.
5. Contractor supplies all warranty information as required in the Contract Documents.
6. Contractor provides a statement that acceptance of final payment shall constitute a waiver of all
claims against OCTA arising under the Contract.
The CM shall produce a final tabulated quantity and pricing schedule for OCTA’s use.
A final balancing contract change order must be developed by the CM for contractor execution in order
to finalize pay quantities and balance force account change orders.
13 Request for Information
The Contractor may submit an RFI in writing to the CM for clarification or interpretation of the Contract
Documents. This submittal shall use the latest Form‐CM103, Request for Information, and can be made
electronically or in hard copy format. The RFI numbering system must be made sequential where no
numbers can be reused for deleted or withdrawn RFI’s. If the Contractor chooses to withdraw an RFI,
the number will still be logged and identified as
withdrawn in the status. It is critical that all additional
attachments to the RFI form bear the same RFI
number on the lower right corner of each attachment
page. In order to expedite RFI processing, electronic
signatures or typed names will suffice for submittal as
well as reviews. Upon final disposition of the RFI, the
form and attachments will be converted to Adobe
PDF and transmitted back to the Contractor. The CM
will maintain a log that identifies all outstanding and
resolved RFIs, which includes relevant information
and dates.
RFIs shall not be used for the following purposes:
 To request approval of submittals
 To request approval of a substitution
 To request changes in the work that entail
additional costs or propose a credit
Form‐CM103 ‐ Request for Information

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 To request different methods of performing work than those indicated on the plans and/or
specifications
The CM is required to enforce those Contract provisions and administer the RFI process accordingly by
returning an RFI unanswered to the Contractor, which is determined by the CM to be a misuse of the RFI
process.
13.1 RFI Review
The Contractor is required to clearly and concisely set
forth the issue for which clarification or interpretation is Contractor Issues
sought and why a response is needed. The Contractor RFI to CM
shall also include its own interpretation or understanding
of the requirement, along with the reasons why it has Conforming No CM returns RFI
unanswered and
reached such an understanding. The CM will first review RFI?
with processing fee
the RFI to determine whether it is “conforming”
according to the Contract and if all relevant information is Yes
included to perform a review. The CM may return the RFI CM Able No CM Defers RFI

requesting additional information or clarification prior to to Respond to Designer
performing review of the content, and the corresponding Yes
dates will be adjusted.
CM Provides
If the RFI appears to be complete and valid, then the CM Response
will process the RFI for review, which may include review
and a response by the designer and/or a third party, as
No
necessary. The CM will gather all responses, prepare final Response Contractor Issues
Acceptable? New RFI to CM
disposition of the RFI, and return it to the Contractor
within five working days of receipt. The CM shall inform Yes
the Contractor in writing if additional review time is
Change No
necessary. The CM shall be diligent in the review of each Request? CM closes RFI
RFI and endeavor to assure that the turn‐around time
Yes
does not affect critical path activities.
Contractor issues
Any RFI reply that the Contractor believes does not Change Notice
adequately answer the question shall be the subject of a
new RFI by the Contractor, which shall reference the previous RFI reply using the previous RFI number
and reply date.
13.2 NonConforming RFI
If the CM determines that a submitted RFI does not meet the intent of the Contract, it will be identified
as a non‐conforming RFI and returned without further review. The CM should include the reasoning for
the non‐conformance in compliance with the Contract and will make the same notation on the RFI Log.
Some of the elements of non‐conforming RFIs include:
1. RFIs that do not include a detailed statement of the clarification requested.
2. When the RFI form is used as a Contractor request for a change in the work.
3. When the RFI form is used as a request for additional payment.
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4. When the RFI form is used to request additional Contract time.
5. When the RFI includes multiple, unrelated issues in one RFI.
6. RFIs that request information clearly shown on the plans, specifications, change orders, other
Contract Documents, answered RFIs, submittals, and prior project‐related communications.
7. RFIs that request information of an item that is clearly not part of the work.
8. Questions about coordination of work with the City, the County, a separate contractor, utility
company, property owner, or other entity.
9. RFIs that request information from the CM or OCTA not related to a clarification or
interpretation of the Contract Documents.
Each non‐conforming RFI will result in a processing fee of $200 being charged to the Contractor or as
identified in the contract specifications. The CM shall keep track of the number of non‐conforming RFIs
submitted during the progress payment period and shall process a deductive change order. It will be
imperative that the CM maintains the RFI Log and that it highlights those non‐conforming RFIs, as well as
identifies the CCO number that was used to deduct the fees from the Contract price.
14 Submittals
The CM is responsible for review and approval of all submittals and samples for compliance with the
Contract Documents. The requirements for submittals will vary based on the Contract documents;
therefore, the CM shall develop a listing of expected submittals, requirements, and special handling that
may be necessary. The CM will organize all submittals in accordance with the file breakdown structure
contained within these procedures, regardless of the numbering system that the Contractor may choose
to use. In all cases, cross‐referencing the submittals using the Contractor’s tracking number and the
CM’s tracking number will be required on the logs and submittals themselves.
It is expected that the submittals will be organized and packaged by similar types of work inside of
Primavera Contract Manager, so that all related elements can be located easily. The document control
administrator will maintain the listing of submittals and submittal package numbering, and generate
regular status logs.
The Contractor is required to develop a submittal list and schedule required for approval by the CM. The
submittal schedule should be reviewed by the CM to confirm that sufficient time is permitted for review
in advance of construction needs. Unless otherwise specified, the CM will need to review and return all
submittals within 20 calendar days after receipt of a complete submittal. The CM will need to be diligent
in reviews, as well as coordinating with the Design Engineer and third parties, so as not to exceed this
review period and potentially cause delays to the Contractor. The submittal review turn‐around times
will be tracked and regularly monitored for compliance by OCTA.
14.1 Review
The Contractor is required to submit two copies of each submittal to the CM along with an Adobe
Acrobat PDF file, unless otherwise specified in the Contract Documents. The CM will review each
submittal for completeness of the information necessary to review. If the submittal is missing any
required information, it will be rejected and transmitted back to the Contractor identifying the reasons
for rejection. If the submittal appears to have the proper information, the CM will then distribute it for
review as appropriate, which may include distribution to the Design Engineer and/or third parties. The
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CM will need to establish an informal agreement with the Design Engineer and third parties as to
number of copies provided to each reviewer, along with the allowable time for reviews. In all cases, the
CM is expected to review each submittal for compliance to the best of its ability. The CM will review
submittal comments and notes provided by each respective reviewer and make a determination of
acceptance of the submittal.
The CM will return one hard copy or electronic Adobe Acrobat PDF file of the submittal with a stamp
that indicates one of the following responses: ACCEPTED, ACCEPTED AS NOTED, MAKE CORRECTIONS
NOTED, or AMEND AND RESUBMIT. In an attempt to reduce copies, the CM should work with the
Contractor to reach agreement about using electronic copies, where feasible. Written comments not
placed on drawings will be included in OCTA’s comment disposition form that will be transmitted
electronically, as well as hard copies so that the Contractor can provide written responses during the
resubmittal. The CM will also be required to scan all hand written comments in color and include them
in the submittal file as part of the transmittal correspondence returned to the Contractor.
15 Change Management
Changes to Contract amounts and schedules require preparation of a Contract Change Order (CCO).
Change requests are prepared by the Contractor and submitted to the CM. In order for there to be
broad consensus of the response to the Contractor’s change request for both entitlement and value, the
following procedures will be followed:
1. The CM reviews the change requests for accuracy and entitlement based on the Contract
Documents and prepares a draft response to the Contractor. The CM will prepare a Change
Order Summary that includes the following information depending on nature of CCO.
a. CCO summary report
b. CCO Review Checklist
c. Justification Memorandum
d. Independent Cost Estimate
e. Time Impact Analysis and Schedule Review
f. All related back up documentation
2. OCTA reviews and provides input to the CM on the draft response.
3. If the final version of the response to entitlement is no, then the response is signed by the
Resident Engineer and returned to the Contractor. Provide two original copies for wet
signatures.
4. If there is entitlement, the CM will hold a negotiation/reconciliation meeting with the
Contractor to resolve time impacts and any differences in cost. A final draft response may
require review by OCTA’s Director based on the value or schedule impact as determined by
OCTA.
5. If a change request is determined to have merit, then the final cost should be negotiated by the
CM with the Contractor. All Change order negotiations must also include an agreement on time
impact. Depending on the magnitude of the amounts, these negotiations can take place at two
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levels. Amounts of up to $210,000 are handled by OCTA Department Director. Amounts over
$210,000 are executed by OCTA’s CEO after the approval of OCTA’s Board.

6. If the CM and Contractor come to resolution on the Change Request, then a CCO is prepared by
the CM. If there is no reconciliation of terms, the CM will prepare a unilateral CCO for the
amount and time impact agreed between the CM and Authority. The Contractor can pursue any
additional cost and time through the claim process.
7. If the project has federal funding, then a prior authorization from FHWA and Caltrans Local
Assistance may be needed prior to proceeding with the CCO. Together with OCTA’s project
management team, the CM will process the necessary documentation and forms for FHWA and
Caltrans Local Assistance approval.
8. If a change request is determined to have merit, then the final cost should be negotiated by the
CM with the Contractor. All Change order negotiations must also include an agreement on time
impact. Depending on the magnitude of the amounts, these negotiations can take place at two
levels. Amounts of up to $210,000 are handled by the Authority Department Director. Amounts
over $210,000 are executed by the Authority’s CEO after the approval of the Authority’s Board.
9. Each project contains a specified budget for implementing. If additional budget is required
beyond the existing budget currently adopted by OCTA, then OCTA Project Manager will prepare
necessary documents including support documentation from the CM to make a budget request
increase from the OCTA Board of Directors. Such requests may have lead approval time and
must be brought to the attention of OCTA immediately.
The CM shall refer to the Contract Documents for the particular deadlines, constraints, and
requirements for the changes to the project. The preceding and following procedures outline a typical
process along with days for processing that will be followed unless otherwise specified in the Contract
documents. The CM shall refer to the Change Management flow chart which is maintained by OCTA due
to changing requirements.
15.1 Change Requests
The Contractor may make a written request to the CM to modify the Contract based upon the receipt of,
or the discovery of, information that the Contractor believes changes the scope of work, price, schedule,
level of performance, or other facet of the Contract. A written notice is required to be provided by the
Contractor within seven calendar days of the occurrence, stating the reasons for the potential change.
The Contractor may be allowed to skip this step if a formal change request is submitted within this same
time period.
The CM must verify the completeness of each change request submitted by the contractor and reject an
incomplete request or communicate back any deficiencies. The change request is required to include all
of the necessary information to substantiate the effect of the change and any impacts to the work,
including any change in schedule or Contract price, and shall include all existing cost and schedule
supporting documentation or a description of anticipated documentation. The change request is
required to be delivered within 30 calendar days of the initial discovery of information, leading the
Contractor to believe a potential change to the Contract exists. In the event that the Contractor needs
additional time to provide the necessary documentation, it should be noted as such in the Change
Page 27 of 38

Request and the CM will track and monitor the outstanding information until it is available, so that a
complete review can be made.
If the Contractor fails to provide the written notice and/or change request within the Contract time
period, the Contract provisions state that any future claims or changes based upon those events shall be
waived by the Contractor. In that instance, the CM shall notify the Contractor in writing of its failure to
meet those Contract requirements.
The CM shall notify OCTA of any change notices and change requests. These shall be tracked on the
Potential Change Log and the CM shall gather the necessary documents and information to perform a
review and analysis of the change request. The CM shall prepare an initial written response to the
Contractor within two days of receipt of the change
request, and describe any required initial information
not contained in the change request. It is expected
that the CM complete the review, analysis, and
recommendation within 14 calendar days of receipt
of all necessary information regarding the change
request.
The CM will then prepare a response to the change
request from the following choices:
1. The change request is acceptable and a
Contract Change Order will be prepared and
processed.
2. Portions of the change request are
acceptable and the CM will issue a Contract
Change Order for the acceptable portions.
This may include a disagreement with
compensation or schedule adjustment in

which the CM will coordinate a change Change Directive Form
resolution meeting to resolve.
3. The change request is denied with the applicable reasons.
In the event of a dispute, the CM may elect to direct the Contractor to proceed with work without delay.
The CM shall draft a letter for concurrence by OCTA prior to issuing a directive to the Contractor.
If a change request is rejected at any level, the Contractor may resubmit it with additional information
for consideration on entitlement or funding, and the change request process will be repeated. If it is
rejected again, the process may be repeated or the Contractor may choose to submit a claim as outlined
in the Contract Documents. The CM shall be diligent in reviewing and resolving any outstanding issues as
part of the change request and shall maintain a current Change Request Log showing all relevant dates
of correspondence and information received and sent. If a change request is not resolved within 90
calendar days, or denied in whole by the CM, the Contractor may elect to submit it as a claim pursuant
to the Contract provisions.
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15.2 Change Directives
The CM may notify the Contractor of changes to the Contract by issuing a Change Directive to the
Contractor. The change directive form shall be completed by the CM and reviewed by OCTA with the
appropriate approval levels. The CM will add each change directive to the Change Directive Log and
include the estimate of potential impacts to cost and schedule.
Change Directives will be used for one of the following, or a combination thereof:
1. Increase or decrease in the quantity of Contract items.
2. A negotiated lump sum price.
3. Force account work.
The Contract Documents state that the Contractor will provide a written response within 15 calendar
days that identifies any proposed adjustment in Contract price, including any adjustment for impact
costs and/or schedule delays or schedule modifications to perform the changes described in the change
directive.
The CM will evaluate the Contractor response and provide recommendations to OCTA. If OCTA is in
agreement with the Contractor, then a change order will be issued by the CM. If agreement cannot be
made on the proposed adjustment of cost or schedule, the CM shall issue a change order based on its
determination of the value and direct the Contractor to proceed without delay. The Contractor may
submit the matter as a claim pursuant to the Contract provisions.
15.3 Contract Change Order
The CM will be responsible for preparation and issuance of each CCO to the Contractor. The CCO shall
clearly and concisely identify all of the agreed‐to terms, pricing, and schedule adjustments from either a
Contractor‐initiated change request or a CM‐initiated change directive. The CCO should clearly indicate
any cross‐referenced materials, combined change
requests, or change directives, and all necessary back‐
up documentation labeled with the CCO number in the
upper right corner of each page. The CCO shall be
prepared using the module within Primavera Contract
Manager, and tracked on the corresponding logs.
The CM shall know the status of the processing of each
CCO at all times. The CM will send two copies of the
draft CCO for the Contractor’s review and signature
which will be confirmation of agreements made, then
will forward the two copies of the final CCO to OCTA for
processing the necessary signatures of approval. The
CM shall be available at any time to provide detailed
information and an explanation of a CCO so the
necessary approvals are gathered. The CM shall also
keep the Contractor informed of the status and ensure

that the processing of a CCO does not affect or delay Contract Change Order Form
any critical activities.
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If the Contract has federal funding, the CM will work with OCTA to gain prior approval from FHWA and
Caltrans Local Assistance as necessary for each CCO.
The approved CCO will be transmitted to the Contractor and the CM will confirm that the monthly
progress payment schedules are adjusted correctly. Likewise, the CM will need to adjust the schedules
and attach the final documents in Primavera Contract Manager so that the current Contract total as
adjusted by the change order is correct.
As with all documentation, it is critical that the CM makes the cross references to the various documents
and files it correctly in the DCS. In general, change requests and change directives are filed in
accordance with the file breakdown structure, but when those become a CCO, they will then be re‐filed
into the appropriate CCO file location. A document will then be placed in the change request or change
directive file folder that re‐directs anyone looking for those files to the appropriate CCO file location.
The electronic files can remain in the original location; however, a link must be provided in the CCO file
structure and the correspondence must be tagged with the appropriate CCO number.
15.4 Claims
The term “claim” is defined in the Contract Documents as a separate demand by the Contractor for a
time extension; payment of money or damages arising from work done by, or on behalf of, the
Contractor pursuant to the Contract, and payment of which is not otherwise expressly provided for or
that the Contractor is not otherwise entitled to as determined by OCTA in response to a Contractor
change request; or an amount the payment of which is disputed by OCTA.
The Contractor is required to submit a notice of claim to the CM within seven days of any occurrence
that the Contractor believes will result in a claim. The CM will assign a unique number to each claim
submitted, all correspondence and related issues or documents will use that number as a cross–
reference, and the Claim will be filed accordingly. If using a SharePoint filing system, the electronic files
will also be meta‐tagged with the claim number so that all information is readily accessible. The CM will
also maintain a log of claims from beginning through to final disposition.
The CM shall notify OCTA immediately when a notice of claim is submitted and provide a copy of the
claim itself. The CM will confer with OCTA on the appropriate action for each claim, but at a minimum,
the CM should gather relevant documentation and provide an initial summary review of the claim.
16 Environmental
The quality of the environment has become a primary interest of the public and the government. The
major areas of environmental concern on most construction projects are erosion, air pollution, noise
pollution, and contaminated or hazardous materials.
The CM will monitor the Contractor’s operations and endeavor to ensure compliance with the mitigation
measures identified within the environmental approval document and all applicable state or federal
environmental regulations. The CM shall observe and assist with the policing and enforcement of the
environmental mitigation and monitoring program measures in accordance with the established
program, and shall report promptly any deficiencies to the Contractor and appropriate parties.
16.1 Water Quality and Erosion
The problem of erosion is a major concern on roadway and highway construction projects. If eroded
soils move off‐site and into water, various problems can occur. Sediment can carry pesticides, heavy
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metals, organic matter, and viruses. All of these can make water unfit for animal and plant life. There
have been many instances when eroded soils have been carried into streams in which fish were killed,
streams silted up, or caused the lakes that the streams flow into to have excessive sediment problems.
Even if eroded soils do not reach water or the sewer system, they can still cause problems. Erosion can
lead to legal action if private property is eroded because of construction activities. Also, if eroded soils
move to wetlands, sediment can destroy this environment.
There are several techniques to minimize erosion. The devices used for each Contract will be shown on
the SWPPP prepared by the Contractor as part of its obligations. The CM will confirm that erosion and
siltation control devices and measures are maintained in accordance with the Contract Documents and
in a functional condition at all times. Temporary and permanent erosion and sedimentation control
measures will be inspected by the CM after each rainfall and at least once daily during prolonged
rainfall. Where deficiencies exist, corrections must be made as soon as practical. If the inspection
indicates non‐compliance with the SWPPP, the CM must notify the Contractor, and if no further action is
taken, the CM shall prepare and present to the Contractor a notice of non‐compliance.
16.2 Air Quality
Construction activities can contribute to several air pollutants considered detrimental to the quality of
the air. The most predominate pollutants considered are particulate matter (dust), sulfur oxide, carbon
monoxide, ozone, hydrocarbons, nitrogen oxide, and lead. The most significant of these are dust and
lead. The CM will review the Contract Documents and obtain clarification if any of the pollutants are of
concern. It is especially important to review the procedures governing painting in the specifications.
16.3 Noise
Construction operations generally produce objectionable noise. Construction equipment such as pile
drivers, jack hammers, concrete mixers, and air compressors will produce noise that can damage
hearing if proper protection is not used. The noise produced by construction can be an annoyance to the
residences near the construction area. Many cities and counties have established noise ordinances that
specify hours of operation. The CM should enforce the regulations, permits, and the work restrictions
pursuant to the Contract Documents and prepare non‐compliance reports if conditions are not met. The
CM must be prepared to provide necessary staff and equipment to monitor noise to meet ordinance
requirements. Additionally, the CM must be able to answer questions from the OCTA and community
outreach staff regarding noise and noise pollution regulations.
16.4 Contaminated and Hazardous Wastes
The proper storage of contaminated or hazardous materials is important to the health of project
personnel and the public. Petroleum products, paints, cleaners, etc., shall not be placed on the soil or in
water. The Contractor is required to be qualified when handling hazardous waste such as paints. The CM
will be familiar with the qualification requirements as outlined in the specifications. The CM will not
allow dumping of any waste material on‐site or on adjacent property. When a release of hazardous
materials occurs, the CM will verify that the Contractor has notified Cal/EPA.
During construction, the Contractor may encounter abnormal conditions or existing hazardous
materials. If this occurs, the Contract Documents require that construction operations must be
immediately stopped in this area. The CM shall immediately notify OCTA and work with the Contractor
in following the provisions of the Contract Documents. The CM shall be diligent along with the
Contractor to recommend a solution that complies with the regulations required by the applicable state
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agency. The remediation work may be performed by another Contractor if special procedures are
required. Upon notification by the CM of the discovery of unanticipated hazardous materials at the
project site, OCTA will confer with the CM and will provide direction on the action to be taken.
17 CM Office Requirements
The CM shall provide adequate field office space, supplies, tools, equipment, and vehicles to assure the
work can be performed. The field office shall be adequate to house all construction personnel assigned
to the project including visitors. At a minimum, the office shall include the following items and the CM’s
plan for providing the items shall be submitted to OCTA for review and approval.
1. The field office shall have one desk and chair for every person assigned to the project, desktop
computers, internet access (T1 line), phones, fax machine, full sized plotter, and conference
table and chairs, and other normal office furniture, equipment, and utilities.
2. The field office shall also provide a common area (kitchen, bathrooms, field laboratory storage
area, miscellaneous equipment storage area, and a large conference area for project meetings).
3. There should be a minimum of two visitor workspaces that will include OCTA staff, a survey
crew, and a material sampling staff.
The CM shall have all necessary tools, supplies, and equipment to perform the activities and services
required by the CM’s Contract scope of work. Unless otherwise specified, these will include the
following:
1. Vehicles suitable for the work to be performed and terrain conditions of the project site.
 Each Inspector or field personnel will have individual vehicles
 All vehicles will be equipped with a flashing beacon as well as project identification
placards
 Vehicles will be equipped with all necessary tools, instruments, and supplies
2. All field materials such as inspection, testing, and safety equipment, as needed, for use by CM
staff and visitors on the project.
3. Nuclear gauges for CM inspection personnel to perform soils and AC relative compaction field
tests as required. Nuclear gauges shall be calibrated, transported, and stored in accordance with
all industry standards (these may be provided by the independent testing laboratory with the
independent tester).
4. One cellular phone per inspector.
5. Color photocopier, high speed color scanner, and any specialized software required by the CM’s
Contract scope of work.
The CM will maintain an Equipment and Supply Log for all items used on the project. This log shall
clearly indicate the assigned personnel and status of the equipment, as needed.
18 Photographic and Video Records
Photographic and video surveys or photographic/video records of project conditions before, during, and
after any Contractor activity can be some of the most valuable project documentation the CM will
compile during a project. These records will be made with digital cameras and a minimum of one digital
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video camera that will be kept at the project at all times to record any unusual conditions and special
events relating to construction activities. The CM will also enforce all video requirements identified by
the Contract Documents.
Before construction, the CM will make a record of the existing project site and adjacent properties. It
will include all existing physical features and facilities in and along the project right‐of‐way and adjacent
properties. The intent is to clearly document the before‐construction conditions of any area the
Contractor may impact during construction of the project.
In addition to the survey performed as noted above, the CM shall also document the beginning‐ and
end‐condition of any major or unusual construction activity for the Contract, as well as any before and
after conditions of temporary construction easements and/or lay down/storage areas used by the
Contractor during construction of the project.
It is expected that the inspectors and CM staff will take daily photographic records of construction
progress that will be uploaded and maintained by the CM. These records will document progress by the
individual taking the photo, which will also include a description and location. The inspector will likely
choose a selection of these photos to be included in his/her daily report.
At the end of construction, the CM will make a final photographic record of the completed conditions in
enough detail that documents the physical features and overall conditions.
18.1 Requirements for Pre and PostConstruction Surveys
Pre‐ and post‐construction surveys and other special photographic surveys should be clearly labeled
with a date stamp on the photographic image and/or video. A corresponding Daily Inspection Report or
Resident Engineer Daily Diary should also note that the survey was performed, with a brief description
of the survey and any special notes that may be required to fully document the purpose of the particular
survey. It may be useful when noting an area of damage, such as a spilled concrete section or a marred
finish, to scale the damaged area with a familiar object (coin) or tape measure for clarity.
After a photographic survey is performed, the CM shall catalog the photographs and videos by location
and in chronological order in a manner that allows the survey to be tied to a previous or future survey
performed or to be performed. For example, if a post‐construction photographic survey is performed
when the Contractor completes work in a specified temporary construction easement, that survey
should be cataloged and linked to the pre‐construction survey and construction activity survey (if
performed) so the beginning, middle, and post‐activity conditions can all be located and viewed easily.
18.2 Video Specifics
Prior to performing the survey and when checking that the video equipment is in working order, the
videographer shall verify that the sound is in working order to assure any narrative comments made by
the surveyor are captured. It would also be prudent to assure the battery is fully charged and that a
spare fully charged battery is available for use during the survey. In addition to the date stamp on the
video, it is good practice to state the date, time, and day verbally when beginning the survey so that
information is captured in the sound recording.
During the video survey, any narrative that can provide important information is useful. The
videographer shall keep their narrative focused on the survey at hand and include only remarks about
what is being displayed on the screen, the direction of view, the name of the construction feature, and
the items of interest. Do not include opinions, speculative remarks, disparaging remarks, comments, or
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inappropriate language as the video is a permanent record and any such comments will become part of
that record. OCTA may reject any survey with any such disparaging remarks, comments, or
inappropriate language and request that the CM perform the survey again and discard the rejected
survey.
Video surveys shall be cataloged by location and in chronological order, as noted above.
18.3 TimeLapsed Photography
The Contract Document may have provisions for time‐lapsed photography for the project. The CM will
review the requirements and confirm that system is installed in accordance with the Contract
Documents in a location that best suits the project. The location of the camera shall be placed such that
it covers the work area and does not require numerous relocations. Once the CM confirms that the
camera is operational and acceptable, the operational control will be turned over to OCTA for the
duration of the project.
18.4 Uploading Files to Share Point
It is critical that all photos are uploaded and cataloged so that they can easily be retrieved in the future.
It is also asked that the photo files are reduced in size to a 4”x6” level of detail photo to reduce upload
and download time. The files will be uploaded to OCTA’s SharePoint site designated for each project and
placed in a corresponding folder such as pre‐construction, construction, or video.

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A file naming convention will be used on all photos and videos taken on the project so that they can be
easily identified and are not over‐written. The file naming convention is as follows:

Date YYMMDD

Project Abbr. PLAC_110418_JEG_01.jpg
First four letters of Project

SAND Sand Canyon Sequential Number
PLAC Placentia

KRAE Kraemer
ORAN Orangethorpe
Photographer’s
LAKE Lakeview
TUST Tustin/Rose
Initials

After naming the files correctly, upload the file into the appropriate SharePoint folder and enter the
corresponding information to the following fields:
 Project
o This will be OCTA’s project number provided at the beginning of the project.
 Type
o This will be a drop‐down selection of the type of file being uploaded such as photo or
video.
 Element
o This will be a drop‐down selection that provides a general classification of the type of
work being recorded such as bridge, wall, mechanical, SWPPP, traffic, landscape,
electrical, railroad, drainage, utility, civil, right‐of‐way, safety, and miscellaneous. Even
though a file can have several elements of work, select the element that best describes
the intent of the photo.
 Photographer
 Date Taken
 Description
o It is expected that detailed information regarding the photo will be provided in this field
to facilitate future searches for photos related to a particular topic or work feature. This
description can be up to 256 characters. This field is where the person taking the photo
or video can provide detailed information about the content of the photo and purpose
for capturing the image.
Page 35 of 38

19 Labor Compliance
The following section delineates the State of California and Federal Labor Compliance / Prevailing Wage
requirements that will be administered by the CM on applicable projects.
The California Labor code, the Code of Federal Regulations, Title 29, Part 5 (29 CFR 5), and regulations of
the Federal Highway Administration (FHWA), the California Department of Transportation (Caltrans) and
the United States Department of Labor provide the basis for contract administration protocol and the
statutory authority to enforce labor compliance contract provisions. These source documents and
requirements shall be utilized by the CM in administering Labor Compliance provisions.
State and Federal law require contractors working on public works contracts to pay prevailing wages to
their employees. Prevailing wages are predetermined hourly rates for each craft are set by both the
California Department of Industrial Relations and the United States Department of Labor. In addition,
these laws set guidelines for such items as the following:
 Overtime
 Length of shifts of workday
 Substantiation of wages
 Fringe benefits paid
 Covered work (work done under contract and paid for in whole or in part out of public funds,
thus requiring the payment of prevailing wages) and non‐covered work.
The CM has the responsibility for enforcing the labor requirements that are in the contract special
conditions and applicable State and Federal regulations. To fulfill this responsibility, the CM and support
staff must have an adequate working knowledge of the contract labor standards.
Early surveillance and detection of labor compliance violations are preferable to conducting belated
investigations and implementing formal enforcement actions. The CM is to bring labor compliance
issues to the attention of the contractor and OCTA immediately upon detection and resolve these issues
in accordance with pertinent provisions.
19.1 Responsibilities
The CM must maintain sufficient records to ensure contractor/subcontractor compliance with wage and
apprenticeship sections of the contract. There are a number of forms provided within these procedures
that will be used to document and record labor compliance to the Contract Documents. Specific actions
required, include, but are not limited to:
1. Preparing inspector’s daily reports which note employee, labor classifications, hours worked,
and equipment working on the project. Ideally, the number of employees, names,
classifications, and hours worked should be noted on each daily report. If this is not possible,
then as a minimum, the data must be reported in at least one diary during the week.
2. Conducting spot interviews with employees on the project. A form similar to, or State Form HC‐
0031, “Employee Interview: Labor Compliance/EEO”, shall be utilized. The employee interview
is used to check the validity of information shown on the payrolls and payroll records. The
employee is asked questions regarding wage rates, hours of work, and type of work performed.
Page 36 of 38

3. The CM will increase the frequency of interviews when a spot interview indicates a reporting
deficiency or labor compliance violation. The CM will then conduct a minimum of three (3)
prime contractor interviews for each contract each month. Conduct at least one interview for
each subcontractor. A variety of crafts and trades should be interviewed. During the interviews,
assure the interviewees that their statements, whether oral or written, will be confidential. Do
not disclose to the employer the identity of the employee without the employee’s consent.
4. Maintaining written evidence of apprentices employed on the project along with any
corresponding State and Federal apprentice certification evidence.
5. Ensuring that the contractor submits weekly Certified Payroll Records (CPRs) and/or owner
operator listings, as appropriate for their work and from all subcontractors or equipment rental
companies that perform work on the project. Every laborer or mechanic performing work on the
project must appear on either a CPR or owner operator list. Each CPR shall be accompanied by a
statement signed by the employee or its agent indicating that the payrolls are correct and
complete, that the wage rates contained therein are not less than those determined by the
applicable State and Federal wage determinations and that the classifications as set forth for
each laborer or mechanic conform to the work performed. A submission of the Federal “Weekly
Statement of Compliance,” which is required under this Contract, shall satisfy this requirement.
19.2 Certified Payroll Records
The CM shall obtain from the Contractor and each subcontractor a certified copy of each weekly payroll
within seven (7) days after the regular payroll date. The CM shall ensure that the CPR submitted by the
Contractor provides all the information required in the latest version of the Federal CPR Template.
The CM shall utilize the CPR and Related Documents Tracking spreadsheet that OCTA will provide, unless
an exemption is requested by the CM for review and approval by OCTA.
Page 37 of 38

The following steps outlines at a minimum the necessary elements of labor compliance:
1. If, on or before the 25th of the month, the Contractor has not submitted satisfactory payroll
records covering its work and the work of all subcontractors for all payroll periods ending on or
before the 6th of that month, such payrolls will be considered to be delinquent. Regardless of
the number of delinquent payrolls, an amount equal to 10% (but not less than $1,000 or more
than $10,000) shall be deducted from the progress payment estimate. Deductions will be made
separately for each estimate period in which a new delinquency appears and will be continued
until payrolls have been submitted.
2. Spot checking the payrolls or listings to ensure that at least the applicable Davis‐Bacon or State
prevailing wage rates as referred by the Special conditions are paid.
3. Cross checking reports, interviews, payrolls and wage rates in order to determine the
contractor’s and subcontractor’s compliance. Comparing all force account or day labor work to
certified payrolls. Employees’ names, classifications, and wage rates should match.
4. Ensuring that the contractor posts all specified posters, notices, wage determinations, etc. at the
job site.
5. Responding to Third Party Requests for Payroll Records and related documents in accordance
with regulatory requirements including redacting confidential employee information, as
required by regulatory provisions. These requests will be transmitted through OCTA’s CAMM
department.
6. The CM will prepare a response to all employee and/or third party complaints regarding Labor
Compliance for OCTA’s approval and distribution.
7. Applying necessary sanctions against the prime contractor for failure to submit payrolls or
noncompliance with the labor standard requirements. Sanctions must be in conformance with
current Caltrans policy as described in the Labor Compliance Section of the Caltrans
Construction Manual.
8. Reporting any apparent violation of state of federal labor requirements to OCTA and the
Caltrans District Local Assistance Engineer (DLAE) immediately upon discovery. In the case of
contracts that are 100 percent federally funded, violations should also be reported to the US
Department of Labor.
19.3 CloseOut Phase
The Contractor is required to provide information indicated in the Contract Documents, but the CM shall
confirm that the Contractor and each subcontractor furnish a summary of all employment, indicating for
the completed project, the total hours worked and the total amount earned.
The CM will complete, sign and submit to OCTA a “Final Labor Compliance Closeout Report Checklist”
conforming that Labor Compliance contract administration duties were performed throughout the
duration of the project and that there are no outstanding labor compliance issues remaining.
Page 38 of 38
Section II
Document Control
Procedures
Construction
Management
Procedures
Construction Section II
Management Document Controls
Table of Contents
1 Introduction .......................................................................................................................................... 1
2 The Document Control System ............................................................................................................. 1
2.1 Software ........................................................................................................................................ 1
2.1.1 Primavera Contract Manager................................................................................................ 1
2.1.2 SharePoint ............................................................................................................................. 2
2.1.3 Software Management and Backup...................................................................................... 3
2.2 Paper Documents.......................................................................................................................... 3
2.3 Oversized Materials ...................................................................................................................... 3
2.4 Document Control Library............................................................................................................. 3
2.5 Filing System Audits ...................................................................................................................... 4
2.6 Controlled Documents .................................................................................................................. 4
2.7 Confidential Items ......................................................................................................................... 5
2.8 Access to the Document Control System...................................................................................... 5
2.9 Project History File ........................................................................................................................ 5
3 Responsibilities ..................................................................................................................................... 5
3.1 Document Control Administrator Group ...................................................................................... 6
3.2 Document Control Lead ................................................................................................................ 6
3.3 Document Control Staff ................................................................................................................ 7
3.4 Project Team Members................................................................................................................. 7
4 File Naming Protocols ........................................................................................................................... 7
4.1 Correspondence Items .................................................................................................................. 8
4.2 General Documents ...................................................................................................................... 9
5 File Breakdown System ....................................................................................................................... 12
6 Preparing Documents/Files for Document Control System................................................................ 12
6.1 Date and File Stamping Documents ............................................................................................ 12
6.2 Distributing Project Documents .................................................................................................. 13
6.3 Incoming Documents .................................................................................................................. 14
6.3.1 Incoming Paper Documents ................................................................................................ 14
6.3.2 Incoming Electronic Files..................................................................................................... 14
6.3.3 Incoming Email Files ............................................................................................................ 14
6.4 Outgoing Documents .................................................................................................................. 15
6.4.1 Outgoing Hard Copy Files .................................................................................................... 15
6.4.2 Outgoing Electronic Files..................................................................................................... 16
6.4.3 Outgoing Email Files ............................................................................................................ 16
6.5 Submittals ................................................................................................................................... 16
6.6 Requests for Information ............................................................................................................ 18
6.7 Contract Change Orders.............................................................................................................. 19
6.8 Non-Compliance Reports ............................................................................................................ 20
7 Periodic Reporting Logs ...................................................................................................................... 20
Attachment A: File Breakdown Structure

Attachment B: SharePoint User Guide
Attachment C: Primavera Contract Manager User Guide
Section II – Document Controls

Page i
Construction
Management
Procedures
1 Introduction
This procedure applies to all project team members and encompasses all formal documents and files
relating to the project. The Document Control System (DCS) will be administered primarily by the CM’s
document control staff located at the project site office, and will also be supported by OCTA from its
main office. These responsibilities are described later in these procedures. The paper project files and
Document Control Center (DCC) are located at the project site office. This system is intended to allow for
the easy recording and retrieval of all project documents to various project staff. The system will
generally follow Caltrans’ construction uniform filing system for construction activities in compliance
with local assistance procedures.
The DCS is established to receive, log, and store all official project documents and files that are
generated and/or received from project initiation through closeout. The DCS will provide a thorough and
consistent method of controlling documents and files associated with the project. This system has both
a paper (hard copy) component and an electronic component. Documents are either generated in, and
printed from, or scanned and uploaded into, the DCS. In general, if a document is scanned to PDF
format, then it is expected the document will be scanned using the latest optical character recognition,
so the file can be converted into text strings and is searchable. In addition to a filing system, this
procedure describes a common file naming convention that allows for consistent and easy electronic file
searching and retrieval. It is expected that this format be followed by each construction management
team. Where any variations are deemed necessary, such changes will be incorporated into a revised
procedure upon approval by OCTA.
All project documents and files stored in the DCS will be collected and organized in compliance with the
procedures and attachments described in this procedure. At the conclusion of the project, all required
documents and files will also be archived in accordance with these procedures and as directed by OCTA.
There may be additional documents and files that require duplication and transmittal to a third party
pursuant to project agreements with OCTA. These additional agreement requirements will be outlined
by the project management team and agreed upon during project start-up.
2 The Document Control System

The DCS will be established by OCTA including necessary software, technical support requirements,
systems management, and maintenance. OCTA will work with the CM to implement the DCS, and to
support and train the CM’s document control staff, as appropriate.
2.1 Software
The DCS consists of two software applications that serve separate purposes. All project documentation
information will be cross‐referenced in both applications.
2.1.1 Primavera Contract Manager
The Primavera Contract Manager (Contract Manager) software, formerly known as Expedition, will be
used to log and track project correspondence, submittals, and all other official documents and activities.
Project documents are logged into Contract Manager, where a unique Log Number (Log #) is assigned to
each document/file. Documents and files can then be controlled and tracked in Contract Manager by a

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variety of controlled document types, fields, and search and sorting criteria. A link to the location of the
stored document/file in the Microsoft SharePoint Collaboration Portal (SharePoint) is also recorded in
Contract Manager.
Contract Manager also allows project team members to create documents and files in its predefined
modules. These modules are Change Management, Transmittals, Request for Information, Issues, and
others as deemed necessary by OCTA. These modules will generate automatic logs, email notifications,
and review period summaries that will be used during the management of the Contract. Additional
specific instructions are included in the Contract Manager User Guide provided as Attachment C to this
procedure.
2.1.2 SharePoint
The SharePoint software is used to organize and store the project documents and files. When using
Contract Manager, the electronic version of the document/file is automatically uploaded into
SharePoint when it is attached inside a corresponding module. The uploaded document/file is retained
in its original format (i.e., MS Word, Excel, PDF, etc.). During the upload process, the Contract Manager
Log # and other information about the document is included in SharePoint. This information is stored as
metadata, which are pre-defined custom user fields for each type of file. This metadata provides search
criteria that allows for easy retrieval, as well as sorting and filtering of search results in SharePoint.
The SharePoint site is organized by project as well as divided into working documents and controlled
documents. SharePoint allows for depositing working or progress documents, storing and organization
of photographs, maintenance of a calendar of meetings and events, storage of exhibits, and the posting
of general information regarding the project. The Document Control Lead will have the administrative
rights to create, maintain, and manipulate folders and lists at the discretion of the project staff. The site
is a collaboration tool where draft documents can be worked on together, various action lists and issues
lists can be prepared, procedures and templates can be maintained, and project contacts are accessible.
This information is commonly placed on a local file server where remote access is usually limited,
whereas SharePoint is internet-based and can be accessed from any computer. The official DCC is a
controlled sub-site of SharePoint that will restrict the upload, download, viewing, and modifying
permissions based upon user log on credentials. Below is a screenshot of an example home page and
the recommended directory structure for working folders and information. Additional specific
instructions are included in the SharePoint User Guide provided as Attachment B to this procedure.

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2.1.3 Software Management and Backup

Software applications will be managed and technically supported by OCTA. The document control staff
will be provided technical support contact information during the start-up phase of the project. OCTA’s
IT department will be responsible for backing up all data in Contract Manager and SharePoint, including
maintaining the computer servers on which the information resides. The Construction Manager will be
responsible for all hardware/software support in each field or project office.
2.2 Paper Documents
Each field or project office will establish a separate paper filing system. The filing system criteria are
outlined by OCTA’s File Breakdown Structure (FBS); however, this can be adapted as determined by the
CM and the document control staff. All documents submitted for filing in the paper filing system will
also be available in electronic format in Contract Manager or SharePoint. At a minimum, the system will
include an FBS that is based on the Caltrans Construction Uniform Filing System. Filed documents will be
noted with the FBS identification, as well as cross‐references to the Contract Manager Log # and/or the
electronic file name and SharePoint location. Paper files should be secured in a manner so that they are
not accessible by the general project team. All requests for retrieval of documents from the paper filing
system should be checked out through a designated document control staff person.
2.3 Oversized Materials
Attachments to letters such as plan modifications and major submittals may be too bulky for filing in
regular files. These items should be identified as references to the submittal/transmittal or letter by
date and category breakdown, and then filed in separate envelopes or bins with the appropriate index
label.
2.4 Document Control Library

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Certain documents are more suitably stored in a library than in project files. Such documents generally
include oversized documents that are used and referenced on an ongoing basis by the project team.
These documents are required to be logged into the DCS, in accordance with project document
procedures, but with a separate notation indicating the DCC storage location. Each of these documents
located within the DCC shall receive an FBS identification, and shall be placed in the DCC in a manner
that is logical to the project team. The document control staff will maintain a log of all DCC contents,
which will be stored electronically in SharePoint. The DCC is open to all project team members through a
check-out system established by the document control staff. This check-out system will include a
sign‐out sheet identifying the person responsible for check-out, and the effective check-out and return
dates.
2.5 Filing System Audits

The document control staff has the primary
responsibility for filing, maintenance, and upkeep of
the project files and DCC. The document control staff
will perform monthly audits of the DCC contents to
verify that all documents are accounted for and
shelved correctly. The document control staff will also
perform monthly audits of the project’s paper files to
verify that folders are not missing or misfiled.
These audits are documented on Form-CM201,
Document Control Audit, which are printed out and
signed by the Document Control Lead and Resident
Engineer. The audit form will be logged and stored in
the DCS in the same manner as all other official project
documents. OCTA will conduct periodic audits of these
logs, along with electronic and paper documents.
2.6 Controlled Documents
Certain documents are used or referenced by various
members of the project team on an ongoing basis, and Form-CM201 - Document Control Audit
it is imperative that copies being used are up‐to‐date
at all times. The document control staff is responsible
for distributing copies and tracking approvals and revisions of all controlled documents that are
prepared by the project team.
Once a controlled document has been approved and the electronic distribution list has been prepared,
the document control staff will maintain a controlled, printed copy set in the DCC and will be
responsible for transmitting changes electronically to the required parties. Examples of controlled
documents include drawings, specifications, exhibits, procedures, templates, modified plans and
specifications, and agreements. As the controlled documents are identified by the CM, a list will be
compiled and maintained on SharePoint and amended to this procedure as needed.

Page 4 of 21
2.7 Confidential Items

The CM, along with OCTA’s Project Manager, will determine whether any item should be treated as
confidential in accordance with OCTA’s policies. Confidential items will be identified by the word
“Confidential” stamped or placed electronically using an Adobe Acrobat stamp on the first page of the
item and on any cover pages attached as part of the document control process. There will be a
metadata field for Contract Manager that will need to be selected to identify the classification, along
with the word “Confidential” in the file name, so that the document will not need to be opened and
viewed to know that it is confidential. The CM will decide what other data, if any, will be included in the
database entry.
2.8 Access to the Document Control System
The document control staff will be responsible for logging documents/files in Contract Manager and/or
uploading them into SharePoint. All additions or deletions of project documents/files will be managed
by the document control staff. Project team members will be granted permissions to one or both
systems to view documents or files. Permissions will be approved by the Resident Engineer, or his/her
designee, and will be established and administered by the Document Control Administrator. Because
specific permissions are granted to project team members, sharing of a login identification with a user
who has not been granted access is strictly prohibited.
The document control staff is also responsible for managing the paper file system. Requests to view or
check out the paper files will be coordinated through the document control staff. No paper files will be
removed without following the file checkout procedures.
2.9 Project History File
The CM Document Control Lead will be responsible for maintaining hard copy files throughout the
duration of the project. During the project close out phase, the Document Control Lead will archive all
hard copy files in accordance with the FBS so that record files can be delivered to OCTA for retention.
The Document Control Lead will indicate on the FBS’ electronic copy for each category and sub-category
the archive box number so that hard copies can be retrieved easily if needed in the future. The archive
box system will be developed for permanent storage once the project is completed. The archived boxes
will clearly indicate the contents of the box with a printed label permanently affixed to the box or
storage bin. There may be some elements that are not included in the project history file that will be
identified on the FBS. Such items include personnel information, medical records, legal items, and any
elements marked “Confidential”.
3 Responsibilities
OCTA will maintain the licensing, software versions, and hardware required for the DCS. The Document
Control Administrator and support staff may vary throughout the project duration, so a support contact
list will be maintained and distributed by OCTA for each project. This contact list will contain information
for administration of SharePoint, Contract Manager, and general support. The document control group
will be organized and function as follows:

Page 5 of 21
Information
Technology
Department
Document Control
Administrator Group
(DCA)
Program
Management
Team
Document Control Lead

(DCL)
Cities, Utilities,
CM Team Members Designer
Railroad
Legend
Authority CM
3.1 Document Control Administrator Group

The Document Control Administrator Group (DCA) will be located in the Main Street offices of OCTA.
This group will be responsible for the initial setup, directory structure, and permission groups for the
SharePoint and Contract Manager software. The group will also provide initial guidance and training to
the Document Control Lead and provide technical support, as needed. The DCA will serve as the
SharePoint Site Collection Administrator, who provides overall administrative rights to the project-
specific sites. The DCA will coordinate matters concerning user access rights, including external user
access rights to the DCS.
3.2 Document Control Lead
The Document Control Lead will be an identified member from the CM who is responsible for:
• Understanding the contractual obligations with regard to document capture, organization,
retention, and delivery at the conclusion of the project
• Managing all log entries in Contract Manager and SharePoint, and overseeing logging activities
performed by the document control staff
• Logging documents/files in Contract Manager and SharePoint for the project staff

Page 6 of 21
• Coordinating all activities in Contract Manager and SharePoint with the document control staff
and project team members
• Managing the document control center project site in SharePoint; ensuring that documents/files
are properly uploaded, contain all metadata, employ the correct file naming conventions, and
are stored in the appropriate location
• Monitoring the project’s entire DCS and coordinating audits as appropriate to ensure that the
system contains all required documents and files
3.3 Document Control Staff
Projects vary in size, therefore the document control staffing levels may vary. The Document Control
Lead is also responsible for overseeing other document control staff or performing the following duties:
• Processing all project documents as required by these procedures. Such responsibilities include
date stamping, scanning, electronic logging, and storing of all incoming and outgoing
documents, attachments, and electronic files in the DCS.
• Filing, organizing, and storing all paper documents, manuals, books, CDs, etc., in the paper filing
system and DCC.
• Conducting DCS audits as directed by the Project Manager, Resident Engineer, or Document
Control Lead. Additionally, monitoring and auditing the paper files and DCC to ensure they are in
proper order.
3.4 Project Team Members
All project team members, OCTA representatives, subconsultants, subcontractors, agency
representatives, and any other individuals with access to the DCS are responsible for:
• Submitting all relevant incoming and outgoing project documents and files, including all
attachments and appropriate email, to the document control staff for processing and logging
into the DCS in accordance with these procedures. Requesting the Contract Manager Log # for
all correspondence from the Document Control Lead and including the Log # on all outgoing
correspondence and documents.
• Compliance with the file naming standards, protocols, and format requirements for formal
project submittal documents included within this management plan.
• Following established procedures for access to and removal of hard‐copy documents.
• Compliance with these procedures for management of electronic files.
4 File Naming Protocols

It is critical to a successful DCS to have electronic file-naming protocols for all documents to maintain
consistency and ease document identification and retrieval. Along with a file naming protocol, the CM
shall also provide a file structure for storage of electronic and hard copy files. This allows users without
access to Contract Manager to locate a document, understand its content, and retrieve required
information through the use of the SharePoint system.
It is critical that the file naming is consistent throughout the project so that sorting, correlating, and
searching for documents is easy for project staff who do not have access to the Contract Manager

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system. Additionally, when the project is electronically archived, then the consistency of the file naming
and directory structure will allow for easy retrieval in the future.
It is expected that the file name protocols in the following sections are used; however, there may be a
need for additional categories and types of files that are not listed. The Document Control Lead will
prepare a recommendation to amend the list for project-specific elements for the approval of OCTA’s
document control administrative staff.
There are some general rules for elements to avoid when naming a file for use on SharePoint. SHIFT
Underline (“_”) must be used in lieu of blank spaces and the following characters are not allowed:
,@#$%^&*:<>?/{|}
4.1 Correspondence Items
Correspondence items will have a unique naming convention that will allow the common user an
understanding of whether the document is incoming or outgoing and what entity sent or received the
correspondence. In addition, a short and concise description of the contents of the correspondence
must be included in the file name. This description should be kept as short as possible, and no longer
than 30 characters. Each file name will include a unique sequential Log #, which will be generated by
Contract Manager. The document control staff will then handwrite this number, along with other
information on the hard copy that is scanned and stored electronically. This Log # may also be placed
electronically on the first page of the electronic file, when practical.
Correspondence
From To Description Log No. Ext.
Type
L CMPL COPL Boring Hole 5 Approval 0056 pdf
E COPL CMPL NCR-005 Concrete Strength Abutment 1 0102 pdf
Example: L_CMPL_COPL_Boring_Hole_5_Approval_0056.pdf

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Correspondence Type From and To Designations

Abbr. Description Abbr. Description
L Letter CPLA City of Placentia
E Email CFUL City of Fullerton
T Transmittal CANA City of Anaheim
M Memo CIRV City of Irvine
F Fax OCTA Orange County Transportation Authority
CTxx Caltrans District XX
The designation for From and To will follow a CMPL Construction Manager Placentia GS
naming process that uses a maximum of four
characters. This is achieved by making CMSA Construction Manager Sand Canyon GS
consistent acronyms for the varying entities so CMKR Construction Manager Kraemer GS
that the From and To parties are quickly
distinguishable, and make searching more CMOR Construction Manager Orangethorpe GS
efficient. Following are examples that can be CMTR Construction Manager Tustin/Rose GS
used and additional acronyms that can be
created, if needed. A current list of approved CMLA Construction Manager Lakeview GS
acronyms will be maintained on the SharePoint COPL Contractor Placentia
site under Document Control Procedures.
COSA Contractor Sand Canyon
4.2 General Documents
COKR Contractor Kraemer
There are a number of documents generated
COOR Contractor Orangethorpe GS
and received by the CM that will require the
employment of very strict file naming COTR Contractor Tustin/Rose GS
conventions, so they can be easily identified
COLA Contractor Lakeview GS
and searched. These documents include
reports, procedures, pay applications, change SCRA SCRRA
orders, estimates, calculations, exhibits, and
BNSF BNSF Railroad
agreements. It is expected that a hard copy and
electronic PDF of the file using the conventions SCEE Southern California Edison Electric
identified below will be placed and logged
SCGC Southern California Gas Company
electronically in the DCS. Working files during
the development phase of these documents should be stored on SharePoint in working folder files.
The SharePoint document system will maintain up to 12 preliminary versions of electronic documents
uploaded to the system. This allows for free collaboration of letters, memos, reports, and numerous
items without the need for emailing documents and continuous renaming of the file for each set of
edits. File names for each document should follow the naming guidelines within this procedure. This
allows for project staff to check out documents, provide comments through track change editing or
through remarks in the dialogue on SharePoint, then check the document file back into the system. This
automated process allows users to see ongoing changes and updates, as well as access prior versions of

Page 9 of 21
the document. This process is designed to reduce confusion of excessive files marked “Draft” as well as
decrease the email traffic on networks.
The most important element to a file name convention is correct usage by staff. It will be both the CM’s
and the Document Control Lead’s responsibility to enforce consistency with this requirement. The
following is a general naming convention for each document, along with a breakdown of document
types. This breakdown can be adjusted or modified as needed to meet the specific requirements of each
project. Each Document Control Lead should maintain a list of preferred file naming conventions.
Document
Date Description Status Ext.
Type
Final
pdf
General topic or contents CM review
doc
See Table YYMMDD should be less than 30 characters CON review
xls
use. Underscore _ for spaces Draft
CM Sign
Document Type
A document type table will be maintained on the Abbr Description
SharePoint server by the Document Control Lead. The AGD Meeting Agenda
table shown suggests a starting point for each CAL Calculations
document type. CERT Certificate
The document type naming convention allows for easy CCO Change Order
retrieval by using a short classification for each CD Change Directive
CL Claims
document. This naming convention allows for an
CR Change Request
understanding of what each file document contains
COM Review Comment
without adding further description, and in turn enables
CON Contract
the user to provide a more detailed description within DIR Daily Inspection Report
the naming convention. The date naming convention EXH Exhibit
uses a reverse format that allows for ease in sorting in GRA Graphic
a chronological fashion. INV Invoice
Examples of file names are illustrated below. LOG Logs of Information
MAN Manual
Meeting Minutes: MM Meeting Minutes
MM_UTIL_101123_Weekly_Utility.doc MEMO Memoranda
NCR Non-compliance Report
MM_UTIL_101123_SCG_Conflict_STA10.doc
PER Permit
MM_SAFE_110918_Fall_Protection.doc
PRES Presentation
RPT Report
Types of Meeting Minutes: RPTM Monthly Progress Report
UTIL Utility RPTW Weekly Progress Report
WKLY Weekly Construction RFI Request for Information
SAFE Safety SAFE Safety Document
PROG Progress Payments SCH Schedule
MISC Miscellaneous SPEC Specifications
STD Standards
STDY Study

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Reports:
TYPE_YYMMDD_Description_LogNo.pdf
RPTM_110301_CM_February_2011_0089.pdf
RPTW_120115_Weekly_CM_0139.pdf
Field Daily Reports:
DIR_YYMMDD_PersonsInitials.pdf
DIR_101207_JED.pdf eg: Daily Inspection Report for Dec 7, 2010 by John Edward Doe
Logs or Spreadsheet Lists:
LOG_Description_YYMMDD.pdf
LOG_RFI_Summary_110823.pdf
LOG_Outstanding_Submittals_110823.pdf
LOG_Non_Compliance_Report_110823.pdf
LOG_Change_Order_Summary_110823.pdf
Some of these logs will be generated through Contract Manager and should be saved using consistent
file naming.
Change Management Items:
It is important that the change description identified in the file name is consistent with the official title,
and the status follows the status table. There may be numerous iterations of the change order or
change request that will have the same status but will be distinguished by the date. That file naming
method will show progress of the change order/request until the final document is executed by all
parties. Where a change request is turned into an official change order, the file name will include the
CCO number. For additional information on the change process, refer to the Change Management
subsection of Contract Administration Procedures.
Change Order:
Change Status
CCO-###_Change_Description_YYMMDD_STATUS.pdf
STATUS
CCO-011_Additional_Import_at_Shoofly_110601_DRAFT.pdf
CCO-011_Additional_Import_at_Shoofly_110610_CONSIGN.pdf FINAL Final Executed CCO
CCO-011_Additional_Import_at_Shoofly_110615_CMSIGN.pdf OCTASIGN Signed by OCTA PM Staff
CCO-011_Additional_Import_at_Shoofly_110621_OCTASIGN.pdf CMSIGN CM Team Sign Off
CCO-011_Additiona_ Import_at_Shoofly_110623_FINAL.pdf
CONSIGN Contractor Sign Off
For Supplemental CCOs: DRAFT Submitted Contractor
CCO-011.1_Additional_Import_at_Shoofly_110623_FINAL.pdf
Change Requests:
CR-###_Change_Description_YYMMDD_STATUS.pdf
CR-009_Additional_Import_at_Shoofly_110423_CMRESPONSE_CCO-11.pdf
Change Directives:
CD-###_Change_Description_YYMMDD_STATUS.pdf

Page 11 of 21
5 File Breakdown System

All project documents, whether in electronic or paper form, will be categorized and filed in accordance
with the following file category system. This system is based on the Caltrans Construction Uniform Filing
System with some modifications specific to the projects in the program. Additional categories and sub-
categories may be needed, which should be submitted by the CM to OCTA for approval. The master FBS
is provided in Attachment A, File Breakdown Structure, and the CM is responsible for maintaining an
updated project file breakdown category index list on the SharePoint site.
6 Preparing Documents/Files for Document Control System

All relevant project documents, whether in electronic or paper form, will be submitted to the document
control staff for logging, tracking, and storage. All project documents in the DCS will exist in both
electronic and paper form.
6.1 Date and File Stamping Documents
When documents are received in the project office, project administrative staff or the document control
staff will date‐stamp each document to record the date it was received in the office. All incoming and
outgoing documents will be file‐stamped. The date stamp is applied only to incoming documents. The
stamp provides a space to record basic information about the document. The file stamp information is
completed by the document control staff as the document proceeds through the DCS. This file stamp
can be applied electronically using an Adobe Acrobat stamp or manually using a rubber hand stamp. All
document file-stamp information must be completed before the document is filed in the paper filing
system.
FILE COPY
File Stamp Definition/Description
DATE Line Title
OCTA Job Key:
FBS # The project has established a standard FBS, which will be
FBS #
used as the filing structure for project-level filing. If
necessary, the Document Control staff will be responsible
for reviewing the document to determine the proper file
Log #: numbers with the assistance of the addressee. One
document may be filed in one or more file folders
OCTA depending on its subject.
Example: OCTA Job This is reserved for OCTA’s official job key numbers that
Key: are assigned and provided for each project by OCTA.
FILE COPY
Date Received date of the document.
MAR 28, 2011
OCTA Job Key: SO203 Log # Once the document control staff logs the document into
Contract Manager, the Log # that is assigned to the
FBS # 05.2.1
document is noted on the “Log No” line on the file stamp.
49.1.001
Log #: 0024
OCTA

Page 12 of 21
6.2 Distributing Project Documents

The document control staff will distribute project documents in accordance with the distribution matrix.
The distribution matrix for each project is required to be developed and maintained by the CM. This
matrix must identify document types and which project team members must receive the document. A
current matrix shall be maintained on SharePoint by each project field office.
A document route slip can also be used to gather and distribute project information. The route slip,
which designates how the appropriate information will be entered into the DCS, can be used for
incoming and outgoing documents. This is not required but a helpful tool for communicating how to
route or distribute particular documents between the Resident Engineer and DCS.
Routing Slip Example
FILE OCTA Job Key No. and Title
COPIES DISTRIBUTION DOCUMENT INFORMATION

TB - OCTA
JT -OCTA TYPE: SUBMITTAL TRANSMITTAL LETTER
BF -OCTA
AM - OCTA TRACK DOCUMENT: BIC:
JR - OCTA ISSUE:
JEG - OCTA NEW SUB PACKAGE
PB - OCTA PACKAGE NO:
JB - OCTA PACKAGE NAME:
XX - CON
XX - CON SUBMITTAL NO.
XX - CM
XX -CM SUBJECT:
XX - CM
Circle
TYPE: L E T CCO COR COM SUB MM RPT_

INV SAFE RFI NCR CERT SCH QC
START DATE FINISH DATE
FBS Nos.:
FOR YOUR INFORMATION
REVIEW AND COMMENT
PER YOUR REQUEST
FOR YOUR APPROVAL

Page 13 of 21
The table shown identifies document types that may be assigned to Contract Manager
project records. Each CM is required to classify all project documents into Document Type
one of these categories. This categorization allows for consistent Change_Order
document searches in Contract Manager and SharePoint. A current Contract
electronic version of the document type as identified should be Contract_Deliverables
maintained in SharePoint and/or Contract Manager. Daily_Report
The CM will be responsible for determining the type of document. It Document
should be noted that only one document type may be assigned to each Drawing
file. Therefore, it is critical that the CM choose the document type that Graphic
best suits the document being logged into the DCS. Insurance_Certificate
Invoice
6.3 Incoming Documents Letter
6.3.1 Incoming Paper Documents Meeting_Agenda
Meeting_Minutes
For incoming paper documents received by United States mail, Fed Ex, Memoranda
hand delivery, fax, meeting handouts, etc., the recipient shall proceed
Non_Compliance
with the steps listed in the following section. Documents submitted in
Permit
paper format require scanning by the CM, where the resultant PDF files
Project_Control
will be logged and uploaded into the DCS as follows:
Proposal_Documents
1. The recipient forwards the document to the document control Public_Information
staff for processing. Reports
2. Date stamp and distribute the document based on routing slip Request_for_Information
instructions (Refer to Section 6.4 - Outgoing Documents). Safety
Standards
3. File-stamp the original document.
Study
4. Scan the document using OCR recognition. Schedule
5. Log the document into the “Incoming Correspondence” section of Submittal
Contract Manager and attach the document. If required, upload Transmittal
the document to SharePoint as well.
6. Complete the file stamp information with the Log #.
7. File the paper document in the project files.
6.3.2 Incoming Electronic Files
Incoming documents in electronic format shall be sent to the document control staff through email for
logging and storing in the DCS. The document control staff will apply the file-stamp and date received
stamp electronically through Adobe Acrobat. The document shall be entered by the CM into the DCS as
described above.
6.3.3 Incoming Email Files
Pertinent project correspondence that is received through email shall be filed by the CM in accordance
with all other paper and electronic documentation. The CM will forward the email to the document
control staff. Using the project routing slip, the document control staff will provide the necessary
information to the file and log it into the DCS. The CM should use discretion in placing the last email of a

Page 14 of 21
chain of emails, to reduce the amount of repetitive emails being filed for the same subject. The
following are the procedures:
1. Receive notification from the Resident Engineer that the pertinent email must be logged/filed.
2. Print the email (and all attachments) to PDF, add an electronic file stamp, and save it as:
E_COxx_CMxx_Description.pdf.
3. Log the document into the “Incoming Correspondence” section of Contract Manager and attach
the electronic file.
5. Print the entire original document with attachments (now with the file stamp information
completed) and file it in the project files.
6.4 Outgoing Documents
6.4.1 Outgoing Hard Copy Files
For outgoing paper documents sent by United States mail, Fed Ex, hand delivery, fax, etc., the sender
shall proceed with the steps listed in the following section. It is important that documents transmitted
by the CM are by the appropriate, specified individual or approved representative.
Outgoing Letters:
1. Receive notification from the Resident Engineer that an outgoing letter is ready for processing.
2. Go to SharePoint – Letters to format, review, and finalize the letter.
3. Print to pdf and obtain the Resident Engineer’s electronic signature.
4. Make copies and distribute accordingly (mail, hand delivery, fax, etc.).
5. Add the file stamp to the first page of the file copy. If using a hand stamp, scan the documents
(including all attachments) using OCR recognition, and save it as: L_CMxx_COxx_Description.pdf.
6. Log the document into the “Outgoing Correspondence” section of Contract Manager and attach
the electronic file.
Outgoing Transmittals:
1. Receive notification from the Resident Engineer that an item is ready for processing.
2. Create a transmittal for distribution in Contract Manager.
3. Print to PDF, insert the original file behind the transmittal cover sheet, and save it as:
T_CMxx_COxx_Description.pdf.
4. Print a hard copy and distribute it accordingly (mail, hand delivery, fax, etc.).
5. Add a file stamp to the first page of the file copy.If using a hand stamp, scan the document using
ORC recognition. Insert it as the first page of T_CMxx_COxx_Description.pdf.

Page 15 of 21
6. Log the document into the “Outgoing Correspondence” section of Contract Manager and link
the document to T_CMxx_COxx_Description.pdf
6.4.2 Outgoing Electronic Files
Outgoing documents in electronic format shall be sent directly to the document control staff through
email for logging and storing in the DCS.
1. Receive notification from the Resident Engineer that an item is ready for processing.
3. Print to PDF, insert the original file behind the transmittal cover sheet, add an electronic stamp
and save it as: T_CMxx_COxx_Description.pdf.
the document to T_CMxx_COxx_Description.pdf.
6. Print the entire original document with attachments (now with the file stamp information
No formal correspondence will be sent through email; all formal correspondence will be in the form of
an official letter. The official letter can be signed by approved electronic signature and locked.
6.4.3 Outgoing Email Files
At the discretion of the CM, pertinent project correspondence that is sent through email may be filed in
accordance with all other paper and electronic documentation procedures. The CM will forward the
email to the document control staff. Using the project routing slip, the document control staff will
provide the necessary information to file and log it into the DCS. The CM should use discretion in placing
the last email of a chain of emails to reduce the amount of repetitive emails being filed for the same
subject.
1. Receive notification from the Resident Engineer that a pertinent email must be logged/filed.
2. Print the email (and all attachments) to PDF, add an electronic file stamp, and save it as:
E_CMxx_COxx_Description.pdf.
the document to E_CMxx_COxx_Description.pdf.
5. Print the entire original document with attachments (now with file stamp information
6.5 Submittals
The document control staff will be responsible for logging submittals in Contract Manager and uploading
them into SharePoint, following the procedures below:

Page 16 of 21
1. The recipient forwards the document to the document control staff for processing.
2. Date stamp and distribute the document based on routing slip instructions (Refer to Section 6.4
- Outgoing Documents).
3. File-stamp the original document.
4. Scan the document using OCR recognition and save it under the submittal folder in SharePoint
as: SUB-xx_YYMMDD_Description.pdf. (The Resident Engineer will identify the submittal
number and the title on the routing slip).
5. Log the document into the “Incoming Correspondence” section of Contract Manager and link it
to the document in SharePoint. The document may now be accessed through the log entry in
Contract Manager or directly from SharePoint.
7. Log the submittal information in the “Submittal” section of Contract Manager and link the
document to SUB-xx_YYMMDD_Description.pdf in SharePoint. The document may now be
accessed through the two log entries in Contract Manager or directly from SharePoint. It will
now also appear on the submittal log generated through Contract Manager.
8. File both the incoming submittal and the outgoing transmittal in the project files under
“Submittals”.
After Submittal Review Period
1. The Resident Engineer forwards the comments to the document control staff for processing.
2. Save the document under the submittal folder in SharePoint as: SUB-
xx_YYMMDD_Description_DESIGNERCOM.pdf.
3. Add an electronic file stamp to the first page of the document.
4. Log the document into the “Incoming Correspondence” section of Contract Manager and link
the document to SUB-xx_YYMMDD_Description_DESIGNERCOM.pdf in SharePoint. The
document may now be accessed through the log entry in Contract Manager or directly from
SharePoint.
completed).
7. File the paper document in the project files under “Submittals”, with related items.
9. Print to PDF and save it in as: T_CMxx_COxx_Description.pdf.
10. Print a hard copy, place the original comments behind the cover sheet, and distribute it back to
the Contractor (mail, hand delivery, etc.).
11. Add an electronic file stamp to the first page of the file copy (T_CMxx_COxx_Description.pdf).
the document to T_CMxx_COxx_Description.pdf.

Page 17 of 21

14. File the document in the project files under “Submittals”, with related items.
15. Close out the submittal in the “Submittals” section of Contract Manager based on
comments/status. Enter the date comments received/date comments forwarded back to the
Contractor. Link the documents to SUB-xx_YYMMDD_Description_DESIGNERCOM &
T_CMxx_COxx_Description.pdf in SharePoint. The updated status will now also appear on the
submittal log generated through Contract Manager.
Key Points:
*Ensure that all items relating to the submittal are scanned and saved in the submittal folder on
SharePoint.
*Remember to attach all items to the submittal in the “Submittal” section of Contract Manager.
6.6 Requests for Information
The document control staff will be responsible for logging RFIs into Contract Manager and uploading
them into SharePoint, following the procedures below:
1. Receive notification from the Resident Engineer that review of the Contractor’s RFI is complete.
2. Go to SharePoint –RFI to format, review, and finalize with the electronic signature of the
Resident Engineer.
3. Print the RFI (and all attachments) to PDF and save it in SharePoint as: RFI-
xxx_YYMMDD_Description_Final.pdf.
5. Print to PDF, insert the original RFI file behind the transmittal cover sheet, and save it as:
T_CMxx_COxx_RFIxxx.pdf.
6. Transmit the document to the Contractor/Distribution List by email.
7. Print the email to PDF and insert it as the last page of file T_CMxx_COxx_RFIxxx.pdf.
8. Add an electronic file stamp to the first page of the document (transmittal cover sheet).
the document to T_CMxx_COxx_RFIxxx.pdf in .
11. Print the entire original document (now with the file stamp information completed) with
attachments, and file it in the project files.
12. Log the RFI information into the “Request for Information” section of Contract Manager and link
the document to T_CMxx_COxx_RFIxxx.pdf. The document may now be accessed through the
two log entries in Contract Manager or directly from SharePoint. It will now also appear on the
RFI Log generated through Contract Manager.

Page 18 of 21
6.7 Contract Change Orders

The entire Change Management process is included in the Primavera Contract Manager User Guide
attached to this procedure. The document control staff will be responsible for logging CCOs in Contract
Manager and uploading them into SharePoint, following the procedures below:
1. Receive notification from the Resident Engineer that the CCO is ready for signature.
2. Go to Contract Manager to review, and print two copies to be finalized with the wet signature of
the Resident Engineer.
3. Scan the CCO with the Resident Engineer’s signature save in SharePoint as: CCO-
xx_YYMMDD_Description_ CMSIGN.pdf. Print all attachments to PDF and combine to this file.
5. Print a hard copy, and distribute to the Contractor (mail, hand delivery, etc.).
the document to CCO-xx_YYMMDD_Description_ CMSIGN.pdf in SharePoint. The document may
now be accessed through the log entry in Contract Manager or directly from SharePoint.
9. Once returned, scan the CCO to PDF and save it in SharePoint as: CCO-xx_YYMMDD_Description
_CONSIGN.pdf.
10. Transmit the entire CCO package to OCTA project management staff for appropriate signatures.
The CCO package consists of two copies the Contract Change Order, OCTA CCO Review Checklist,
Justification Memorandum, Independent Cost Estimate, Negotiation Memorandum, Time
Impact Analysis (if applicable), and all related back up documentation. Both copies of the
Contract Change Order need to be originals, i.e. wet signatures.
11. Once returned, scan the entire CCO package to PDF and save it in SharePoint as: CCO-
xx_YYMMDD_Description _FINALSIGN.pdf.
13. Print to PDF, insert the original CCO file behind the transmittal cover sheet, and save it in
SharePoint as: T_CMxx_COxx_CCOxxx.pdf.
14. Transmit the file to the Contractor/Distribution List.
15. Add the electronic file stamp to the first page of the document (transmittal cover sheet).
the document to T_CMxx_COxx_CCOxxx.pdf in SharePoint. The document may now be accessed
through the log entry in Contract Manager or directly from SharePoint.
18. Print the entire original document (now with the file stamp information completed) and all
attachments, and file it in the project files.

Page 19 of 21
All CCO information should also be concurrently logged into the “Change Management” section of
Contract Manager and linked to the documents in SharePoint. The documents may now be accessed
through the two log entries in Contract Manager or directly from SharePoint. It will now also appear on
the Change Management Logs generated through Contract Manager.
6.8 Non-Compliance Reports
The document control staff will be responsible for logging NCRs into Contract Manager and uploading
them onto SharePoint, following the procedures below:
1. Receive notification from the Resident Engineer that review of the NCR is complete.
2. Go to SharePoint – Non-Compliance to format, review, and finalize with the electronic signature
of the QA Manager and the Resident Engineer.
3. Print the NCR (and all attachments) to PDF and save it in the FBS (SharePoint) as: NCR-
xxx_YYMMDD_Description_CMSign.pdf.
5. Print to PDF, insert the original NCR file behind the transmittal cover sheet, and save it in the
FBS (SharePoint) as: T_CMxx_COxx_NCRxxx.pdf.
6. Transmit the document to the Contractor/Distribution List by email.
7. Print the email to PDF and insert it as the last page of file T_CMxx_COxx_NCRxxx.pdf.
the document to T_CMxx_COxx_NCRxxx.pdf in the FBS (SharePoint). The document may now be
accessed through the log entry in Contract Manager or directly from SharePoint.
12. Log the NCR information into the “Non-Compliance Report” log in SharePoint..
7 Periodic Reporting Logs

The Document Control Lead is required to generate and file reports and summaries from Contract
Manager. At a minimum, these reports will be generated monthly and should be printed as hard copies,
as well as saved electronically to PDF format so that they can be filed in the corresponding category. This
will maintain a job history and paper back up to the DCS.
The following is list of logs that should be kept up to date at a minimum in SharePoint and Contract
Manager:
SHAREPOINT CONTRACT MANAGER
CM Safety Training Issues
Contractor Safety Training RFI
Non Compliance Report (NCR) Correspondence Sent

Page 20 of 21
SHAREPOINT CONTRACT MANAGER

Request for Flagging Correspondence Received
Request for Survey Transmittals
Safety Incident Accident and Near Miss Meeting Minutes
Safety Metrics Payment Requisitions
Agg Base Field Performed Testing (As needed) Change Management
Agg Base Lab Performed Testing (As needed) Drawings
Concrete Compression Test (As needed) Submittals
Concrete Flexural MOR (As needed) Submittal Packages
Concrete Sampling Frequency (As needed) Daily Inspection Reports
Reinforcing Steel Test Acceptance (As needed) Insurance

Page 21 of 21
Construction
Management
Procedures
Construction Attachment A Section II
Management File Breakdown Structure Document Controls
Procedures Revision 1 – 12/21/2012
Cat Heading Sub Cat No. Sub Category Heading File Archive
No. Cabinet File Box
01 Project Team
01.01 Staffing Plan
01.02 Resumes
01.03 Certifications and Credentials
01.04 Correspondence
01.05 Emergency Contact Information
02 Project Office
02.01 Equipment Inventory
02.02 Supplies
02.03 Purchased Equipment (OCTA asset)
02.04 Service Contracts
02.05 Surveying Equipment
02.06 Business License Certificate
02.07 Requisitions
03 CM Survey
03.01 Survey Requests
03.01.01 Task Orders
03.02 Survey Control Data
03.03 Audit Survey
03.04 Right of Way
03.05 Survey Re-Work
04 OPEN
05 General Correspondence
05.01 Incoming
05.01.01 From Contractor
05.01.02 From OCTA
SP DCC SP Working CM13 Attachment A – File Breakdown Structure

Page 1 of 24
05.01.03 From City
05.01.04 From Utility
05.01.05 From Others
05.02 Outgoing
05.02.01 To Contractor
05.02.02 To OCTA
05.02.03 To City
05.02.04 To Utility
05.02.05 To Others
06 Safety
06.01 CM Safety Plan
06.02 Contractor Safety Plan
06.03 Job Hazard Analysis (JHAs)
06.04 Safety Meetings
06.05 Safety Inspection Reports
06.06 Near Miss Reports
06.07 Material Safety Data Sheets (MSDS)
06.08 Project Safety Review
06.09 Photos
06.10 Directives
07 Public Relations
07.01 News Articles
07.02 Public Meeting notes
07.04 P.R. Log_Mailing List_Contact Lists
07.05 Record of
Complaints_Resolutions_Comments
08 Construction Surveys (Contractor)

Page 2 of 24
08.01 Survey Requests_Log
08.02 Survey Cut Sheets
08.03 Preconstruction Survey
08.04 Slope Stakes
08.05 Drainage
08.06 Embankment
08.07 Bridge
08.08 Pothole Results
08.09 Walls and Barriers
08.10 Topographic Surveys
08.11 Tilt Measurements
08.12 Piezometer and Settlement Readings
08.13 Final Grades
08.14 Post Construction Survey
08.15 Right Of Way
08.16 Control_Monuments_Benchmarks
09 Quality Assurance and Control
09.01 Quality Assurance and Control Plan
09.02 Non-Compliance Report Log
09.03 Non-Compliance Report (NCR)
09.04 Corrective Action Requests (CARs)
09.05 Remediation/Mitigation Plans
09.06 Welding
09.06.01 Welding Quality Control Plan
09.06.02 Prequalification Test Results
09.06.03 Job Control/Production Test Results
09.06.04 Welding Procedure Specifications
(WPS)

Page 3 of 24
09.06.05 Welder Certifications
09.06.06 QC CWI Certifications
09.06.07 CM CWI Certifications
09.06.08 Weld As-built sheets
10 Submittals
10.01 Submittal Log
10.02 CM Required Submittal List
10.03 Contractor Required Submittal List
10.04 Submittal Procedures
10.05 Submittals
11 Information Furnished at Start (RE Book)
11.01 Bid Phase Documents
11.02 Permits
11.02.01 Contractor Permits
11.02.02 Owner Permits
11.03 CM Contract/Scope of Work
11.04 Project Cost Estimate
11.05 Contractor's Notice of Award
11.06 Bid Summary Sheets
11.07 Project Contract Documents
11.07.01 Executed Contract
11.07.02 General Conditions
11.07.03 Special Conditions
11.07.04 Technical Specifications
11.07.05 Plans
11.07.06 Bid Documents
12 Contractor
12.01 Organization

Page 4 of 24
12.01.01 Employee Certifications/Resumes
12.02 Equipment List
12.03 Insurance/Power of Attorney etc
12.04 Preliminary Notices
13 Signs & Striping/Traffic Control
13.01 Correspondence_Changes
13.02 Traffic Control Plans (TCPs)
13.03 Temporary Traffic Control Materials to
be Used
14 Photo/Video Records
14.01 Pre Construction
14.02 Construction
14.03 Post Construction
14.04 Aerial Photos
14.05 Web Camera
14.06 Pre Construction Video
14.07 Construction Video
14.08 Time-Lapsed Construction Photos
15 Accidents
15.01 Construction Related Incidents
15.01.01 Incident (NAME) (PARTY) (DATE)
15.02 Non-Construction Related
16 Utility Agreements & MOUs
16.01 Electric
16.02 Communication
16.03 Water
16.04 Sewer
16.05 Private

Page 5 of 24
16.06 Other
17 Utility Work Performed
17.01 Utility Daily Reports
17.01.01 Electric
17.01.02 Communication
17.01.03 Water
17.01.04 Sewer
17.01.05 Private
17.01.06 Other
17.02 Railroad Utilities
17.02.01 Utility Agreements and P.U.C.
Requirements
17.02.02 Utility Plans and Information
17.02.03 Utility Work Performed by Railroad
Forces
17.02.04 Signal_Communication_Fiber Optics
17.02.05 Railroad Utility Reports_Diaries
17.03 Utility Coordination Meeting
Agendas_Sign-In Sheet_Minutes
17.03.01 Electric
17.03.03 Water
17.03.04 Sewer
17.03.05 Private
17.03.06 Other
17.04 As_Builts
17.04.01 Electric
17.04.03 Water

Page 6 of 24
17.04.04 Sewer
17.04.05 Private
17.04.06 Other
17.05 Notices to/from Utilities
18 Agreements
18.01 Agency Agreements
18.01.01 OCTA
18.01.02 City
18.01.03 Railroad
18.01.04 Caltrans
18.01.05 Others
18.02 Encroachment Permits
18.03 Developer (Private) Agreements
18.04 Right of Way
18.05 Right of Way (PARCEL # AND NAME)
18.06 Environmental Permits
18.07 Borrow Agreement
18.08 Master Cooperative Agreements
(MCAs)
18.09 Water Permits
18.10 Project Labor Agreements
19 Hazardous Waste/Materials
19.01 Site Characterization Information
19.02 Waste Water Treatment and Filtration
Plan
19.03 Project Personnel Training_Certificates
19.04 Incidents and Reports
19.05 Non-Hazardous Waste

Page 7 of 24
19.06 Confined Space Air Monitoring
19.07 Test Results
20 SWPPP
20.01 Original SWPPP
20.01.xx SWPPP Amendment XX
20.02 NOI_WDID_WPCP_SWPPP
Amendments
20.03 Best Management Practices (BMPs) &
Details
20.04 SWPPP Diaries_Directives_Photos
20.05 Letters to Contractor
20.06 Letters from Contractor
20.07 Correspondence WISWRCB
20.08 Certification Annual Cert & N.O.T.
20.09 Utility SWPPP Reports
21 Clarification Memo Form
21.01 CMF No. 001-020
21.02 CMF No. 021-040
22 Traffic Management Information
22.01 Traffic Control Permits
22.02 Lane Closure Requests
22.03 Detour Plans and Area Signing
23.01 RFI Log
23.02 RFI No. 001-020
23.03 RFI No. 021-040
23.04 RFI No. 041-060
23.05 RFI No. 061-080

Page 8 of 24
23.06 RFI No. 081-100
24 DBE
24.01 Subcontract Agreements
24.02 Request to Add/Sub/Terminate
24.03 CCO Reviews
24.04 Notices and Correspondence
24.05 Closeout
24.06 Monthly Utilization Reports (Form
103’s) and Payment Verification
25 Labor Compliance/EEO
25.01 Employee Interviews
25.02 Violations and Correspondence
25.03 Fringe Benefit Statements
25.04 LC Forms (CM112, CM113, Monthly
Reports, CAC-2, Form-107 Final)
25.05 Owner Operator Listings
25.06 Apprenticeship
Certifications_DAS140_DAS142
25.07 Certified Payroll Records
25.07.01 Month 1
25.07.02 Month 2
25.07.03 Month 3
25.07.04 Month 4
25.08 Form FHWA-1391 (Annual EEO Reports)
26 Progress Schedule
26.01 CPM Schedule Submittals
26.01.01 Preliminary 120-Day Schedule
26.01.02 Baseline Schedule
26.01.03 Schedule Updates

Page 9 of 24
26.01.04 TIE & Weather Day Requests
26.01.05 Revised Schedules
26.02 Recovery Schedule
26.03 Weekly Look Ahead Schedules
26.04 CM Schedules
26.04.01 What-if Schedules
26.04.02 Third Party Schedules
26.05 Owner Schedule
27 Weekly Statement of Calendar Days (WSCDs)
27.01 Construction Workday Calendar
27.02 WSCD’s Document
28 OPEN
29 Materials Reports & Preliminary Tests (By Others)
29.01 Native Soil
29.02 Asphalt Concrete_A.T.P.B.
29.03 Concrete Pavement_C.T.P.B.
29.04 Structural Concrete
29.05 Import Borrow
29.06 Aggregate Base_Subbase
29.07 MSE Wall Backfill
29.08 Steel & Rebar (Charpy V-Notch, etc.)
29.09 Rail & OTM
29.10 Ties
29.11 Ballast
30 OPEN
31 Notice of Materials to be Used
31.01 List of Materials
31.01.01 Owner Furnished Material (OFM)

Page 10 of 24
31.01.02 Salvaged Material
31.01.03 Railroad
31.02 Notice of Inspection
32 OPEN
33 OPEN
34 Treated Base
34.01 Mix Design Data
34.02 Plant tests/Certifications
34.03 Spread Records
34.04 Certificates of Compliance
35 Asphalt Concrete
35.01 Mix Design Data
35.02 Plant tests/certifications
35.03 Spread Records
36 Portland Cement Concrete
36.01 Mix Designs
36.02 Plant records
36.03 Spread records
36.04 Minor Concrete Calcs
36.06 Slurry
36.07 Shotcrete
36.08 Lean Concrete
37 Initial and Acceptance Tests
37.01 Concrete
37.01.01 Plant Inspection
37.01.02 Compression Test Results

Page 11 of 24
37.01.02.01 Mix No.
37.01.02.02 Mix No.
37.01.02.03 Mix No.
37.01.02.04 Mix No.
37.01.02.05 Mix No.
37.01.03 Aggregate Grading, SE and CV
37.01.04 Modulus of Ruptures
37.01.05 Sampling Test
37.01.06 Certificates of Compliance
37.02 Cement Treated Permeable Base
(CTPB)
37.02.02 Aggregate Grading, SE and CV
37.02.03 Unit Weight and Cement Content
37.02.04 Relative Compaction
37.03 Asphalt Concrete
37.03.02 Aggregate Grading, SE and Oil Content
37.03.03 Compaction Tests
37.03.04 Oil Certs
37.04 Asphalt Treated Permeable Concrete
(ATPB)
37.04.02 Aggregate Grading, SE and Oil Content
37.05 Aggregate Base (AB)
37.05.01 Quarry/Supplier Inspection and Initial
Tests
37.05.02 Aggregate Grading, SE and Moisture

Page 12 of 24
37.05.04 R-Value
37.06 Aggregate Subbase/Subballast
Tests
37.06.02 Aggregate Grading, SE and Moisture
37.06.04 R-Value
37.07 Structure Backfill Drainage
37.07.01 Gradation SE
37.08 Embankment/Import Borrow
37.08.02 R-Value
37.09 Native Soil
37.09.02 R-Value
37.09.03 Other misc tests
37.10 Structure Backfill
37.10.01 Gradation and SE
37.10.03 Other misc tests
37.11 Cement Treated Base (CTB)

Page 13 of 24
37.11.03 Aggregate Grading and SE
37.12 Shotcrete
37.12.01 Mix Design
37.12.03 Sampling Test
37.13 Ballast (Railroad)
37.13.01 Los Angeles Rattler Test
37.13.02 Other Hardness/Durability Tests
Tests
37.13.04 Other tests
37.14 Structural Steel
37.14.01 Structural Steel Heat Numbers - Mill
Certs
37.14.02 Bolts - Mill Certs
37.14.04 Test Results - Material
37.15 Rail
37.15.01 Rail Heat Numbers - Mill Certs
37.15.02 Rail Test - Material
37.15.03 Rail Test - NDT
37.15.04 Rail Certificates of Compliance
37.16 Railroad Track Materials
37.16.01 Concrete Ties Test Results (TR)

Page 14 of 24
37.16.02 Timber Ties Test Results
37.16.03 Spikes or Clips Test Results
37.16.04 Pads and Tie Plates Test Results
37.16.05 Joint Bars/Insulated Joint Bars Test
Results
37.16.06 Fasteners/Bolts/Nuts/Washers Test
Results
37.16.07 Other – Test Results
37.17 Misc Metal
37.17.01 Misc Metal Heat Numbers - Mill Certs
37.17.02 Misc Metal Certificates of Compliance
37.17.03 Misc Metal Test - Material
37.18 Reinforcing Steel
37.18.01 Mill Certifications
37.18.03 Test Results - Material
37.19 Masonry
37.19.01 Block Test Results
37.19.02 Grout Tests
37.19.03 Foundation
37.19.04 Reinforcement
37.20 Pipe & Misc. Metals
37.20.02 Other
38 OPEN
39 Material Testing Certifications

Page 15 of 24
39.01 Contractor
39.02 CM
40 Field Lab Assistant Reports
40.01 Diaries
40.02 Material Testing Work Order
40.03 Lab Time Tickets
41 Report of Inspection of Material
41.01 Non-Compliance Material Log
41.01.## NCR# (DESCRIPTION)
41.02 Non-Compliance Material Report
41.03 Report of Inspection of Material
42 Material Plants
42.01 Off site Plant Certifications
42.02 On site Plant Certifications
42.03 Source Inspection Reports
43 Concrete and Reinforcing Steel
43.01 Bridge and Wall Mix Designs
43.02 Concrete Pour Summary
43.02.01 Pour Records
43.02.03 Concrete Tickets
43.03 Reinforcement Delivery Summary
43.03.01 Certificates
43.03.02 Mill Reports
43.03.03 Placement Records
44 Environmental
44.01 Environmental Reports
44.02 Releases for Construction

Page 16 of 24
44.03 Environmental Issues
45 RE Daily Report
45.01 Resident Engineer
45.01.01 Daily Report
45.01.02 Weekly Report
45.01.03 Monthly Report
45.02 Structures Representative
45.02.01 Daily Report
45.02.02 Weekly Report
46 Daily Inspection Reports
46.01 QA DIRs (CM)
47 Drainage Systems
47.01 Drainage System 1
48 Contract Item Quantity Documents
48.01 Bid Item # Calc (by date)
49 Change Management
49.01 Contract Change Log
49.02 Change Request
49.02.## Organize by CR ##
49.03 Change Directive
49.03.## Organize by CD ##
49.04 Contract Change Orders
49.04.## Organize by CCO ##
49.05 Trend Reports
50 Adjustment in Compensation Calculations
50.01 Liquidated Damages

Page 17 of 24
50.02 EEOC Non Compliance
50.03 NCR Deductions
50.04 Third Parties (RR, Util, Owners)
50.05 Asphalt Concrete (A.C.) Price Index
50.05.01 A.C. Price Index Flux Calculations
51 Material on Hand Payments
51.01 Materials on Hand Log
51.02 Materials on Hand Support Documents
52 OPEN
53 Credit to Contract
53.01 Credit to Contract Directive
53.02 Value Engineering
54 OPEN
55 Meeting
55.01 Weekly Progress
55.02 Utilities
55.03 Preconstruction_Agenda_Sign-In
Sheet_Minutes
55.04 Special_Other Meeting Minutes
56 OPEN
57 Railroad (Metrolink/BNSF) - Optional
57.01.01 Construction Review
57.02 Specifications
57.02.01 General
57.02.02 ROW Clearances
57.02.03 Cooper Loading Requirements
57.02.04 Other

Page 18 of 24
57.03 Safety
57.03.01 Safety Requirements_Certifications
57.03.02 Accidents_Operation Interferences
57.03.03 RFF_Flagging Records
57.03.04 Emergency Information
57.03.05 Safety Training Record
57.03.06 Safety Meetings
57.03.07 Other
57.04 Hazardous_Contaminated Material
57.04.01 Site Characterization
57.04.02 Hazmat Certifications
57.04.03 Material Test Results
57.04.04 Manifest Logs_Distribution Records
57.04.05 SWPPP
57.04.06 Other
57.05 Agreements
57.05.01 ROW Agreements
57.05.02 SSWP_Schedules
57.05.03 Personnel Access_Authorization
57.05.04 Special Agreements
57.05.05 Other
57.06 Surveys
57.06.01 Alignment Information_Design
57.06.02 Clearance Checks
57.06.03 Line_Grade_Offset_Staking
57.06.04 Benchmark_Temporary Benchmark
57.06.05 Track Stationing_Mile Post Information
57.06.06 Other

Page 19 of 24
57.07 Railroad Utilities
57.07.01 Utility Agreements_PUC Requirements
57.07.02 Utility Plans_Information
57.07.03 Utility Work Performed by Railroad
57.07.04 Fiber Optics
57.07.05 Other
57.08 ROW Photographs_Video
57.09 Inspection Reports
57.09.01 RE Diaries
57.09.02 Assistant RE Diaries
57.09.03 Inspector Diaries
57.09.04 Other
57.10 Inspection Matrices_Summaries
57.10.01 Track Matrices

57.10.02 Structure Matricies
57.10.03 Sign Systems_Flag Matrices_Testing
57.10.04 Other Summaries_Punchlists
57.11 Structures_Retrofits and Designs
57.11.01 Bridge_Trestle_Culvert Information
57.11.02 Falsework_Shoring_Clearances
57.11.03 Retaining Structure Information
57.11.04 Signal Structures_Fixtures
57.11.05 Other Facilities
57.12 Grade Crossings
57.12.01 Existing Alignment
Condition_Agreements
57.12.02 Rehabilitation_New Construction Specs

Page 20 of 24
57.12.03 Railroad Specific Materials
57.12.04 Signals_Testing
57.12.05 Other
57.13 Track Materials_Submittals
57.13.01 Subgrade Material_Drainage
57.13.02 Railroad Ties
57.13.03 Other Track Material
57.13.04 Rail_Frogs_Points_Rail Castings
57.13.05 Rail Welds_Welding Procedures
57.13.06 Rail Bonding_Detection_Power Sources
57.13.07 Ballast
57.13.08 Railroad Signals_Wayside
Signals_Crossing Signals
57.13.09 Other
57.14 Request for Information_Correction
57.14.01 RFI
57.14.02 RFC
57.15 Field Office Equipment
57.15.01 Inspection Equipment List
57.15.02 Other
57.16 Historical Issues
57.16.01 ROW Maps_Easements
57.16.02 Historical Documentation_Photographs
57.16.03 Restoration Issues
57.16.04 Other
57.17 Meetings
58 Structures
58.01 Miscellaneous Structure Information

Page 21 of 24
58.02 Falsework
58.02.01 Falsework Log
58.02.02 Correspondence
58.02.03 Falsework Drawings, Falsework Check
and Calcs Submittal
58.02.04 Falsework Designer Approval Letter
58.03 Structure Grades and Elevations
58.03.01 Bridge Grades
58.03.02 Four Scale Drawings
58.03.03 Retaining Wall Grades
58.03.04 Soundwalls
58.04 Piles
58.04.01 Pile Summary Log
58.04.02 Pile Driver Information
58.04.03 Bearing Curve Calcs
58.04.04 Pile Shop Plans and Calcs
58.04.05 Pile Driving Records
58.04.06 Testing Tubes
58.04.07 Slurry Displacement Method
58.05 Prestress and Post Tension
58.05.01 Logs
58.05.02 Drawings, Calcs, Submittals
58.05.03 Elongation Calcs
58.05.04 Hydraulic Ram and Jack Info
58.06 Joint Seal Records Logs
58.06.01 Joint Seal Submittal
58.06.02 Joint Seal Calcs

Page 22 of 24
58.07 Hinge Restrainer
58.07.01 Hinge Restrainer Details
58.08 Bridge Settlement Records
58.09 Bridge Columns
58.10 Shotcrete
58.10.01 QCP
58.10.02 Test Panel Data
58.11 Utility Casing
58.12 Tieback Walls
58.13 Shoring Log
58.13.01 Shoring Submittals_Correspondence
58.13.02 Shoring Calculations
58.14 Drainage Structures
58.14.01 Drainage Structures
58.14.02 Culvert & CMPs
58.15 Bridge Demo Log
58.15.01 Bridge Demo Plans
59 Bridge Estimate Data
60 Project Status Reports
60.01 Contractor Reports
60.02 CM Monthly
60.03 CM Weekly
60.04 Special Reports
61 Project Payment Estimates
61.01 Original Budget
61.02 Pay Request Application
61.03 Contractor/Subcontractor Invoices

Page 23 of 24
61.04 Summary of Retention
61.05 Funds Remaining
62 Claims
62.01 Claim Log
62.01.## Claim ## Description
62.02 Delay Notices
62.03 Notices of Potential Claim
63 Project Completion Documents
63.01 Punch List
63.01.01 Initial (Preliminary) Punchlist
63.01.02 Intermediate Punchlists
63.01.03 Final Punchlist
63.02 Warranty Information
63.03 Operating Manuals
63.04 Spare Parts List & Locations
63.05 As_Builts
63.06 Substantial Completion

Page 24 of 24
Attachment B
Revision 1
December 21, 2012
Construction
Management SharePoint
User Guide
Procedures Logging in Revision 1 – 12/21/2012
OCTA Grade Separation Program Site

URL - https://m2.octa.net/projo/gradeseparation/default.aspx
OCTA Staff
 Choose “Windows Authentication” (OCTA Staff) or “Forms

Authentication”(Non OCTA Staff)
 OCTA Staff will automatically pass through login from OCTA computers
 If using an outside computer then use:

OCTAINT\username
password
External Users
For External Users (Non-OCTA Staff)

 Enter assigned user name and password from OCTA Program Staff.
Typical user name is first.lastname
 If you forgot your password, then email jcook@octa.net

 If you need to change your password, below the calendar on the home
page is an area for changing passwords.
Attachment B – SharePoint User Guide

Page 1 of 21
Construction
SharePoint
Management
Procedures
OCTA Grade Separation Home Site User Guide
Revision 1 – 12/21/2012
Top Ribbon
Side Ribbon
Calendar
Communication
Note Board
Change Password

Page 2 of 21
Construction
User Guide
Procedures Navigation: Top Ribbon Revision 1 – 12/21/2012
Site Navigation Root Menu

Use this to return to the
home page or a previous root Personal Settings
Site Actions Menu
page
Allows for modification of Allows for modification of
general site information profile and personal site
Page Editing Options settings as well as logging out
if using a public computer.
Home Page Top Ribbon
Site Help
Home Site
Help with a variety of
Quick Link
navigation and design
issues.
Navigate back to the
current site or sub-site
home page.
GS Home Page Quick Links Quick Search Box

Provides link to individual Project Sites Search for key words, documents or
people. Use the drop down menu to
filter search options.

Page 3 of 21
Construction
User Guide
Procedures Navigation: Side Ribbon Revision 1 – 12/21/2012
Site List View

Create a new library
Site Library View

Edit an existing library
Home Site Side Ribbon

Site Pictures View

Page 4 of 21
Construction
User Guide
Procedures Lists Revision 1 – 12/21/2012
General
 A SharePoint list is a collection of similar items. A list contains columns or fields that define
the item data or metadata schema. Each item stored in a list shares the same schema.
 Lists in SharePoint resemble database tables in structure and behavior. Lists support
various field or data types, and can be configured to filter, sort or group items based on
item data or properties.
 SharePoint lists also support various methods of visualization, both in the display of data
and in the editing or entry of item data.
List View
 Select an already created list (example “Controlled Procedures”)
 From the top ribbon select the “List” menu which displays the List Ribbon. From this menu a
variety of actions can be performed related to the current. The more common actions are:
Modify View, Create View, Export to Excel, Email link, and various others.
List Ribbon
Standard View Datasheet View

The default view displayed is the standard view In the Datasheet View the list functions as an
for the list. Excel Spreadsheet, items can be easily edited
within each cell as well as cut/paste to and
from other spreadsheets. Attachment B – SharePoint User Guide
Page 5 of 21
Construction
User Guide
Procedures Lists Revision 1 – 12/21/2012
Standard View
 The “Standard View” will consist of a number of columns which

will display various data pertinent to the list. Each column can
be sorted in order to customize the data to suit the user.
 Column sorting can be done by

scrolling over the column name until
a drop down arrow appears, once
active, click on the drop down arrow
and all the sorting/filtering options
for this column will appear.
(Ascending, Descending, etc.)
Column Sorting
Hyperlinked items
 Some column information will be
hyperlinked. For instance by clicking
on the hyperlinked name, a new
window will pop up where additional
information, which may not be
present on the Standard View, is
available. This will be typical for
email addresses as well. Selecting a
hyperlinked email address will
automatically bring up MS Outlook

Page 6 of 21
Construction
User Guide
Procedures Creating Lists Revision 1 – 12/21/2012
 Select the Lists heading from the Side Ribbon.
 Select the icon from the upper left corner

of the screen. A new window will appear and a list of
templates will become available.
3. Select the template which will best

display the data being presented/stored Provides a description/overview of
1. Use the Filter Menu each list
to narrow down
the templates by
selecting List.
4. Name the List
2. Chose the
5. Select “Create”
appropriate
template category
from the All
Categories menu.
The new list is created and it appears in the Current

Navigation Ribbon under Lists.

Page 7 of 21
Construction
User Guide
Procedures Managing Lists Revision 1 – 12/21/2012
Adding an Item
 Select the list you wish to add the document to from
the Lists heading from the Current Navigation Ribbon
 Click on the icon, located in the top

left
 Add any Metadata (information pertaining to the

data) about the item. In this case “Title” is the only
available option.
 The new Item is now part of the “Sample” list.
 Depending on the purpose of the list,

having only a title to search/sort by will not
be sufficient. So extra Metadata will need
to be added. This can be done by modifying
the view and adding extra information
fields.
 New items can also be added from the List

Tools Ribbon under the Items tab

Page 8 of 21
Construction
User Guide
Modify View
From the List Navigation ribbon select Modify View (Do not select
SharePoint Designer unless it is installed on your machine and you
have had specific training on using this software.)
URL’s should be kept as

simple as possible.
Name Spaces and characters
should be avoided.
Give the new list view a name and a
URL location
These standardized
headings will populate
Columns the columns with
information
Once Modify View is selected a standardized list of available automatically. Adding
columns will appear. Select the appropriate columns for the list Custom columns will be
view . Then use the position drop downs for each column to select addressed later.
the order of appearance on the page.
Sort Sorting can also be

done through the view,
Default sorting can be set for the view based on two different as shown in Level 1, so
columns. setting a default sort is
not required
Other
Other options to display the list information are available as well,

including: Filters, Styles, Totals and Grouping. Each can be viewed
by clicking on the + sign and expanding each view. Once all edits
are complete select OK .
The new view now displays all of

the additional information and the
order in which it was selected
Page 9 of 21
Construction
User Guide
Custom Columns
 Some lists will require custom columns to present the
appropriate information. Custom columns allow for manual
input of information unlike the standardized columns.
 In order to add a custom column click on the Names can not be duplicated, if
a name which already exists is
icon from the List Navigation Ribbon. given the action will result in a
an error message
Name
 Give the new column an appropriate name
Column Type
 Select the type of data that this column will contain. It can be
as simple as a single line of text to a drop down menu or
hyperlink.
Additional Settings
 Based on the column type selected additional settings will
appear which will further allow customization of the column
contents and defaults.
 Once all the information is correct select OK .
 The new column is now displayed in the view. In order to

change its order of appearance repeat the steps for Modify
View

Page 10 of 21
Construction
User Guide
 Since custom columns require manual input, the column value

is blank
 There are several ways to input Metadata/information for an

item in a list:
1. Select the hyperlinked title,

when the item information
window comes up select Edit
Item
2. Check the box next to the

item then under the List Tool
Ribbon select Edit Item
3. By selecting Datasheet view

from the List Tool Ribbon and
simply editing the column.
Custom Columns can also be added, modified and deleted

from the Datasheet View by right clicking on the column
heading and selecting the appropriate action form the menu.

Page 11 of 21
Construction
User Guide
In addition to the listed actions there are many other options

and ways to manage an existing list through the list settings
menu which can be accessed through the List Tools Ribbon,
under the List tab.
Another way to delete the

Location of List
current list
Edit List title,

description,,
and navigation
Edit active
columns
Create./Add
new columns
Create additional List views. Each view

can be selected as the default option
Page 12 of 21
Construction
User Guide
Procedures Libraries Revision 1 – 12/21/2012
 A SharePoint library is a specialized form of SharePoint lists that are used to

store document type data rather than metadata based items.
 The main difference is that in a normal list the metadata is what defines an
item in the list while in a library the document is the main focus. Libraries
do support metadata, however.
 Libraries are created in much the same way as normal lists and support the
same type of functionality such as workflows, event triggers or handlers,
various display options, and custom forms for editing or entering data.
 This is where Construction Documents, CM Procedures, Forms, Exhibits and

various other information will be stored. Each CM project site will have
their own set of libraries with project specific information.
 By selecting the “Documents” library a standard view (much like the

standard “List View” will appear.
 Library views can be modified and sorted in the same way as List Views
 A Library will typically contain folders which further break down the
structure. The “Documents” Library contains folders which group “like”
documents thus making searching for an item more simple and organized
Library Standard View

Page 13 of 21
Construction
User Guide
Procedures Creating Libraries Revision 1 – 12/21/2012
 Select the Libraries heading from the Side Ribbon.
 Select the icon from the upper left corner

of the screen. A new window will appear and a list of
templates will become available.
3. Select the template which will best

display the data being presented/stored Provides a description/overview of
1. Use the Filter Menu each list
to narrow down
the templates by
selecting Library.
4. Name the Library.
(The name must
not duplicate
another Library or
List name)
2. Chose the
5. Select “Create”
appropriate
template category
from the All
Categories menu.
The new library is created and it appears in the Current

Navigation Ribbon under Libraries.

Page 14 of 21
Construction
Management Managing Libraries SharePoint
Procedures User Guide
Revision 1 – 12/21/2012
Adding Documents and Folders

 Select the library you wish to add the document to
from the Libraries heading from the Current
Navigation Ribbon
 Click on the icon, located in the top

left
 In the new window you will have the option to browse

for a single file or upload multiple documents
 Once the file is uploaded it will appear

under the Library.
 Documents can also be uploaded from the

Library Tools Ribbon under the documents
tab
New documents can be
created locally using MS
Word
 Another way to create file structure

within libraries is by using folder. Similar
to Windows Explorer, folders can be
created within the Library which in turn
can store other folders or documents
 To add a folder select the link from the

Library Tools Ribbon under the
Documents Tab. Once the new window
appears give the new folder a name and
select SAVE
 The new folder is now in the Library

Page 15 of 21
Construction
Procedures Managing Libraries User Guide
Revision 1 – 12/21/2012
Migrating Documents and Folders
 A simple way to move a file from one

location to another within the SharePoint
site is by opening the page with Explorer.
 The Open with Explorer command is

located in the Library Tools Ribbon under
the Library tab.
 Once selected a Windows Explorer window

will appear with the current Library view
 Drag and drop or cut and paste the

file/folder into its appropriate location
 Close the windows explorer view and

refresh the current web page. The file is
now within the folder previously created.

Page 16 of 21
Construction
Procedures Calendar User Guide
Revision 1 – 12/21/2012
In addition to the different ways described

earlier that a list view can be modified,
Calendar, also provides quick links which allow
the viewing of a specific week or day. (Similar
to MS Outlook)
 A calendar will be displayed on every project site home

page. Each GS Project’s calendar will display important
dates pertinent to that job.
 The Main Site calendar will pull information from each

calendar and display all of the events on one main
calendar.
 Each site will be represented in different color. This can

be accessed by selecting the “Calendar” list from the
Main Site.
 In order to view the

full title of an event
simply scroll over the
event title until the
full heading appears
 Additional information
about the specific
event can be accessed
by selecting the
hyperlinked title of the
event.

Page 17 of 21
Construction
Procedures Editing Documents User Guide
Revision 1 – 12/21/2012
There are several ways to edit documents
Check Out
2. In the Library Tools Ribbon
Checking a document out allows the user to make any edits under the Library Tab select
without allowing anyone else to make edits simultaneously. Check out.
It is the recommended method for viewing and editing
because it ensures the latest draft is being used.
1. Scroll over the Document until

a blank Check Box appears.
Select the box.
3. Anew window will appear.

Check the box “Use My Local
Drafts Folder”
4. The local drafts folder is

located under My Documents
and is titled SharePoint Drafts
The same steps can be used to

Check In the document

Page 18 of 21
Construction
Revision 1 – 12/21/2012
 Once the Document is Checked Out the symbol

appears under the document type. By scrolling the
cursor over the icon an information box will display
who the document is checked out to.
 Another way to Check Out a document is by scrolling

over the document until a drop down arrow appears.
Selecting the arrow will present a list of options one of
them being Check Out.
Edit In SP
 It is possible to edit a document without checking it out however this is not
recommended since multiple users can make edits at the same time without
necessarily making them to the latest version of the document.
 The way to edit a document is by using the same drop

down menu from the document title and selecting Edit
View Document
 Documents can also be viewed in Read Only Mode, without the option of
making edits .
 To View a document click on the hyperlinked name and

the appropriate program will open the document for
viewing.

Page 19 of 21
Construction
Revision 1 – 12/21/2012
Delete Document
 Documents can be deleted through SharePoint however

there is not a recycle bin hence this action can NOT be
undone.
 In order to delete a document select the check box of the

document
 Select the Delete Document command located in the

Library Tools Ribbon under the Documents Tab
 Another option is to use the drop down menu from the

document title.
 The same applies for folders inside libraries.
 In addition to the listed actions there are many other

options and ways to manage an existing libraries
through the library settings menu which can be
accessed through the Library Tools Ribbon, under the
Library Tab.

Page 20 of 21
Construction
Revision 1 – 12/21/2012
Another way to delete the

Location of current library
Library
Edit Library
title,
description,
and navigation
Edit active
columns
Create./Add
new columns
Create additional Library views. Each

view can be selected as the default
option

Page 21 of 21
Primavera Contract
Manager User Guide
OCTA Grade Separation Program
This user guide has been developed to assist the Document

Control Staff to receive, log, and store all official project
documents and files that are generated and/or received from
project initiation through closeout.
Attachment C
Revision 1
December 21, 2012
Construction Primavera Contract Manager
Management User Guide
Table of Contents
1 New User: Getting Started ................................................................................................................... 3

1.1 Contract Manager Access.............................................................................................................................3
1.2 How to Log-On .............................................................................................................................................3
1.3 Trouble Shooting ..........................................................................................................................................4
1.4 Contract Manager Workspace .....................................................................................................................8
1.4.1 Project View .......................................................................................................................... 8
1.4.2 Control Center....................................................................................................................... 8
1.4.3 Company Directory/Contacts................................................................................................ 8
1.5 Changing Your Password ..............................................................................................................................9
1.6 Important Contacts ....................................................................................................................................10
2 Incoming Documents .......................................................................................................................... 10
3 Transmittals ........................................................................................................................................ 14
Sample Print of a Transmittal ..................................................................................................................... 15
4 Outgoing Documents .......................................................................................................................... 21
5 Submittal ............................................................................................................................................. 26
5.1 Submittal Packages ....................................................................................................................................26
5.2 Entering an Individual Submittal ................................................................................................................27
6 Request for Information ..................................................................................................................... 33
6.1 Create Outgoing Transmittal ......................................................................................................................33
6.2 Outgoing Correspondence .........................................................................................................................33
6.3 ‘Request for Information’ Section ..............................................................................................................33
7 Contract Change Orders...................................................................................................................... 39
7.1 Create a Change Management Item ..........................................................................................................39
7.2 Create a Potential Issue .............................................................................................................................41
7.3 Create a Change Directive ..........................................................................................................................44
7.4 Create a Change Request ...........................................................................................................................49
7.5 Create a Record of Negotiations ................................................................................................................51
7.6 Final – Contract Change Order ...................................................................................................................53
8 Payment Application ........................................................................................................................... 59
8.1 Certification Process ..................................................................................................................................62
9 Meeting Minutes................................................................................................................................. 64
9.1 Generating Minutes ...................................................................................................................................68
9.2 Printing Agendas & Minutes ......................................................................................................................68
10 Daily Inspection Reports ................................................................................................................. 68
11 Export to Excel ................................................................................................................................ 72
Attachment C – Primavera Contract Manager User Guide

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1 New User: Getting Started

1.1 Contract Manager Access
Contact Jenn Cook at jcook@octa.net for a Username and Password. For technical support, email Jenn
Cook, and/or Jay Gabrielson at jgabrielson@octa.net with any question and error message.
1.2 How to Log-On
1. Start by typing http://cm.octa.net/exponline/logon.jsp into your Internet Browser.
2. Type Username and Password.
3. Click Login button. The Contract Management Control Center (pictured below) should appear.

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TIP: Avoid using the browser back button. Within projects, it is best to use the navigation file path in the
upper left screen of application to return to a previous screen or the Control Center.
1.3 Trouble Shooting

If Contract Management Control Center does not appear, try the following to ensure that your machine
and the Java software are both configured properly for use with Contract Manager:
1. Change Settings within the Java Control Panel
a. To enter the Java Control Panel, go to start > settings > Control Panel and choose Java
b. Go to the 'Advanced' tab, and choose 'Java Plug-in'
c. Uncheck 'Enable the next-generation Java-Plug-in (requires browser restart)
d. Go to ‘JNLP/MIME Association’
e. Select the radio button for ‘Always Allow’
f. Go to the ‘Update’ tab

g. Uncheck ‘Check for Updates Automatically’

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h. If prompted with a warning message, select ‘Never Check’
i. Go to the ‘Java’ tab, and under Java Applet Runtime Settings click ‘View’
j. For all versions besides the latest listed, uncheck ‘Enabled’
2. Set Contract Manager as a ‘trusted site’ in Internet Explorer

a. Within Internet Explorer, select the ‘Tools’ menu and choose ‘Internet Options’
b. Choose the ‘Security Tab.’ Select ‘Trusted Sites’ and then the ‘Sites’ button
c. Un-check the box for ‘Require server verification (https:) for all sites in this zone’
d. In the ‘Add this Web site to the zone’ box, enter cm.octa.net
*NOTE: Do NOT include http://or any other part of the URL. This is ONLY the server name*
e. Click ‘Add’ and then click ‘OK’

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f. Click Custom Level and change the Active-X Settings per below.

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g. To finish, click OK under the Security Settings window and then again under the Internet
Options window.
3. If you are still unable to log-in, contact Jenn Cook at jcook@octa.net.
1.4 Contract Manager Workspace

When you open the Contract Manager module, the Workspace appears. This is where all module tasks
begin. The Workspace is divided into two main areas: the Project View on the left and the Control
Center on the right.
1.4.1 Project View
The Project View shows your project hierarchy, which includes the top-level folder called All Projects,
followed by the folder for each project, the folders in each project, and the modules (logs/documents)
inside these folders. When a folder is collapsed, click its icon to display the names of the items in that
folder. To collapse the folder, click the folder icon again. To open a module log or document in an
expanded project folder, click the log’s name.
1.4.2 Control Center
The Control Center contains information about either a selected project, a group of projects or all
projects. When no projects are open, the Control Center shows information relevant to all projects.
When you select a project, the Control Center shows information relevant to only that project. You can
customize the Control Center to display the information you want. For example, you can include items
for reports, charts showing Submittal information, and any actions and alerts. The Actions item contains
items in your court that need to be addressed. The Alerts item contains items that need to be
addressed immediately. You can place up to 12 items in the Control Center and can save this
arrangement as My Workspace.
1.4.3 Company Directory/Contacts
The Company Directory enables you to store names, addresses and phone numbers of everyone
involved in the project. Nearly all module documents use the information included in the Company
Directory. Entering this information at the beginning ensures abbreviations are consistent, avoiding
confusion and mistakes.
1.4.3.1 Add a Company and Contact
1. Expand the Project Information folder.

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e
2. Click the Companies module.
3. Click the Add Document button.
4. Complete the following fields under the Generals tab:
Field Name Description

Abbreviation The abbreviation assigned to the company. This field is editable
only when adding a new company.
Example: CT
Company Name The full name of the company.
Example: Caltrans
**Firms should be listed as entities, not consultants (i.e. OCTA Placentia CM)**
5. Click the Add button under the Contacts tab.

6. Complete the following fields under Contacts: Initials (first, middle, and last initials), Title, First
Name, Last Name, and Job Title
**The Key Contact field is filled once the first contact is entered in the Contacts section and may be
changed when other contacts are added**
7. Complete the following fields under Address: Line 1, City, State, and Postal Code
8. Complete the following fields under Phone Numbers: Office and Mobile
9. Complete the following field under Email Information: Email Address
**You can label a company that you are no longer dealing with as inactive under the Status tab.
Inactivating a company or contact disables it without deleting it. When a company is made inactive, all
of its contacts become inactive and do not appear in dialog boxes that contain lists of companies and
contacts.* *
1.5 Changing Your Password

To change your password, log in and right mouse click on the project name in the project tree under the
Control Center. Select “User Settings” and click the Change button under Password.

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1.6 Important Contacts

For Primavera Contract Manager and SharePoint related questions - Jennifer Cook: jcook@octa.net
For project related questions - Jay Gabrielson: jgabrielson@octa.net
2 Incoming Documents
Perform this procedure when you need to enter an incoming document into Contract Manager.
1. Start by logging into Contract Manager: http://cm.octa.net/exponline/mainframe.jsp
2. Expand the appropriate contract folder by clicking on the plus (+) sign.
3. Expand the Communication folder.
4. Click the Correspondence Received module.

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6. Complete the following fields under the Generals tab:
To Company to whom the correspondence is sent. Choose by clicking
on the select link.
Example: OCTA CM Sand Canyon – Matthew McMenamin
From Company who initiated the correspondence. Choose by clicking on
the select link.
Example: CC Myers – Dan Baker
Date Date the correspondence was received. Choose by clicking on the
calendar link.
Example: April 15, 2011
Subject Description of the Source Document.
Example: CC Myers Letter No. 8
7. Complete the following fields under the Source Document tab.

Type Description of the Source Document. Select from drop-down list.

Example: Change Order
Item Number Description of the Item Number.
Example: Letter No. 8

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Date Date on the correspondence. Choose by clicking on the calendar
link.
Description Description of the Source Document.
Example: Contract Change Order No. 7 – Maintenance Yard -
Executed
8. Complete the following field under the Remarks tab.
Additional Remarks Additional remarks may also be recorded here (optional).
9. Complete the following fields under the Details tab.

Contract Source Document Contract.

Example: Sand Canyon Avenue Grade Separation Project

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10. Complete the following fields under the Custom Fields tab.
FBS Number Description of the File Index.

Example: 05.01.01 (Incoming from Contractor)
FBS Number Description of the additional File Index.
Example: 49.04.07 (CCO No. 7)

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11. Complete document’s file stamp information with Reference Log Number.
12. Under the Attachments tab, attach document.
13. Click the Save button.
14. Return to Control Center.
3 Transmittals
Perform this procedure when you need to create a transmittal in Contract Manager.

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Sample Print of a Transmittal
Step 6
Step 6
Step 6
Step 7
Step 13 Step 12
Step 14 Steps 8-10
Steps 15-17
Step 6
Step 7

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1. Start by logging into Contract Manager: http://cm.octa.net/exponline/logon.jsp

4. Click the Transmittal module.

6. Complete the following fields under the General tab.

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on the select link.
the select link.
Example: OC Transportation Authority – Jay Gabrielson
Number Sequential number determined by Primavera.
Example: 000001
Date Determined by Primavera.
7. Complete the following field under the Custom Field tab.

Subject Description of Source Document.
Example: Tactile Warning Surface Submittal - Review Comments

Example: 05.01.02 (Outgoing to Contractor)
FBS Number Description of additional File Index.
Example: 10.05 (Submittal)

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8. Click the Add button under the Items tab.

9. Complete the following fields under the Items tab.

Item No. Number of Source Document (especially useful when sending
multiple items under one transmittal).
Example: 1
Copies Number of copies of Source Document.
Example: 2
Date Date on Source Document.
Example: May 25, 2011
Status Status of Source Document. If no status, mark ‘Not Applicable.’
Example: Disapproved
Example: Tactile Warning Surface Submittal – CC Myers Submittal
No. 015 Rev No. 0 - Review Comments

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10. Click the Save and Close button.

11. Complete the following field under the We are Sending tab.
Shop Drawing, Letter, Click the appropriate box based on the Source Document being
Prints, Change Order, transmitted.
Plans, Samples, *Click ‘Other’ for Submittals, Transmittals or RFI’s and write in
Specifications, or Other description.
Example: Review Comments

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12. Complete the following field under the Submitted For Tab.
Approval, As Click the appropriate box based on the Source Document being
Requested, Your Use or transmitted.
Review and Comment Example: Your Use
13. Under the Sent Via tab, check the Attached box.
14. As required, complete the following field under the Remarks tab.

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Remarks Additional Remarks may be recorded here.
15. Click the Add button under the Distributions tab.

16. Click on the right- facing arrow besides the appropriate company, and then click the select
link next to the appropriate individual’s name.
17. Continue as above until all individuals who are to receive the document have been selected.
18. Under the Details tab, complete the following field.
Reference Copy and paste the subject line that was entered under the Custom
Fields tab.
Example: Tactile Warning Surface Submittal - Review Comments
19. Click Save button.

20. Click Print Form button.
4 Outgoing Documents
Perform this procedure when you need to enter an outgoing document into Contract Manager.
1. Start by logging into Contract Manger: http://cm.octa.net/exponline/mainframe.jsp

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4. Click the Correspondence Sent module.

on the select link.
the select link.
Example: OCTA – Jay Gabrielson
Date Date the correspondence was sent. Choose by clicking on the
calendar link.
Subject Description of the Source Document.
Example: OCTA Transmittal No. 0001

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7. Complete the following fields under the Source Document tab.
Type Description of the Source Document. Select from drop-down list.

Example: Transmittal
Item Number Description of the Item Number.
Example: TRANS 0001
Date Date on the correspondence. Choose by clicking on the calendar
link.
Example: Tactile Warning Surface Submittal - Review Comments -
OCTA Submittal 003.09

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8. Complete the following field under the Remarks tab.
Additional Remarks Additional remarks may also be recorded here (optional).


Example: 05.02.01 (Outgoing to Contractor)
FBS Number Description of the additional File Index.
Example: 10.05 (Submittal)

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10. Complete document’s file stamp information with Reference Log Number.
11. Under the Attachments tab, attach document.
**Transmittals can also be sent directly to the correspondence sent module from within the
Transmittal module. After you have saved the transmittal, select Send to Corr Sent under the drop
down menu.**

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5 Submittal
5.1 Submittal Packages
Perform this procedure when you need to enter submittal packages into Contract Manager. Submittal
packages allow you to group related submittals together for better organization. Examples of ways to
group submittals are by Design, Construction, Bridges, Electrical, Right of Way, etc.
3. Expand the Logs folder.
4. Click the Submittal Packages module.

6. Complete the following fields:
Package * Package Identifier.

Example: 003
Title Title of the package.
Example: Materials, Substitutions, Samples
Contract Choose by clicking on the select link.
Example: Sand Canyon Avenue Grade Separation

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7. Scroll down to bottom of the screen, and click the Save button.
5.2 Entering an Individual Submittal

Perform this procedure when you need to enter a submittal into Contract Manager.

4. Click the Submittals module.

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6. Complete the following fields under the General tab:

Package Describes the type of Submittal.
Example: Materials, Substitutions, Samples (003)
Submittal Standard Numbering System.
Example: 003.09.01
Title Description of the Submittal.
Example: Tactile Warning Surface
Number Sequential number determined by Primavera.
Example: 00001
Required Start Start date of Submittal review. Choose by clicking on the calendar
link.
Required Finish Date comments need to be returned. Choose by clicking on the
calendar link.
Example: April 20,2011
7. Complete the following fields under the Workflow tab:

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Multiple Reviewers Check box for multiple reviewers. This function cannot be revised
after the entry has been saved.
Received From Company who initiated the correspondence. Choose by clicking on
the select link.
Example: Dan Baker
Sent To Company to whom the correspondence is sent. Choose by clicking
on the select link.
Example: Brian Anderson
8. Complete the following fields under the Review Cycles - General tab:

Description Submittal Title (from above).
Example: Tactile Warning Surface
Received Date Submittal was received. Choose by clicking on the calendar
link.
Sent Date Submittal was sent for review. Choose by clicking on the
calendar link.
Status Submittal status.
Example: Open

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9. Click the Add button under the Review Cycles - Distribution tab.
10. Click on the right-facing arrow besides the appropriate company, and then click the select
11. Continue as above until all individuals who are to receive/review the document have been
selected.
12. Under the Attachments tab, attach the document.
**Submittals also need to be attached in SharePoint under the Submittals library; schedule
submittals will be attached under the Schedules library**

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After Review Period

4. Click the Submittals module.

5. Click the edit document icon for the appropriate submittal.
6. Complete the following fields under the Workflow tab:

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Returned From Company who returned review comments. Choose by clicking on
the select link.
Example: Brian Anderson
Forwarded Company who submitted submittal for review. Choose by clicking
on the select link.
Example: Dan Baker
7. Complete the following fields under the Review Cycles tab:
Returned Date comments were returned. Choose by clicking on the calendar

link.
Forwarded Date letter with comments attached sent. Choose by clicking on the
calendar link.
Status Choose the Status from a drop-down list.

Example: Rejected

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8. Under the Attachments tab, attach all related documents (Review Comments/ Emails/Letters),
and attach in -SharePoint as well.

6.1 Create Outgoing Transmittal
Perform this procedure when you need to distribute the RFI.
See 3 Transmittals for Instructions.
6.2 Outgoing Correspondence

Perform this procedure when you need to enter the Transmittal/RFI as an Outgoing Document.
See 4 Outgoing Documents for Instructions.
6.3 ‘Request for Information’ Section

Perform this procedure when you need to enter a RFI into Contract Manager.

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4. Click the Request for Information module.


Type Describes the document type.
Example: Request for Information
To Company to whom the RFI is sent. Choose by clicking on the select
link.
Example: OCTA CM Sand Canyon
From Company who initiated the RFI. Choose by clicking on the select
link.
Example: CC Myers
Number Sequential number of the RFI. Determined by the contractor.
Example: 001
Date Date the RFI is being entered into Expedition.
Title Subject of RFI.
Example: Conflicts with Existing Utilities

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7. Complete the following fields under the Review Status tab:

Ball in Court The person responsible for the next action.
Priority Choose appropriate urgency from drop-down list. Defaults to
Normal.
Status Choose appropriate status from drop-down list.
Example: Closed
Closed By Company/Contact/Approved Date
Example: Document Control Coordinator

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8. Complete the following fields under the Question tab.

Work Impact Choose appropriate impact from drop-down list.
Example: Yes, Work Impeded
Reason for Request Choose appropriate reason from drop-down list.
Example: Unforeseen Conditions
Question Retype question as it appears on the RFI.
Question Signed By Accept default, the name of the ‘from’ individual, or type another
individual’s name that submitted the RFI.
Date Date of the RFI.
Required Date Date answer required.
Proposed Solution Retype proposed solution as it appears on the RFI.
9. Click the Add button under Question Distribution.

10. Click the Select button.
12. Continue as above until all individuals who are to receive the distribution have been selected.
Click Save button. Click Copy Distribution to Answer button.

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13. Complete the following fields under the Answer tab.

Answer Retype answer as it appears on the RFI.
Answer Signed By Accept default, the name of the ‘to’ individual, or type another
individual’s name that submitted the RFI.
Date Date of answer.
Responded Date Date RFI returned to CM.
Cost Impact Optional: Select appropriate response from drop-down list.
Cost ($) Optional: Type estimated dollar value.
Schedule Impact Optional: Select appropriate response from drop-down list.

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14. Complete the following fields under the Details tab:
Spec Section Optional: Select from drop-down list.
Contract Click on the select link, and choose appropriate contract.
Subcontractor Name Name of Contractor or Subcontractor involved.
Subcontractor Number Optional: Number of Subcontractor involved.
15. Complete the following fields under the Custom Fields tab:
Conform to GC-25
Critical Check box if high priority RFI.
Closed Check box once RFI answered.

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16. Under the Attachments tab, link to document in FBS (SharePoint).

7 Contract Change Orders

7.1 Create a Change Management Item
Perform this procedure when you need to create a Change Management Item in Contract Manager.
3. Expand the Contract Information folder.

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4. Click the Contracts - Committed module.

5. Click the edit document icon for relevant contract (For this example, Sand Canyon Avenue
Grade Separation Project).
6. Under the Contract Summary tab, click the Changes tab.
7. Click the Initiate Change Management button.

Number Change Management Number. This number will automatically be
the next sequential number.
Example: 012
Date Date of Change Management Item
Example: Dec 14, 2011
Title Name of Change Management item. Should be descriptive enough
to understand. You will be able to add a more detailed description
under the Remarks tab.
Example: Additional 2” PVC Water Line
9. Under the Remarks tab, write a detailed description of what the Change Management Item is.
10. Click the Save Button.

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7.2 Create a Potential Issue

Perform this procedure when you need to enter a Potential Issue in Contract Manager.
1. Click the Change Management module.
2. Click the edit document icon for relevant Change Management Item (For this example,
Additional 2” PVC Water Line).
3. Under the Commitments tab, click the Add button.
4. Choose phase Change Directive.

Contract Relevant Contract.
Example: Sand Canyon
To Company to whom the change is sent. Choose by clicking on the
select link.
Example: CC Myers
From Company who initiated the change. Choose by clicking on the select
link.
Number Sequential Number of the Potential Issue. The Potential Issues will
begin with the letters PI and then follow with the sequential
number
Example: PI001
Date Date of Potential Issue. Choose by clicking on the select link.
*Type and Title should carry over from previous steps.

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6. Under the Status tab, select New Item from the drop down menu.
7. If there is a price associated with this potential issue, go to the Line Items tab, and click Add
Lump Sum button.
8. For the Line Item No. use the letters “PI” and follow with the sequential number. Fill in
Description and Lump Amount ($). Click Save and Add Another button if additional line items
included. Click Save and Close button once all line items are entered.
9. If there is a time adjustment associated with this potential issue, go to the Schedule tab, and
under Time Change (days), enter the total days of time adjustment.

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10. Under the Custom Fields tab, write a status of the issue, and check the Potential Issue check
box.


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7.3 Create a Change Directive
Step 10
Step 10
Step 10
Step 10
Step 25
Steps 12-20
.01

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Perform this procedure when you need to enter a Change Directive in Contract Manager.
2. Click the edit document icon next to relevant Change Management Item (For this example,
3. If you are creating a Change Directive from a Potential Issue, continue to step 4. If the Change
Directive is not from a Potential Issue, skip to step 8.
4. Click the Change Directive associated with your Potential Issue, and then click the edit document
icon to make changes to your Potential Issue.
5. Under the Status tab, select Closed from the drop down menu.
6. Under the Custom Fields tab, write the CD/CR/CCO Number associated with this Potential Issue.
7. Click the Save button, and click Return to Change Management.

8. Under the Commitments tab, click the add button.
9. Choose phase Change Directive.

select link.
Example: CC Myers

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link.
Number Change Directive Number. It is important to enter this number
correctly, as you will not be able to edit once the change directive
is saved.
Example: 00007
Date Date of Change Directive. Choose by clicking on the select link.
11. Under the Status tab, select the date the RE sent the Change Directive to the Contractor under
respective acknowledged by section. When the Contractor responds to the Change Directive
(usually with a corresponding Change Request), select the received date under respective
acknowledged by section.
12. If there is a cost associated with this change, click on the Line Items tab. If no cost is associated,
skip to step 21
13. If the cost is referencing a bid item from the contract click Copy from Contract. If it does not
reference a bid item, skip to step 17.
14. Select the bid item number associated with the new cost, and click Finish.

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15. Click the edit document icon next to the bid item you selected, and complete the following
fields
Line Item No. Depending on the phase, the format will be the phase and then the
sequential number. For a Change Directive use CD, Change Request
– CR, Record of Negotiations – RON, Change Order - CCO
Example: CD001
Quantity Quantity of item
Example: 50
Activity ID The number from the original bid item followed by the number of
times the bid item has been revised. This field will be updated in
the CCO phase to become the CCO number
Example: 062.01
16. Click the Save and Close button.
17. If the cost will be a new line item, click Add Unit Price. Under the Type select from the drop
down menu if it is a lump sum or unit price. Force Account Items should be entered as lump
sum.
18. Complete the following fields for lump sum items
Example: CD002
Description Description of cost
Lump Sum Amount ($) Lump Sum Cost
Example: 1500.00

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Activity ID Number of new bid item number. In CCO phase, insert the CCO
number
Example: 293
19. Complete the following fields for unit price items

Example: CD003
Description Description of cost
Quantity Quantity of item
Example: 14
Unit of Measure Unit the item will be measured in
Example: EA
Unit Price ($) Unit the item will be measured in
Example: 165.00
Activity ID Number of new bid item number
Example: 294
20. Click Save and Add Another button if additional line items are included. Click Save and Close
button once all line items are entered.
21. If there is a time adjustment associated with this Change Directive, click the Schedule tab. If no
time adjustment, skip to step 23.
22. Under Time Change (days) enter the amount of days for the time adjustment.
23. Under the Custom Fields tab, write a status of the Change Directive under the Remarks section.
24. Under the Attachments tab, attach the document. Also attach document in SharePoint under
respective Change Management folder.
25. Under the Details tab, write a description of the work to be performed if different from what is
listed.
26. When the Contractor responds to the Change Directive (usually with a Change Request), under
the Details tab, enter the date you received the Change Request under Acknowledged Date.
28. To print the Change Directive Form, select Advanced Print from the drop down menu

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29. Select form (f_cd_octa) if you do not have any line items. Select form (f_cd_octa_cascade) if you
do have line items.
7.4 Create a Change Request
Perform this procedure when you need to enter a Change Request in Contract Manager.
2. Click the edit document icon for relevant Change Management Item (For this example,
3. Click the Commitments tab.
a. If the Change Request corresponds to a Potential Issue, but not a Change Directive,
follow steps 4-7 under 7.3 Create a Change Directive. Then, click the Add button under
the Commitments tab and select Change Request. Continue to step 6.
b. If the Change Request does not correspond to a Potential Issue or Change Directive,
click the Add button under the Commitments tab and select Change Request. Continue
to step 6.
c. If the Change Request corresponds to a Change Directive, continue to step 4.
4. If the Change Request has an associated Change Directive, click the edit document icon
5. Click the Start Quoted Phase button.

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select link.
link.
Example: CC Myers
Number Change Request Number from Contractor. It is important to enter
this number correctly, as you will not be able to edit once the
change request is saved.
Example: 00009
Date Date of Change Request. Choose by clicking on the select link.
7. Under the Status tab, under the contractor’s portion, select the date of the Change Request.
Under the RE’s portion, select the received date of the Change Request.
8. Under the Details tab, enter the date you received the Change Request under Acknowledged
Date.
9. If there is a cost and/or time adjustment associated with the Change Request, follow steps 13-
22 under 7.3 Create a Change Directive.
10. Under the Custom Fields tab, write a status of the Change Request under the Remarks section.

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7.5 Create a Record of Negotiations

Perform this procedure when you need to enter a Record of Negotiations in Contract Manager. If there
is no Record of Negotiations performed. Continue to Section 7.6 – Create a Contract Change Order.
3. Under the Commitments tab, click the edit document icon .
4. Click the Start Negotiated Phase button.

select link.
Example: CC Myers
link.
Number Record of Negotiations Number. It is important to enter this
number correctly, as you will not be able to edit once the change
request is saved.
Example: 00001
Date Date of Record of Negotiations. Choose by clicking on the select
link.
6. Under the Status tab, under the contractor’s portion, select the date of the Negotiations. Under
the RE’s portion, select the date of the Negotiations.
7. Under the Details tab, enter the date of the Negotiations.
8. Under the Line Items tab, click the edit document icon for any line item that has been
negotiated to a different value.

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9. Fill in new (negotiated) amount ($) if applicable.

10. Click Save and Close button.
11. Under the Schedule tab, if the number of days has been negotiated, edit the number under
Time Change (days).
12. Under the Custom Fields tab, enter any status/remarks from the negotiations.

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7.6 Final – Contract Change Order
Step 6
Step 6
Step 6 Step 8
Step 6 Step 10
Step 9
Step 7
Step 7

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Perform this procedure when you need to enter a Contract Change Order in Contract Manager. This is
only when no other negotiations take place or changes are required. To create a CCO that is a collection
of multiple CD’s/CR’s, you will add from the Change Order module not the Change Management
module.
3. Click the Commitments tab.
a. If the Change Order corresponds to a Potential Issue, but not a Change Directive/Change
Request, follow steps 4-7 under 7.3 Create a Change Directive. Then, click the Add
button under the Commitments tab and select Final CCO. Continue to step 6.
b. If the Change Order does not correspond to a Potential Issue or Change Request, click
the Add button under the Commitments tab and select Final CCO. Continue to step 6.
c. If the Change Order corresponds to a Change Request/Record of Negotiations, continue
to step 4.
4. If the Change Order has an associated Change Request/Record of Negotiations, click the edit
document icon
5. Click the Start Final Phase button.

select link.
Example: CC Myers
link.
Number Record of Negotiations Number. It is important to enter this
number correctly, as you will not be able to edit once the change
request is saved.
Example: 00012
Date Date of Change Order. Choose by clicking on the select link.

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7. Under the Line Items and Schedule tabs, if items need to be added/edited, follow steps 13-22
under 7.3 Create a Change Directive. For line items copied from the contract, add the CCO
number in the Activity ID Field.
8. Under the Details tab – Reason for Contract Change Order, select Owner Directed or Contractor
Directed under the drop-down menu.
9. If a further description of work is needed, edit the text under the Description section while
under the Details tab.
10. Under the Custom Fields tab – Other ID, click the select link. Choose whether this Change Order
is Federally Non-Participating, Federally Participating in Part, or Federally Participating.
11. If there is a status of the Change Order, fill out the Remarks section under the Custom Fields
tab.

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12. Under the Review Status tab, enter the date the RE signed the CCO under the correlating
Approved By section.
15. To print the Change Order Form, select Advanced Print from the drop down menu

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16. Select form (f_cco_octa) if you do not have any line items. Select form (f_cco_octa_w_units) if
you do have line items.
** For a supplemental CCO, you will essentially create a new CCO however the number of the CCO will
be based upon the original number. (For example, the supplemental CCO for CCO-001 would have the
number CCO-001.1) One thing that you need to be careful of is that you do not keep supplementing a
CCO beyond the $210,000 threshold for OCTA Board approval**
**All Phases may now be seen in Change Management Log**

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When Final Contract Change Order Fully Executed

19. Click the edit document icon for relevant Change Order (For this example, Additional 2” PVC
Water Line).
21. Under the Details tab – Acknowledged Date, enter in the date the contractor signed the
Change Order.
22. Under the Review Status tab, enter in the date the contractor signed the Change Order under
the correlating Approved By section. Then click the Approve and Save button.
8 Payment Application
Perform this procedure when you need to enter the first Pay Application in Contract Manager.
3. Expand the Contract Information folder.

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4. Click the Payment Requisition module.

5. Click the edit document icon for the one listed.

on the select link.
the select link.
Example: CC Myers

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7. Click on the Schedule of Values tab.
8. Click the edit document icon for Schedule of Value – 00000001 Mobilization.
9. Fill in values for This Period (E) or % Complete, G/C depending on if the value is unit price or
lump sum.
**When entering % Complete, G/C, do not use more than 2 decimal points**
10. Click Save and Edit Next button.

11. Fill in values for This Period (E).

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12. Click Save and Edit Next button. Continue until all line items are complete.
13. Compare log totals with Pay Application totals.
14. Under the Attachments tab, attach documents. Also attach pay app, MOH back up, and
calculation sheets in SharePoint under the Payment Applications library.
8.1 Certification Process

1. Click the edit document icon next to Payment Requisition.
2. If additions/deductions are necessary, click the Approved Changes tab.
3. Click the Get Approved Changes button.
4. Select Get Approved Changes, and click Next:
5. Under Create line items for, click Each line item, then select the additional changes to be added
into the pay requisition.

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6. Click the Finish button.

7. Complete the following fields under the Requisition Summary tab:

Percent Completed Take Completed Work % from Pay Application.
Work Example: 12%
Amount Certified Amount to be paid to Contractor (Pay App Total – Deductions).
Example: $343,000
8. Complete the following fields under the Review Status tab:

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Approved Date - Date Pay Application submitted by Contractor.
Contractor Example: 6/15/11
Approved Date - CM Date Pay Application reviewed and approved by CM.
Example: 6/26/11
9. Click Certify and Save button.

11. Choose ‘Advanced Print’ from the Select an action drop down menu at the top of the page.
12. Print the form Requisition Summary Page (General) (f_rq_09) for signature and distribution.
**When Pay Application No. 2 arrives, go to Payment Requisition Log. Open Requisition No. 1. Choose
‘Generate Requisition’ from Select an action drop down menu. Add new period date; check ‘Get
Approved Changes’ and click Finish button. Requisition No. 2 now includes all previous
information/data and is ready for new values and updates**
** Use 50% max for materials on hand payments**
** 125% over run/under run of items**
9 Meeting Minutes
Perform this procedure when you need to enter Meeting Minutes into Contract Manager.


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4. Click the Meeting Minutes module.


Subject Name of Meeting.
Example: Management Meeting No. 13
Number Serial Number.
Example: MM-13

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7. Complete the following fields under the This Meeting tab:

Date Date of Meeting.
Example: June 5, 2011
Time Time of Meeting.
Example: 10am
Location Location of Meeting.
Example: OCTA Office
Coordinator Meeting Organizer.
Example: Jay Gabrielson
8. Click the Add button under the Attendees tab.

9. Click the Select button under Add Attendees.
11. Continue as above until all individuals who attended the meeting have been selected.

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13. Click the Add button under the Business Item tab. For a list of the categories to be used, see
Section I Contract Administration of the CM Procedures Manual.
14. Complete the following fields under the Business Item tab:

Ball in Court The person responsible for the next action.
Example: Matthew McMenamin
Status Choose appropriate status from drop-down list.
Example: New Item
Priority Choose appropriate urgency from drop-down list.
Example: High
Description Description of matter discussed in meeting.
Example: SWPPP Maintenance…
Due Date action should be completed.
Example: 6/13/11
Started Date action assigned.
Example: 6/5/11
Complete Date action completed/issue resolved.
Example: (left blank since new action item)

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9.1 Generating Minutes

Meetings that are weekly/recurring have Business Items that are open/outstanding and should be
tracked accordingly. When these types of minutes are to be entered, find the last meeting in the
Meeting Minutes Log. Open and choose ‘Generate Document’ from Select an action drop down menu.
All Business Items will then be transferred and no need to retype information. When entering new
Business Items, be sure to close those that have been completed/addressed.
9.2 Printing Agendas & Minutes
Open and choose ‘Advanced Print’ from Select an action drop down menu. Choose OCTA – Meeting
Agenda – LANDSCAPE (f_ff_02_octa_agenda) for a print out of an agenda. Choose OCTA – Meeting
Minutes – LANDSCAPE (f_mm_02_octa) for a print out of minutes.
10 Daily Inspection Reports

Perform this procedure when you need to enter a Daily Inspection Report into Contract Manager.


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4. Click the Daily Reports module.

Contractor Company name to which inspector belongs to. Choose by clicking
on the select link.
Example: OC Transportation Authority – Jay Gabrielson
Date Date of the inspection. Choose by clicking on the calendar link.
Example: Oct 20, 2011
Day Day the inspection was performed.
Example: Thursday
Report Number Corresponding letter for the inspector, followed by the contract
day number.
Example: A0001
Period Frequency of the report
Example: Daily
Contract Source Document Contract.
Example: Sand Canyon Avenue Grade Separation Project
(C01663)

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7. Complete the following under the Status tab.

Ball in Court Name of person who will be approving the DIR (Resident Engineer).
Choose by clicking on the select link.
Example: OCTA CM Sand Canyon – Matthew McMenamin
8. Complete the following under the Work Activity tab.

Work Activity Include a brief description of work activity during that occurred on
that day.
9. Complete the following under the Weather – Period 1 tab.

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Temperature Temperature on date of the inspection. Choose range from a drop
down menu.
Example: 70-80
Precipitation Amount of precipitation on that day. Choose from a drop down
menu.
Example: NONE

Shift Hours: Start The time of the beginning of your shift using 24-hour time.
Example: 0700
Shift Hours: Stop The time of the end of your shift using 24-hour time.
Example: 1500
Railroad Flagger Check box If there was a railroad flagger present.

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11. Under the Attachments tab, click the Attach File button to attach a pdf version of the daily
report.
12. To approve the daily report, the resident engineer will go into the entry and complete the
following fields.

Company Company to which the resident engineer belongs to.
Contact Resident Engineer Name. Choose by clicking on the select link.
Example: Matthew McMenamin
Approved Date Date the Daily Inspection Report was approved by the resident
engineer. Choose by clicking on the calendar link.
Example: Oct 21, 2011
**To generate the next sequential Daily Report, find the last daily report in the Daily Reports Log. Open
and choose ‘Generate Document’ from Select an action drop down menu. All items will then be
transferred and no need to retype duplicate information**
11 Export to Excel
Perform this procedure when you need to create an excel spreadsheet from a report in Primavera
Contract Manager. You will need Adobe Acrobat Pro to perform this procedure.
1. Log into Contract Manager and generate the report you want to make into an excel
spreadsheet.
2. Click Print and Select Adobe PDF as the Printer Name, then save to your local PC.

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3. Open the saved report in Adobe Acrobat Pro, and choose File – Save As.
4. In the Save as Type drop down, select Tables in Excel Spreadsheet (*xml) and then click Save.

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5. Open the file using Excel. There will be a worksheet created for every page of the report.

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Section III
Close Out
Procedures
Construction
Management
Procedures
Construction Section III
Management Project Close Out

Table of Contents
1 Introduction .......................................................................................................................................... 1
2 Punch List .............................................................................................................................................. 1
2.1 Punch List Initiation ....................................................................................................................... 1
2.2 Monitoring and Inspection of Punch List Work ............................................................................ 2
2.3 Completion and Closure of Punch Lists ........................................................................................ 2
3 Final Inspection and Acceptance of Work ............................................................................................ 3
3.1 Requirements Prior to Final Acceptance ...................................................................................... 3
4 Non‐Compliant Work and Non‐Compliance Reports ............................................................................ 4
4.1 Requirements ................................................................................................................................ 4
5 Final Reports and Records .................................................................................................................... 4
5.1 Requirement ................................................................................................................................. 5
5.1.1 As‐Built/Record Drawings ..................................................................................................... 5
5.1.2 Quality Control Test Reports/ Inspection Reports ................................................................ 6
5.1.3 Shop Drawings and Other Submittals ................................................................................... 6
5.1.4 List of Contractor Claims ....................................................................................................... 6
5.1.5 Existing Utility Relocation Coordination Information ........................................................... 7
5.1.6 Spares, Manuals, and Reference Materials .......................................................................... 7
5.1.7 Operations and Maintenance Manuals ................................................................................ 7
5.1.8 Payroll Reports and Other Final Reports .............................................................................. 8
5.1.9 Structures Final Reports ........................................................................................................ 8
5.1.10 Bridge Structures Final Clearance Reports ........................................................................... 8
5.1.11 Warranties ............................................................................................................................ 9
5.2 Contractor Required Record Retention ........................................................................................ 9
5.3 CM Records ................................................................................................................................. 10
6 Local Assistance Procedures Manual Requirements .......................................................................... 10
7 Equipment Commissioning ................................................................................................................. 10
7.1 OCTA‐Furnished, Contractor‐Installed Equipment and Materials .............................................. 11
7.2 OCTA‐Furnished, OCTA‐Installed Equipment .............................................................................. 11
8 As‐Built/Record Drawings ................................................................................................................... 11
8.1 Record Drawing/As‐Built Drawing Process and Procedures ....................................................... 12
9 Monumentation and Final Surveys ..................................................................................................... 13
9.1 Delivery of CM Final Survey Documentation .............................................................................. 13
9.2 Delivery of Contractor’s Staking and Final Survey Documentation ............................................ 13
10 Project Close Out Meetings ............................................................................................................ 13

Section III – Project Close Out
Page i
Construction
Management
Procedures

1 Introduction
Just as important as starting a project in the correct manner, is the proper process for project close out.
Project close out tasks traditionally begin during project initiation. Final close out can take weeks if not
months to complete after all construction activities are complete especially if improper close out
procedures are used during project administration. The CM should identify and set a timeline for project
close out based on review of the Contractor’s schedule and by maintaining a firm understanding of
issues which may extend the closeout period. It is important for the CM to engage the contractor in
closeout discussions as early as possible. The CM should always be considering project closeout through
out the project to assure the closeout process is efficient in its execution.
The CM will evaluate the completion of the Contractor’s work and make recommendations to OCTA with
regard to the Contractor’s compliance with all project close out requirements and final completion of all
of the Contract work. The CM shall secure and transmit to OCTA all required guarantees, affidavits,
releases, bonds, lien waivers, keys, excess stock, spare parts, operation and maintenance manuals,
record drawings, and other project close out documents required by the Contract Documents. Such
information will also require transfer to each respective city in order to properly relinquish the project
to such agency.
It is suggested that shortly after the Pre‐Construction Meeting and the beginning of construction that a
meeting be held to discuss project close out ongoing processes. The intent of this meeting will be to
focus on issues which will require the Contractor’s attention throughout the life of the project to
expedite the closeout process. The following sections describe critical elements, procedures, and
process which each CM must adhere to during the closeout process.
2 Punch List
The development of a list of project deficiencies known as a project punch list is required by each
respective CM. The CM is responsible for developing, tracking, and running the punch list to completion
and closure to assure all work performed for the project is constructed in accordance with the
requirements of the Contract Documents. The CM shall provide a Certificate of Final Acceptance for
acceptance of all project work.
2.1 Punch List Initiation
When the Contractor considers that all of the work, or any discrete portion of the work covered under
the Contract has reached final completion, the Contractor is required to inform the CM in writing. If
necessary and required, acceptance tests on the work or a discrete portion thereof will be performed as
set forth in the Contract Documents. It is at this time that the Contractor will also submit the Record Set
of Project Documents, including all QC Documents with formal acceptance of the work by the CQCM, for
review by the CM.
The CM will then prepare a punch list covering any part of the project work that fails to pass the
acceptance tests or is otherwise unacceptable. The punchlist will consist of items discovered by
inspections, audits of records, outstanding issues and NCRs. Any unacceptable work shall be rejected by
the CM with an NCR issued for each item of rejected work. Any outstanding Non‐compliance Reports
(NCRs) during the closeout or punch list development period will be incorporated as punch list items.
Section III ‐ Project Close Out
Page 1 of 14

The Certificate of Final Acceptance shall not be granted until all punch list items are complete and NCR’s
properly mitigated.
The CM shall also work in cooperation with the Contractor and any applicable third parties (Railroads,
Cities, Utilities, etc.) to develop and finalize the punch list items by mutual inspections. The punch list
will follow a standard format as provided by the CM and approved by OCTA.
When developing a punch list, each item shall include a descriptor. The descriptor should be as concise
as possible in identifying the deficiency without being too lengthy. The description should provide both a
location and a description of the deficiency and/or issue being noted. The description should allow for
the Contractor and/or follow‐up inspector to accurately determine the location of the deficiency or
incomplete item of work without further assistance.
The punch list is a closeout task that the CM should initiate early in the project to keep track of issues
that need resolving but may not necessarily be an NCR issue. Doing this will assure the process is well
understood and normal practice for all parties involved resulting in a more comprehensive and usable
punch list.
2.2 Monitoring and Inspection of Punch List Work
The CM may distribute copies of the punch lists, but shall always maintain the original copy with the
signatures of all parties (CM/Contractor /third parties) for sign‐off of the punch list items. The CM shall
also be responsible for tracking the punch list through completion (until all items are verified as
completed and acceptable by an inspector with a sign‐off signature from the RE). The Contractor is
responsible for assuring that all work is completed to the satisfaction of the CM and that all work
complies with the Contract Documents. It is the CM responsibility to validate or verify that punch list
work is completed as described by the contract.
The CM shall monitor the Contractor during the correction and completion of the punch list work and
coordinate re‐inspections until all items are corrected and/or approved. As previously noted, the punch
list shall be maintained and updated by the CM as deficiencies are corrected.
The CM shall refer to the Contract for items of work not completed by the Contractor, as the CM or
OCTA may be permitted to proceed to have the items corrected or completed using OCTA or third‐party
forces, and the costs of such corrections will be deducted from the Contractor’s compensation and/or
by a deductive Contract change order if the Contractor fails to correct a punch list work items.
2.3 Completion and Closure of Punch Lists
A punch list item is not considered completed and signed‐off until the work is completed by the
Contractor, or resolved by other means, and all parties (Contractor, CM, and third parties if applicable)
have acknowledged or signed‐off on that item as being acceptable. Any acknowledgement shall be in
writing or e‐mail. The CM shall be the last party to accept the corrected work items. Third parties
(Railroads, Cities, Utilities, property owners, etc.) will only be required to sign‐off on items that will be
owned/operated or maintained by the third party after project completion.
Final acceptance of all of the work or identified portions of work deemed complete will occur only after
successful completion of all testing, corrections of deficiencies, sign‐off of punch list items, prior
acceptance by the CQCM and a final determination from the CM that the work conforms in all aspects of
the Contract Document requirements. The CM shall inform the Contractor of such acceptance of the
work by issuing a Certificate of Final Acceptance (approved by OCTA) stating that the work has been
Page 2 of 14

completed in accordance with the Contract Document requirements and is accepted under the terms
and conditions thereof.
3 Final Inspection and Acceptance of Work
When the Contractor considers that all of the work, or any discrete portion of the work covered under
the Contract has reached final completion, the Contractor is required to inform the CM and OCTA in
writing and request a final inspection.
Before performing final inspection of the work by the CM, the Contractor shall clean the site and all
ground occupied in connection with the work of all rubbish, excess materials, falsework, forms,
temporary structures, and equipment. All parts of the work site shall be left in a neat and presentable
condition and ready for the final inspection.
The Contract Documents require that the Contractor shall, at its own expense, make available tools, pits,
hoists, scaffolds, platforms, other equipment, facilities, drawings, and assistance as may be necessary
for inspections or tests by the CM. Any equipment needs shall be pre‐planned by the CM with the
Contractor.
As‐built drawings showing all approved changes made during construction, which differ from the
approved drawing set for construction, shall be furnished by the Contractor prior to the acceptance of
the work. Final as‐built construction drawings submitted to the CM shall be in the form of red‐lined
drawings clearly and neatly indicating all changes made with the approval of OCTA and other field
changes made that reflect the as‐built condition of the Contract work (refer to the Record Drawings/As‐
Built Drawing Process and Procedures section of these procedures).
When all punch list work is completed, all prerequisites to the final acceptance of the work are
completed, and all parties have signed‐off that the work is acceptable, the CM shall inform the
Contractor of such acceptance of the work by preparing a Certificate of Final Acceptance. The CM shall
prepare and submit to OCTA a draft Certificate of Final Acceptance for review and concurrence by OCTA.
The Certificate of Final Acceptance is required to state that the work has been completed in accordance
with the Contract requirements and is accepted under the terms and conditions of the contract. Final
Acceptance of the work will be made by OCTA and upon issuance of the certificate to the Contractor.
The certificate shall be in letter format as submitted to and approved by OCTA.
After OCTA has accepted the work, the Contractor will be relieved of the duty of maintaining and
protecting the accepted work and will not be required to perform any further work thereon (excepting
terms and conditions so stated in the Certificate of Final Acceptance and any required warranty work);
and the Contractor shall be relieved of its responsibility for injury to persons, property, or damage to the
work that occurs after formal acceptance by OCTA. Such final acceptance of the work shall not relieve
the Contractor from responsibility for errors, improper fabrication, non‐conformance/non‐compliance in
regard to a Contract requirement, latent defects, or for deficiencies within the Contractor's control.
Unless otherwise stipulated, all warranties begin with the date of such final acceptance. Coincident with
final acceptance, the CM and OCTA will record a notice of completion with the County Recorder in
accordance with the Contract Documents.
3.1 Requirements Prior to Final Acceptance
Below is a summary of the Contractor’s requirements prior to the CM recommending to OCTA the
granting of final acceptance of the work:
Page 3 of 14

 Contractor informs OCTA that all work is complete with a letter from the CQCM attesting that all
work completed by the Contractor is in compliance with the Contract Documents. All Record
Documents are submitted by the Contractor including all QC records for CM review.
 All work completed and the CM determines the work complies with Contract requirements;
 All non‐compliant work and/or NCRs are completed;
 All punch list work items are completed;
 Punch list items have been thoroughly reviewed and accepted by the City or other jurisdiction in
which the work was performed;
 A red‐lined, as‐built set of drawings are submitted by the Contractor to the CM for approval; and
 The CM confirms closure of any other Contract Document requirements.
 A meeting has been conducted between necessary OCTA staff reviewing the recommendation of
acceptance and all deficiencies identified within this meeting have been corrected
The CM shall not recommend that OCTA grant final acceptance of the work until the list of requirements
above are satisfied by the Contractor, as well as any other requirements of the Contract Documents for
final acceptance.
4 NonCompliant Work and NonCompliance Reports
All non‐compliant work shall be remedied and NCRs issued shall be closed and verified by the CM prior
to final acceptance and project close out. As noted in other sections of these procedures, this is a
condition of final acceptance of the work.
4.1 Requirements
All NCRs shall be closed with an approved resolution and verification that the approved resolution was
implemented and completed by the Contractor as witnessed, inspected, and verified by the CM. As
noted in previous sections concerning punch list work, any NCRs remaining open at the time of punch
listing shall be added to the punch list to ensure closure of the NCR prior to project acceptance by the
CM.
The Contractor shall deliver its completed and closed NCR reports to the CM within 30 days after
completion of all construction work and prior to the Contractor’s Final Application for Payment.
A copy of all closed NCRs, generated by both the Contractor’s and CM, including associated backup
information will be collected from the Contractor and compiled by the CM for transfer to OCTA for
record.
5 Final Reports and Records
The CM shall maintain the following at the on‐site project office, on a current basis:
 A record copy of all Contracts, drawings, plans, specifications, addenda, change orders and other
modifications, in good order and marked to record all changes made during construction; and
 Shop drawings; product data; samples; submittals; purchases; materials documentation;
equipment; applicable handbooks; maintenance and operating manuals and instructions; and
other related documents and revisions that arise out of the Contracts or work.
Page 4 of 14

The CM shall make all records available to OCTA and the Design Engineer as requested. The CM shall
also be responsible for collecting all of the Contractor’s records and documentation, as noted above, for
transfer to OCTA and the appropriate local jurisdiction at the close of the project. At the completion of
the project, as part of the project close out process, the CM shall deliver all records to OCTA organized
and boxed in a manner acceptable to OCTA. Final reports and records shall also be delivered in
electronic format.
5.1 Requirement
The following is a listing of items, and a brief narrative to follow, that are required by the terms of the
Contract Documents to be delivered by the Contractor to the CM at the close of the project prior to final
payment being made to the Contractor. Many of these records would have been delivered or submitted
during the course of the project, but some may be required by the Contract to be delivered in a special
manner, format, or configuration, and will require the Contractor to deliver the records as specified.
Additionally, items required to be delivered to OCTA by the CM are also listed below in the CM Records
section.
Required final documents, reports, samples, and records that will be received from the Contractor at
project close out are included but are not limited to the following:
 As‐Built/Record Drawings;
 Quality Control Test Reports/Inspection Reports;
 Shop Drawings and Other Submittals;
 Existing Utility Relocation Coordination Information;
 Spares, Manuals, and Reference Materials;
 Operation and Maintenance Manuals;
 Payroll Reports and Other Final Reports;
 Structure Final Reports;
 Final Bridge Clearance Reports;
 Photographic and Video Documentation;
 Warranties; and
 List of Contractor Claims.

5.1.1 AsBuilt/Record Drawings
During the project, the CM shall assure that the Contractor maintains a master set of drawings which are
updated on a continuous basis noting any variation of the work from the Contract Documents. These
master set drawings will be used to produce the as‐built or record set of drawings required for
submission to OCTA at the close of the project.
Upon completion of the work, the Contractor is required to produce a master as‐built set or record set
of plans by neatly transferring all such noted variations to blueprint copies of the same drawings in a
manner acceptable to the Engineer, and shall deliver the same to the CM within 30 days after
Page 5 of 14

completion of all construction work and prior to the Contractor’s Final Application for Payment. The
Contractor’s failure to fulfill this submission requirement will be grounds for withholding the final
payment. Refer to the As‐Built/Record Drawings Process and Procedures section of these procedures for
a detailed procedure and flow chart of the as‐built/record drawing process.
5.1.2 Quality Control Test Reports/ Inspection Reports
Upon completion of the construction contract work, the CM shall request that the Contractor produce a
master “record” set of all QC test reports and test certificates, organized by type of test and in
chronological order, in a manner acceptable to the CM or as designated by the contract. The Contractor
shall deliver the reports to the CM within 30 days after completion of all construction work and prior to
the Contractor’s final application for payment. Failure to fulfill this submission requirement will be
grounds for withholding of the Contractor’s final payment.
The CM shall assure that the Contractor submits two complete sets of QC test reports and test
certificates, which shall be assembled and organized either in folders with clasps, three‐ring binders, or
in another manner acceptable to the CM, and placed in sturdy document storage boxes labeled with the
contents, indicating the following:
1. Contractor’s name;
2. Project name;
3. Contract number; and
4. Name of tests and certificates contained in the box.
5.1.3 Shop Drawings and Other Submittals
Upon completion of all of the work, the CM shall box and organize all hard copies of reviewed shop
drawings and submittals and submit them to OCTA for record. Any formal review comments provided to
the Contractor, correspondence with OCTA and third parties about the submittal, notes, markings, and
calculations or research information used or produced during the submittal/shop drawing review shall
be included with the associated submittal or shop drawing. The CM shall deliver the reviewed shop
drawings and submittals to OCTA within 30 days after completion of all construction work.
5.1.4 List of Contractor Claims
Upon completion of the construction contract work, and prior to submission of the final application for
payment by the Contractor, the CM shall verify that the Contractor submits a listing of any unresolved
claims for additional compensation or time extension. The listing shall include:
1. The claim tracking number;
2. A description of the claim;
3. The date the claim was initially submitted; and
4. The dollar amount of the claim.
Each claim shall be listed individually.
This submission requirement is in addition to all claim submission requirements contained elsewhere in
Page 6 of 14

The CM shall also assure that prior to making final payment to the Contractor, the Contractor shall also
submit to OCTA a Final Release of All Liens and Claims as a condition precedent to receiving final
payment under the Contract.
5.1.5 Existing Utility Relocation Coordination Information
The Contractor shall notify the CM and the public agency maintaining records for the jurisdiction in
which the project is located and the owner, if known, whenever previously unidentified or unknown
underground utilities are encountered so that the location can be accurately established and made a
part of the permanent substructure records. This information shall also be verified by the CM as being
included in the as‐built drawings.
The CM shall verify that the actions described above have been performed and completed by the
Contractor prior to final acceptance and application for final payment.
5.1.6 Spares, Manuals, and Reference Materials
The Contractor is also required to submit all spares, manuals, and reference materials as specified in the
Technical Specifications within 30 days after completion of all construction work and prior to the
Contractor’s Final Application for Payment.
The CM shall take delivery of these materials, review them for completeness, and then deliver the
materials to OCTA for record and use.
When such reference materials specified are for equipment and materials to be maintained by others,
such as the City or a third party, the originals shall be delivered to the City or third party by the CM
through transmittal with copies of the materials delivered to OCTA for record.
5.1.7 Operations and Maintenance Manuals
When maintenance manuals and operating instructions are required in the individual Technical
Specification subsections, or by other Contract Documents, the CM will verify that the Contractor shall
prepare and assemble them in manageable‐sized, heavy‐duty, three‐ring, vinyl‐covered binders with
pockets sized for 8.5 by 11‐inch sheets, and including at least the following:
1. Identification on, or readable through, the front plastic cover and spine with the project name,
owner’s project identification number, and the general subject matter contained in the manual.
2. Neatly typewritten index near the front of the manual furnishing immediate information as to
locations in the manual of all emergency data regarding the equipment included in the manual.
3. Complete instructions regarding operation and maintenance of the equipment included in the
manual.
4. Complete nomenclature of replaceable parts, their part numbers, current cost, and name,
address, and telephone number of the nearest source of parts.
5. Copy of each guarantee/warranty and service contract issued for equipment in the manual.
6. Additional data as required for the instruction of the owner's operating and maintenance
personnel.
7. Where contents of manuals include manufacturers' catalog pages, clearly indicate the items
included in the project installation and delete, or otherwise clearly indicate, data that is not
applicable to the project installation.
Page 7 of 14

8. With each copy of the manual, furnish to the owner one set of final accepted shop drawings
showing changes made during construction. When shop drawings or other drawing sheets larger
than 8.5 by 11 inches is part of the data, neatly fold the drawing sheets individually and three‐
hole punch or insert the sheets in a three‐hole punched envelope and insert into the notebook.
Hole‐punching of the drawings shall not cut through printed lines or text.
9. The Contractor shall provide assembled documents in electronic format using Adobe Acrobat
PDF on a compact disc with an appropriate label.
The Contractor is required to submit two copies of each Operation and Maintenance Manual to the CM
for review and acceptance by OCTA a minimum of 60 days prior to the scheduled completion of the
work. If any submitted Operation and Maintenance Manual is found to be unacceptable by the CM, one
copy of any unacceptable Operation and Maintenance Manual will be returned to the Contractor with
comments and one will be retained by the CM. Unacceptable Operation and Maintenance Manuals
returned to the Contractor shall be resubmitted promptly by the Contractor. Acceptance by the CM and
OCTA is a condition precedent to final payment for the work.
5.1.8 Payroll Reports and Other Final Reports
Final labor and payroll reports, certificates, and other final reports are required by the Contract
Documents to be submitted by the Contractor for the Contractor’s and all of its subcontractors prior to
the Contractor’s Final Application for Payment. Failure to fulfill those submission requirements will be
grounds for withholding of the final payment.
The CM shall organize the records and place them in binders, or another file organization method
acceptable to OCTA, prior to submission to OCTA for record.
5.1.9 Structures Final Reports
The Structures Final Report is a document used to record pertinent information about a structure so
that the future owner of the structure (e.g., city, Caltrans, railroad), who will be responsible for the
maintenance of the structure, will have the information it needs to properly maintain the structure.
The CM will assure that the Contractor maintains and completes the Structures Final Reports for each
structure (bridge, retaining wall, MSE wall, pump station) as the construction of the structure proceeds.
Upon completion of the project, the CM will submit the Structures Final Reports to OCTA for review and
approval recommendation. Upon CM approval of the Structures Final Reports, this information shall be
transmitted to the appropriate city or jurisdiction that will ultimately own and maintain the facility.
Copies will be provided to OCTA as part of the project records submission.
The Structures Final report shall be prepared in a format acceptable to the facility owner.
5.1.10 Bridge Structures Final Clearance Reports
Bridge structures will have final clearances recorded on a form in a format developed by the CM, or as
required by the owner of the structure, for the contractor. The form will be prepared and completed
with all required data recorded by the Contractor. The CM shall verify that the clearances and other data
recorded by the Contractor are accurate.
Upon completion of the project, the CM will submit the completed final clearance form to OCTA for
review and approval. Upon approval of the completed final clearance forms, OCTA will distribute the
completed final clearance forms to the owner of the structure for their use.
Page 8 of 14

Copies will be provided to OCTA as part of the project records submission.
5.1.11 Warranties
The Contractor is required to assemble copies of all required special or manufacturer warranties for
submission to the CM a minimum of 60 days prior to the scheduled final completion of the work. The
CM is required to review the warranty forms and language to verify compliance with the Contract
Documents prior to acceptance. The proposed warranty documents shall be submitted in accordance
with the Contract Documents Contract Data Submission Requirements for review and acceptance by the
CM and OCTA.
Once the warranty forms and language have been accepted by the CM and OCTA, the Contract requires
that the Contractor shall assemble and submit two copies of the accepted formal warranty documents
in a tabbed, durable binder sized for 8.5 by 11 inch sheets with a table of contents keyed to the tabs.
The binder cover is required to indicate the project name and number and include the title
"Warranties." In addition, the Contractor is required to provide assembled warranty documents in
electronic format of Adobe Acrobat PDF on a compact disc with the appropriate label. Failure to fulfill
this submission requirement will be grounds for withholding the Contractor’s final payment.
1. For equipment or component parts of accepted equipment put into service for the owner's
benefit during the progress of the work, the Contractor is required to submit the warranties
within 10 calendar days after acceptance of that work.
2. Otherwise, the Contractor is required to submit warranties within 10 calendar days after the
date of final completion and prior to the Contractor’s Final Application for Payment.
5.2 Contractor Required Record Retention
The CM shall verify and record the Contractor’s method and location of storage for its project records
after the project is completed, as required by the Contract Documents. This information shall be
transferred from the CM to OCTA in letter form. The Contractor’s future contact information shall be
collected by the CM for use in retrieving records at a later date, if required.
In accordance with the Contract Documents, comprehensive records and documentation relating to the
project shall be kept by the Contractor during the course of the project and for the time as specified
below after the project has been completed and final payment has been made. The records shall
include, but are not limited to, Contract Documents, drawings, specifications, addenda, shop drawings
and submittals, change orders, modifications, test records, red‐lined construction plans, as‐built
drawings, progress payment applications and supporting documents, and cost and pricing data. The
Contractor shall maintain a complete set of records relating to the Contract for a period of seven years
from the date of final payment for the work. The CM shall convey this requirement to the Contractor via
a letter shortly after the start of work for the project.
The project cost records shall be complete and in sufficient detail to allow evaluation of the accuracy
and completeness, and currency of the costs or prices. The Contractor shall permit the authorized
representatives of OCTA, and the U.S. Department of Transportation to examine and audit all such
records and any subcontracts under this Contract during the time period so specified. In addition, every
contract involving the expenditure of public funds in excess of ten thousand dollars ($10,000) entered
into by a public entity in the State of California shall be subject to the examination and audit of the State
Auditor, at the request of the public entity or as part of any audit of the public entity, for a period of
four (4) years after final payment under the Contract.
Page 9 of 14

5.3 CM Records
In addition to those records received from the Contractor, the CM will be required to transfer all project
records generated by the CM to OCTA filing structure at the conclusion of the project before the final
CM payment is made.
Additionally, project paper documentation and records generated by the CM will be delivered to OCTA
in the manner and format as specified in the Document Controls section of this manual.
Required final documents, reports, samples, and records to be transferred by the CM to OCTA at project
close out are included, but are not limited to, the following:
 Quality Assurance Test Reports/Inspection Reports
 Contract Change Order and Response Backup Data
 Claims Data and Response Backup Documentation
 Contractor Claim Tracking and Analysis Documentation
 CM Payroll Reports and Other Final Reports
 Audits Performed
 Progress Payment Quantity Calculations and Back‐up
 Quality Assurance Surveys
 Construction Control Surveys and Final Survey/Monumentation Information
 Photographic and Video Documentation and Archiving
 Meeting Minutes
 All correspondence and transmittals exchanged by all methods to/from the CM and OCTA and
other parties
 Project reports of all types related to the CM’s work
6 Local Assistance Procedures Manual Requirements
The CM shall assist OCTA in completing all applicable requirements of the Local Assistance Procedures
Manual (LAPM) as appropriate for the project’s designation as defined within the LAPM. All required
forms, certificates, or other required documents shall be completed by the CM and submitted to OCTA
for review and with forwarding instructions, as applicable.
The CM shall assure that the Contractor has completed all required documentation as required by the
LAPM and that it has submitted the documentation to the CM for review and processing.
7 Equipment Commissioning
The CM shall, in cooperation with OCTA and participation by the applicable city’s (or other third
party’s)maintenance personnel, observe and advise OCTA of the Contractor’s checkout/inspection of
utilities, operational systems and equipment for readiness and assist in their proof testing, and
commissioning and turn‐over to the City having jurisdiction over the facility. The CM shall oversee and
Page 10 of 14

manage the commissioning process to ensure a complete operating facility upon Substantial
Completion.
The CM shall prepare testing and commissioning acknowledgement forms for the purpose of obtaining
concurrence by an authorized representative of the City (or third party) that the proof testing and
commissioning tasks were performed to the satisfaction of the City (or third party). The CM shall
complete a form for the performance testing of each system or equipment item (as applicable) and
secure the signature of the authorized representative of the City (or third party) for the project record.
7.1 OCTAFurnished, ContractorInstalled Equipment and Materials
In the case of OCTA‐furnished, Contractor‐installed equipment and materials, the CM shall manage and
oversee the submittal process and coordination, receiving, storage, protection, security, inventory,
turnover, commissioning, and close out of OCTA‐furnished, Contractor‐installed equipment and
materials until the items are incorporated into the work.
The CM shall prepare a “turn‐over” document clearly identifying OCTA‐furnished material or equipment
and present the same to the Contractor at the time of delivery or exchange. The CM shall secure the
signature of the authorized representative of the Contractor acknowledging that the material or
equipment was delivered in good order and indicating the date of the transfer.
The CM shall ensure (as required by the Contract Documents) that the Contractor’s project schedule
includes activities representing the Contractor’s required date for rough‐in information, required
delivery date of the material or equipment, and an installation activity for each item or component of
OCTA‐furnished, Contractor‐installed equipment or material.
7.2 OCTAFurnished, OCTAInstalled Equipment
In the case of OCTA‐furnished, OCTA‐installed equipment, the CM shall manage and oversee the
submittal process and coordination, coordination of rough‐ins, receiving, storage, protection, security,
inventory, installation, commissioning, and close out of OCTA‐furnished, OCTA‐installed equipment, and
ensure the cooperation and coordination between the Contractor working on the project site and
OCTA’s vendors.
The CM shall ensure (as required by the Contract Documents) that the Contractor’s project schedule
includes activities representing the Contractor’s required date for rough‐in information, required
delivery date of the material or equipment, and an installation activity for each item or component of
OCTA‐furnished, OCTA‐installed equipment.
8 AsBuilt/Record Drawings
The Contract Documents require that drawings, showing all approved changes made during construction
that differ from the approved drawing set for construction, shall be furnished by the Contractor to the
CM prior to the acceptance of the work. Final construction as‐built drawings submitted by the
Contractor should be in the form of red‐lined drawings clearly and neatly indicating all changes made
with the approval of the CM/OCTA and other field changes made that reflect the as‐built condition of
the Contract work.
The Record Drawings section of the Special Conditions of the Contract Documents states that during the
project, the Contractor shall keep a master set of drawings updated on a continuous basis noting any
Page 11 of 14

variation of the work. These are a precursor to the final as‐built/record set of drawings to be produced
and submitted by the Contractor.
During the construction phase of the project, the CM shall establish a schedule and process for
monitoring/checking on the progress of the Contractor’s master set and as‐built/record drawing set
being maintained by the Contractor. This will help to assure that the drawings are timely and up to date
and that all changes and deviations will be captured in the as‐built/record drawings.
Upon completion of the project work, the Contractor shall produce a master “record” set, or as‐built set
of drawings by neatly transferring, or “red‐lining”, all such noted variations to blue‐line or black‐line
copies of the same drawings (latest version) in a manner acceptable to the CM, and shall deliver these
drawings to the CM within 30 days after completion of all construction work and prior to the
Contractor’s Final Application for Payment. Failure to fulfill this submission requirement will be grounds
for withholding the final payment.
The CM will be required to schedule a meeting with the applicable city approximately 90 days before the
completion of the work to determine and agree upon the required format in which the City would prefer
to receive the as‐built drawings. If the City requires any form of the as‐built drawings (CADD, blue‐line,
black‐line, Auto‐CADD, MicroStation) other than the red‐lined, as‐built drawings as provided by the
Contractor, the CM shall inform OCTA of the requested requirements by submitting a detailed letter
outlining the request and obtain approval from OCTA before proceeding with the additional work. Once
approved by OCTA, the CM shall work diligently with OCTA and the designer to produce and deliver the
requested as‐built drawings to the City within 30 days of OCTA’s acceptance of the Contractor’s red‐
lined, as‐built drawings.
8.1 Record Drawing/AsBuilt Drawing Process and Procedures
The as‐built/record drawing detailed procedure will be as follows:
 Contractor maintains the “master set” throughout the construction phase.
 CM will audit and inspect the “master set” throughout the construction phase.
 At the completion of Contractor transfers
Contractor maintain
all work, the master set
all notes & revisions
Submit to CM
to As‐Built set
Contractor transfers during Construction
and signs off
the “master” set
markings through
“red‐lining” to a clean, REJECTED CM verifies
printed set of the as‐ As‐Built
built/record drawings.
ACCEPTED
 Contractor will submit
the red‐lined set of as‐ CADD or other
Designer Incorporates
built/record drawings CM Verify then Produces Final
YES format
required by
As‐Built Drawings
to the CM for approval Stakeholder?
due to the CM within NO
30 days after
completion of all Submit to
City and Authority
construction work and
prior to the
Page 12 of 14

Contractor’s Final Application for Payment.
 Contractor will make corrections to as‐built/record drawings if required by the CM (at this point,
the Contractor has met its Contract obligation).
 If required, the CM will produce and deliver to the applicable city or cities, the as‐built drawings
in the format as requested by the City, as noted above.
9 Monumentation and Final Surveys
The CM is responsible for all control surveys. This includes all horizontal and vertical controls, including
project control surveys and aerial mapping control surveys. This also includes the restoring, renewing,
referencing, relocating, and resetting of existing control monumentation. The CM shall re‐establish and
restore all monumentation as required in accordance with the Contract Documents.
Monuments established by the CM shall be marked by the CM with furnished disks, plugs, or tags
acceptable to OCTA and the municipality having jurisdiction over the improvements. In addition, the CM
shall identify CM‐established monuments by tagging or stamping the monuments with the license or
registration number of the CM's surveyor who is in "responsible charge" of the work.
9.1 Delivery of CM Final Survey Documentation
All original survey documents resulting from surveys performed by the CM under the Contract (including
original field notes, adjustment calculations, QA surveys, final results, and appropriate intermediate
documents) shall be delivered by the CM to OCTA upon completion of the project, and within 45 days after
completion of the work, and shall become the property of OCTA. A copy of all survey documents furnished
to OCTA shall be retained by the CM for future reference.
9.2 Delivery of Contractor’s Staking and Final Survey Documentation
During the construction of the project, the Contractor is required to provide systematic and organized
copies of all field notes and cut sheets to the CM on a weekly basis (documents must be delivered at
least 24 hours before the CM verification survey is scheduled). The name of the survey firm, job
description, party chief, crew members, and date of survey shall appear on all field notes and cut sheets.
The CM shall verify that all survey documentation received from the Contractor contains the required
information before filing the information.
The CM shall transfer this documentation to OCTA at the close of the project neatly organized in labeled
binders, or another method acceptable to OCTA.
10 Project Close Out Meetings
The Project Close Out Meeting, or series of meetings, provides the opportunity to define close out
procedures and an opportunity for the CM to inform the Contractor of the requirements for a successful
end to the project. These meetings should be held early enough to discuss project close out on going
processes, which issues will require the attention of the Contractor throughout the life of the project to
expedite the close out process, the completion of the pending punch list and to review the completion
and procedures for final acceptance of the project.
A project close out meeting can also be a last chance to adjust outstanding changes, review past
monthly progress payments made and any withholdings, and to discuss the process for the final
payment.
Page 13 of 14

The CM shall schedule meetings with the Contractor as required to assure the project close out
procedures and tasks are completed as smoothly as possible, with all aspects of the Contract Document
requirements being fulfilled before final acceptance and final payment is made. Multiple meetings may
be required, concerning various project close out topics, leading up to a formal project close out
meeting where all close out issues are finalized with the Contractor and agreed upon by OCTA, the CM,
and the Contractor.
Page 14 of 14
Section IV
Quality Assurance and
Controls Procedures
Construction
Management
Procedures
Construction Section IV
Management Quality Assurance and Controls

Table of Contents
1 Contractor Quality Control Program ..................................................................................................... 1
1.1 General .......................................................................................................................................... 1
1.2 Contractor Quality Control Program Submittal ............................................................................ 1
1.3 CQCP Review and Approval Procedures ....................................................................................... 3
1.4 Modifications or Changes to the CQCP ......................................................................................... 4
1.5 Roles of the Contractor and the Construction Management Team ............................................. 4
1.6 Roles/Duties of the Independent Testing Laboratory .................................................................. 4
1.7 Contractor’s Quality Control Manager ......................................................................................... 5
2 Notification of Inspection, Testing, and Sampling ................................................................................ 5
2.1 Reduced Notification of Time ....................................................................................................... 6
3 Quality Assurance Inspection Requirements ........................................................................................ 6
3.1 QA Inspector Qualifications and Requirements ............................................................................ 7
3.1.1 Daily Inspection Reporting .................................................................................................... 7
3.1.2 Inspection Tools and Equipment........................................................................................... 8
3.1.3 Off‐Site Inspections ............................................................................................................... 8
3.2 Batch Plant Inspections ................................................................................................................. 8
3.3 Shop or Source Inspections ........................................................................................................... 9
3.4 Inspection Check Points ................................................................................................................ 9
4 Specialty Inspection and Testing ........................................................................................................... 9
4.1 Summary ....................................................................................................................................... 9
4.2 Railroad Work ............................................................................................................................. 10
4.2.1 Visual Inspection of Work in Progress ................................................................................ 10
4.2.2 Rail Testing .......................................................................................................................... 10
4.3 Welding Inspection ..................................................................................................................... 11
4.3.1 Testing – X‐ray, Ultrasonic, and Other Non‐Destructive Testing ........................................ 11
4.4 Gamma Gamma and Cross Hole Sonic Logging .......................................................................... 11
4.5 Post‐Tensioned Concrete ............................................................................................................ 11
4.5.1 Pre‐Stressed Concrete ......................................................................................................... 12
4.6 Epoxy or Bonded Anchors/Bars .................................................................................................. 12
5 Certification of CM QA Samplers and Testers ..................................................................................... 12
5.1 Requirements .............................................................................................................................. 12
6 Certification of Independent Testing Laboratories ............................................................................. 13
6.1 Requirements .............................................................................................................................. 13
7 Quality Assurance Sampling and Testing ............................................................................................ 14
7.1 Material Sampling and Testing ................................................................................................... 14
7.2 Material Approval Testing ........................................................................................................... 15
7.3 Contractor Submitted Samples ................................................................................................... 16
7.4 Non‐Compliant Test Results/Non‐Compliant Materials ............................................................. 16
7.5 Frequency of Sampling and Testing ............................................................................................ 17
7.6 Use of Materials Found on Site ................................................................................................... 17
7.7 Tracking Re‐Test .......................................................................................................................... 18
7.8 Test Reporting ............................................................................................................................. 18
8 Laboratory/Testing Equipment Calibration Requirements ................................................................. 19
9 Tracking Completed Work .................................................................................................................. 19
Section IV – Quality Assurance and Controls
Page i


9.1 Tracking Completed and Accepted Work ................................................................................... 19
9.2 Work Completed and Pending Final Acceptance ........................................................................ 19
9.3 Work Completed Early by the Contractor as Directed ............................................................... 20
9.3.1 Completed Work Prior to Final Completion ........................................................................ 20
9.4 Protection of Completed Work ................................................................................................... 20
10 Inspection and Material Testing Tracking Logs ............................................................................... 21
11 Daily and Periodic Report ............................................................................................................... 22
11.1 Resident Engineer Daily Report .................................................................................................. 22
11.2 Daily Inspection Report ............................................................................................................... 24
11.3 DIR Requirements ....................................................................................................................... 24
12 Certificates of Compliance (COC) .................................................................................................... 26
12.1 Form and Content of the Certificate of Compliance ................................................................... 27
13 Discrepancies and Disputes of Test Results .................................................................................... 27
13.1 Discrepancies between Test Results ........................................................................................... 27
13.2 Disputes Involving Test Results ................................................................................................... 28
13.3 Record Keeping ........................................................................................................................... 28
14 Removal of Rejected or Unauthorized Work .................................................................................. 28
15 Third‐Party Inspection and Testing ................................................................................................. 29
15.1 Requirements .............................................................................................................................. 29
16 As‐Built Tracking and Procedures ................................................................................................... 29
16.1 As‐Built/Record Drawings Monitoring ........................................................................................ 29
17 Surveying ......................................................................................................................................... 30
17.1 Control Point and Bench Mark Surveying ................................................................................... 31
17.2 Contract Documents Surveys ...................................................................................................... 31
17.3 Survey Calculations and Adjustments ......................................................................................... 31
17.4 Existing Right‐Of‐Way Easements ............................................................................................... 32
17.5 New Right‐of‐Way and Easements ............................................................................................. 32
17.6 Topographic Surveys ................................................................................................................... 32
17.7 As‐Built Drawing Survey Support ................................................................................................ 32
17.8 Survey Monument Markings ....................................................................................................... 32
17.9 Quality Assurance/Check Surveying ........................................................................................... 32
17.10 Survey Deliverables ................................................................................................................. 32
17.11 Contractor Survey Responsibilities ......................................................................................... 33
18 Non‐Compliant Work/Non‐Compliance Reporting ......................................................................... 34
18.1 Non‐Compliance Report Flow Chart ........................................................................................... 36
18.2 Delivery of Non‐Compliance Reports to the Contractor ............................................................. 36
18.3 Tracking Non‐Compliance Reports/Non‐Compliant Work Elements .......................................... 37
18.4 Non‐Compliant Work and Monthly Progress Payments ............................................................. 37
19 Final Inspection and Acceptance of Work ...................................................................................... 37
19.1 City and Other Third‐Party Involvement ..................................................................................... 38
19.2 Contractor Responsibilities ......................................................................................................... 38
19.3 OCTA Responsibilities ................................................................................................................. 38
19.4 Early Acceptance of Work Completed ........................................................................................ 39
19.5 Punch List Development and Tracking ........................................................................................ 39
19.6 CM Recommendation for Final Acceptance of Work ................................................................. 40

Page ii


1 Contractor Quality Control Program
The Contractor is required to develop and submit a comprehensive Contractor Quality Control Program
(CQCP) consistent with the requirements of the General Conditions, Special Conditions, Technical
Specifications, and any other Contract Documents and/or requirements. The CM will review the
Contractor’s submittal and make a recommendation to OCTA to approve or reject the CQCP, along with
any comments. OCTA will advise the CM on appropriate responses to the CQCP submittal and the CM
will formally notify the Contractor. The CM will follow the same process in reviewing subsequent
revisions and amendments to the CQCP.
The CM will be responsible for monitoring and verifying the Contractor’s adherence to the
administration of the CQCP, as well as providing the Quality Assurance (QA) sampling, testing, and
inspections to verify the accuracy and compliance of the work. The CM’s performance of, or the failure
to perform, such inspections or tests will not relieve the Contractor of any responsibility for complete
performance of the Contract.
The CM shall keep logs to track items such as tests performed, samples taken, testing performed by the
outside, independent testing laboratories, qualified testers (both for the Contractor and the CM) to
assure current status of certifications, Non‐compliance Reports (NCRs), inspection and testing costs
associated with non‐compliant work, submittals, and any other aspect of the QA that will need to be
tracked for compliance and record keeping. The CM shall assure that the Contractor keeps similar logs to
allow for tracking, recording, and auditing. This is discussed in further detail in the Inspection and
Material Testing Tracking Logs section of these procedures.
1.1 General
The Contractor is solely responsible for ensuring that the quality of the work (including the work
performed and incorporated into the project and/or materials procured from subcontractors, vendors,
manufacturers, and suppliers) meets the requirements of the Contract in full. A CQCP, developed and
submitted by the Contractor, shall be established, maintained, and modified if needed, which will assure
that all materials incorporated into the work and the completed work complies with the requirements of
The CM is responsible for assuring the quality of the work is in compliance with the Contract Documents
through continuous QA inspections and random material sampling and testing. QA sampling and testing
will be performed in a targeted amount of 10 to 20 percent of the frequency of Quality Control (QC)
testing and sampling performed by the Contractor.
1.2 Contractor Quality Control Program Submittal
The Contract Documents require the Contractor to submit the written CQCP to the CM for review and
acceptance at least 14 days prior to the start of work and within 10 days after Notice to Proceed (NTP).
The CM will enforce the Contract requirement that work requiring inspections and tests shall not begin
until the CQCP has been accepted by the CM.
The CQCP shall contain all of the requirements of the Contract Documents, and at minimum, meet the
additional requirements summarized below. The CM shall be responsible for reviewing the Contract
Documents to determine what must be included in the CQCP, as each project may vary.
Page 1 of 40

1. A description of the Contractor’s QC organization, including an organizational chart showing
lines of authority.
2. The name and qualifications of a Contractor Quality Control Manager (CQCM). The CQCM shall
be responsible for the implementation and administration of the CQCP, including compliance
with the CQCP and any modifications. The CQCM shall meet one of the following minimum
requirements:
a. Be a graduate engineer or a graduate construction manager with a bachelor’s degree in
engineering or construction management from an accredited college or university, with
a minimum of five years of construction experience on construction projects similar to
the work of the Contract, a minimum of three years of experience as a Construction QC
Manager, and shall be employed by the Contractor or subcontractor; or
b. Have 10 years of construction experience on construction projects similar to the work of
the Contract, a minimum of six years of experience as a Construction QC Manager, and
shall be employed by the Contractor or subcontractor.
3. An alternate for the CQCM shall be identified in the CQCP to serve in the event of the CQCM's
absence. The education and experience requirements for the alternate shall be the same as for
the designated CQCM. Any assistant CQCM, if desired by the CQCM, shall also be submitted for
approval with job functions to be performed and experience qualifications.
4. The name, qualifications (in resume format as an appendix), duties, responsibilities, and
authorities of each person assigned to a Contractor QC function. This includes the names of all
QC samplers, testers, and inspectors.
5. A copy of the letter addressed to the CQCM, prepared and signed by an officer of the
Contractor, which describes the CQCM’s responsibilities and authority.
6. Identification of each required test and inspection, organized by technical specification section
and subsection number, indicating the inspection, sampling, and testing methods, and the
names of the independent testing laboratory that will be performing the inspection, sampling,
and testing. Testing frequencies shall be in accordance with the frequency tables identified in
Exhibit 16‐R included in Chapter 16 of the State of California, Department of Transportation
(Caltrans) Local Assistance Procedures Manual (most recent edition available at the time of bid
advertisement), or in accordance with the frequency specified in the Special Conditions or
Technical Specifications, whichever is the most stringent. If testing frequencies for an element of
work are not identified in any Contract Document, the Contractor shall recommend a frequency
of testing, subject to approval by the CM, a minimum of 10 days prior to starting the element of
work.
7. Provisions for conducting inspections and testing during night time work shifts and weekend
work.
8. Procedures for tracking failed material tests and construction deficiencies from identification
through acceptable corrective action. The procedures shall establish verification that identified
deficiencies have been corrected.
9. Procedures for preparation of inspection and testing documentation, and daily reports of
inspections and tests performed, including copies of proposed reporting forms.
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10. Procedures for the collection, distribution, filing, and retrieval‐on‐demand of inspection and
testing reports. Examples of Inspection Checklists should be included along with a procedure for
sign off by the CQCM, and witnessed by the CM’s representative, if present.
11. Examples of the test result forms for roadway, concrete, and other materials; plant inspection
forms; the CQCM's daily summary form; compliance charts; and other required reporting forms.
12. A process for the assembly, organization, and turn‐over of copies of all inspection and testing
reports to meet the project close‐out documentation submission requirements. This process
should include a procedure by which the required documentation is verified as being collected
and assembled by the CQCM during the project to assure that the project close‐out
documentation submission will be complete and timely upon the conclusion of the project.
13. A process for the resolution of discrepancies between the Contractor’s QC test results and the
CM’s QA test results.
14. A list of the names and locations of laboratories that will be providing information to the
Contractor, the testers who will be conducting the tests and their certifications, and the names
of the laboratory QC personnel responsible for oversight of the testing program.
The CM shall review the CQCP to assure that all required content listed and any other pertinent content
be included in the CQCP before being accepted.
1.3 CQCP Review and Approval Procedures
The following is an outline of how the CQCP will flow through the submittal and approval process:
1. Contractor submits four copies of its proposed CQCP to the CM.
2. CM reviews and distributes the CQCP to OCTA and Cities (only if required) for review with
request for comments.
3. CM compiles comments from OCTA and Cities if available within the allocated review time.
4. CM makes a recommendation to OCTA for approval or rejection.
5. OCTA responds to CM’s recommendation with disposition.
6. CM issues/returns the CQCP to the Contractor with one of two status options:
a. APPROVED/ACCEPTED status and returns to the Contractor for use.
b. If corrections to the submitted CQCP are required, each print will be marked “MAKE
CORRECTIONS NOTED” or “AMEND AND RESUBMIT” and the required corrections will
be explained. One copy will be returned for correction by the Contractor. If the
Contractor receives an “AMEND AND RESUBMIT” status, the Contractor shall RESUBMIT
the CQCP with all comments addressed and the review time will start over from the
date of receipt by the Resident Engineer.
IMPORTANT: The CM typically has a total of 20 calendar days (verify in project‐specific Contract
Documents) from receipt of the submittal from the Contractor to distribute the submittal to OCTA and
the Cities, compile all review comments from the aforementioned, and return the submittal to the
Contractor with a disposition of “APPROVED/ACCEPTED”, “MAKE CORRECTIONS NOTED”, or “AMEND
AND RESUBMIT”. The CM shall make the resources available to review the submitted CQCP, verify that it
complies with the Contract Document requirements, assure that it meets the needs of the project’s
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quality requirements, and is returned to the Contractor with a disposition within the allotted time to
avoid delays in beginning construction. The approval of the CQCP does not relieve the Contractor of
meeting all of the requirements of the Contract Documents, should there be an omission within the
approved CQCP, and shall not relieve the Contractor of the responsibility of providing QC measures to
assure that the work strictly complies with the requirements of the Contract Documents. If an omission
is discovered after acceptance of the CQCP, the Contractor should be put on notice by the CM that an
amendment to the CQCP is required with a detailed explaination of the amendments or corrections
required.
1.4 Modifications or Changes to the CQCP
The CQCP may be modified as work progresses. A supplement shall be submitted by the Contractor
whenever there are changes to QC procedures or personnel for review and acceptance by the CM. Work
requiring amended CQCP inspections and tests shall not be performed before the amended parts of the
CQCP have been accepted by the CM. Work performed prior to approval of the modified or amended
changes to the CQCP can be subject to an NCR being issued by the CM.
When supplements required to be submitted, the CM shall assure that the documents are complete and
reviewed using the same process as stipulated for the original CQCP. The CM shall assure that all Tables
of Contents and any applicable appendixes are also revised accordingly to include any supplements or
amendments.
1.5 Roles of the Contractor and the Construction Management Team
The Contractor shall be responsible for all of the CQCP requirements and the CM will only perform QA
tasks, audits, inspections, and testing, at its discretion and frequency, to assure that the Contractor is
complying with the QC requirements of the CQCP and the Contract Documents. The CM may perform
independent QA testing, sampling, and inspections (in addition to those performed by the Contractor) to
verify accuracy and compliance with the Contract requirements. The inspections and testing performed
by the CM are for the sole benefit of OCTA and shall not relieve the Contractor of the responsibility of
providing QC testing, inspections, and other measures to assure that the work strictly complies with the
requirements of the Contract Documents.
The Contractor (or a subcontractor) will not be permitted to perform any testing, required special
inspection, or sampling with its own forces. The Contractor shall retain the services of an independent
testing and inspection company or companies that are acceptable to the CM in conformance with the
requirements of the Contract Documents and the Caltrans Local Assistance Procedures Manual (most
recent edition available at the time of bid advertisement). The CQCP shall include the names and
qualifications of each testing and inspection company that the Contractor (or subcontractor) proposes
to use for each test and inspection.
1.6 Roles/Duties of the Independent Testing Laboratory
The CM shall employ an independent testing laboratory to perform all of the QA sampling and testing
required by the CM. The independent testing laboratory shall perform QA testing for the CM on an as‐
needed basis and as directed by the CM.
The independent testing laboratory will be required to provide testing results to the CM in a timely
manner to avoid causing delays to the project and meeting all Contract requirements.
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All testing equipment will be required to be provided and calibrated by the independent testing
laboratory, as no equipment will be provided by OCTA.
1.7 Contractor’s Quality Control Manager
The CQCM shall be assigned as the manager of the program, but may also perform QC duties. An
alternate for the CQCM shall be identified in the CQCP to serve in the event of the CQCM's absence,
with the same education and experience requirements as previously noted in these procedures.
Contract Documents require that the CQCM shall be responsible to the Contractor, shall have to make
decisions concerning the quality of the work or product, shall have to reject work as defective or non‐
compliant, shall have to require removal and correction of defective or non‐compliant work, and shall
be at the project site during performance of all work requiring inspection or testing. The CQCM cannot
be the Project Manager, Superintendent, Project Engineer, Foreman, member of the production crew,
or have other “production” duties on the project. The CQCM may perform other QC duties and
inspections if the individual meets the requirements for QC inspectors. Special Inspections, as defined in
the contract documents, may only be performed by the CQCM if the individual is in possession of the
required certifications for the subject special inspection. The CQCM must work directly for an officer or
principal of the Contractor. The Contractor’s Project Manager, Superintendent, or other on‐site staff
member shall not have authority over the CQCM. A letter prepared and signed by an officer of the
Contractor, addressed to the CQCM, which describes the CQCM’s responsibilities and authority
consistent with the requirements of the Contract Documents shall be included with the CQCP.
It is imperative that the CM monitors the CQCM to ensure they conform to the lines of authority as
noted above. Any improprieties or conflicts with the lines of authority noted by the CM should be
documented and formally presented to the signatory officer of the Contractor for immediate correction
and resolution. Improprieties or conflicts raised by the CM and not addressed by the Contractor in an
expeditious manner as determined by the CM shall be brought to the immediate attention of OCTA. In
both instances, the matter should also be noted in the
CM’s Resident Engineer Daily Diary and Monthly Project
Status Report.
2 Notification of Inspection, Testing,
and Sampling
The Contractor shall give proper notifications of
inspections, testing, and sampling to the CM so that any
QA inspection or testing can be coordinated. There may
be third‐party (local city, railroad, utility) inspections as
required by the Contract Documents, in which those
requests shall be processed through the CM for
uniformity.
The Contract Documents require that the Contractor
notify the CM a minimum of five working days prior to
the performance of work that requires inspections or
witnessing of testing by the CM, engineer, railroad, city,
or utility company, unless noted otherwise in the
Contract Documents. The CM shall be diligent in Form‐CM407 Notice Inspection, Testing
or Sampling
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processing any notifications and requests so as not to delay work. The CM shall provide Form‐CM407,
Notice of Inspection, Testing, or Sampling, to the Contractor for use.
The communication for this notice will only be accepted from the Contractor’s authorized
representative to the CM. With approval, authorized representatives will be established by the CM and
the Contractor. The Contract Documents require that notices and other communications may be
delivered personally by private package delivery, facsimile, or regular, certified, or registered mail.
However, in the case of a Notice of Inspection, Testing, or Sampling, an email is sufficient and preferred.
This process should be discussed with the Contractor at the Pre‐construction Meeting.
The CM should clearly communicate to the Contractor the consequences for not submitting the email
request within the required time, which could include no scheduled inspection and possible rejection of
work.
2.1 Reduced Notification of Time
The CM may reduce the contractually required five‐day notification time for inspections, testing, and
sampling requested by the Contractor, if it is determined not to affect the CM’s ability to witness or
provide testing. The CM shall use its best judgment in allowing reduced notifications, especially when
concerning third‐party involvement.
3 Quality Assurance Inspection Requirements
The CM’s inspection staff is responsible for performing QA testing/audit inspections of construction
activities and materials incorporated into the work to verify that the Contractor’s work is in compliance
with the Contract Documents. The inspection staff will provide continuous QA inspection of the
Contractor’s work when being performed at the site. The CM’s inspection staff will provide QA
inspection of the work at off‐site locations to assure compliance with the Contract Documents.
The Contractor is obligated by the Contract to build the project according to the plans and specifications
and perform QC activities in accordance with the approved CQCP and the Contract Documents. The CM
is responsible for verifying and assuring that the Contractor’s field operations and procedures produce
the results required by the plans and specifications.
It is expected that the CM inspection staff is well prepared for the upcoming activities and elements of
work prior to the work being performed. This will include reviewing the 3 week look ahead schedule as
well as the plans, specifications, utility relocations, traffic control requirements, and any other
applicable Contract Documents for that work. While reviewing the documents, the CM inspection staff
will pay special attention to plan notes, special details, unusual methods or materials that are required,
and all specified tests and inspections for that feature of work.
When construction is underway, the CM will review the Contractor’s weekly and daily schedule before
each day begins. The CM will closely coordinate with the Contractor to establish an understanding of the
critical activities to be inspected. It is essential that the Contractor keep the CM informed of special
operations, so that inspections will not be overlooked. The CM has the ability, per the Contract
Documents, to schedule meetings as required which the Contractor is required to attend to assure an
understanding of the Contractor’s work and critical activities.
To help eliminate disputes regarding existing conditions and to provide documentation of project
progress, the CM will videotape and photograph the project progress monthly, at a minimum. Longer or
shorter intervals can be used and will be based on the project’s progress. The CM should not rely on the
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time‐laspe camera to perform this function. In the videotape, the CM will also record adjoining property
conditions, entrances, detours, and traffic switches. Further details on this process are included in the
Contract Administration section of these procedures.
Inspection work shall not be performed when conditions such as weather, traffic, or other factors
prevent a safe, efficient operation, or when directed by the CM.
3.1 QA Inspector Qualifications and Requirements
The qualifications for the CM’s QA inspection staff are not as strict as the requirements for the
Contractor’s QC inspection staff; however, the CM should strive to meet or exceed the requirements
and qualifications of the Contractor’s QC inspection staff. The minimum requirements and qualifications
for the CM’s QA inspection staff are as follows:
1. Four years of construction experience on a similar project or other relevant experience.
2. Two years of experience inspecting work features such as roadway, drainage, utility systems,
and structures that the inspector is assigned to as their primary responsibility.
3. Knowledge of construction practices, physical characteristics, and properties of roadway,
structures, drainage, and utility systems construction materials, and the approved methods and
equipment used in performing physical tests of construction materials.
4. Ability to work independently and to perform duties in the construction field office.
5. Ability to effectively make minor decisions concerning work in progress and solving field and
office problems.
6. Proficient in the use of Microsoft Office computer applications, specifically Word and Excel.
It is expected that each QA inspector will assume the following functional responsibilities and shall
possess experience in all of these areas:
1. Performing QA inspections to achieve compliance with Contract plans and specifications on all
phases of construction such as paving, structures, grading, drainage, sewer, water, utility
relocation, electrical installation, sign installation, and landscaping items.
2. Performing quantity calculations and measurements for progress pay estimates and keeping
daily project records.
3. Performing calculations and measurements of basic earthwork, grading, and construction
components.
4. Maintaining continuous communication with the Resident Engineer and other CM field staff.
3.1.1 Daily Inspection Reporting
The CM’s inspectors responsible for inspection of the work will complete a Daily Inspection Report (DIR)
on a daily basis, sign the reports and all attachments, and submit them to the Resident Engineer, who
will review the reports for completeness, sign them, and submit them to document control for filing and
distribution. A copy of the DIRs will be forwarded to OCTA no later than 4:00 p.m. Pacific time of the
following working day that the report covers. DIRs not in conformance with the minimum requirements
identified in the Inspector Daily Inspection Report section of these procedures will be returned to the
Resident Engineer or author for corrective action.
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3.1.2 Inspection Tools and Equipment
The CM shall provide all necessary instruments, tools, and safety equipment required for its personnel
to perform their work accurately, efficiently, and safely.
See the Contract Administration section of these procedures for a list of the materials required to be
provided.
3.1.3 OffSite Inspections
In some instances, the CM may be required to perform an inspection at an off‐site location such as a
batch plant, fabrication shop, or material source location where a portion of the project is being
manufactured, fabricated, or produced. At a minimum, the CM should review all off‐site inspection
documentation, material certifications, and reports produced by the Contractor’s QC inspection staff to
verify compliance with the Contract Documents and to assure that the Contractor is in compliance with
the accepted CQCP.
The CM shall perform independent QA inspections to verify compliance and to assure compliance with
the Contract Documents and the CQCP. The CM shall use discretion in determining the frequency of the
off‐site QA inspections.
Unless noted otherwise, the Contractor shall notify the CM a minimum of five working days prior to the
performance of work that requires inspections or witnessing of tests by the Resident Engineer, Design
Engineer, railroads, city, utility, or other third party.
Where shop/source inspections are required by the terms of the Contract, the Contractor shall notify
OCTA and the CM at least 10 days prior to the requirement for a shop/source inspection so that the CM
may elect to perform QA inspections at the same time as the Contractor's QC inspections. Notification or
request by the Contractor to the CM shall be in the accordance with the Notification of Inspection,
Testing, and Sampling section of these procedures. The CM shall assure that all pre‐fabrication or pre‐
delivery submittals are made by the Contractor and approved by the CM prior to fabrication, delivery or
inspection of materials off‐site.
In accordance with the Contract Documents, it is understood that the inspections and tests shall in no
way be considered a guaranty of acceptance of the material, if made at any point other than the point of
incorporation into the work.
The Contract Documents require that the Contractor furnish the CM with a list of the Contractor's
sources of materials and the locations at which those materials will be available for inspection. Refer to
the Material Approval Testing section of these procedures for additional information.
The Contractor is required to ensure that the CM has free access at all times to the materials to be
inspected, sampled, or tested.
The Contract Documents require that the Contractor shall, at its own expense, make available tools, pits,
hoists, scaffolds, platforms, other equipment, facilities, drawings, and assistance as may be necessary
for inspections or tests by the CM.
3.2 Batch Plant Inspections
It is the Contractor’s responsibility to verify that the design of the mix, batching, mixing, placing, and
curing of the concrete or asphaltic concrete, or other batch materials, are in compliance with the
Contract Documents and the CQCP, as approved. The CM will review the Contractor’s and/or the
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subcontractor’s documentation showing such compliance. The CM shall also perform independent QA
inspections at an interval subject to the CM’s discretion, as noted elsewhere in these procedures, to
verify compliance with the Contract Documents and the CQCP. The CM shall require the Contractor to
submit for review and acceptance any required submittals prior to materials being shipped from any
batch plant.
Notification or request by the Contractor to the CM shall be in accordance with the Notification of
Inspection, Testing, and Sampling section of these procedures.
3.3 Shop or Source Inspections
The Contract Documents require that the Contractor is responsible for performing all QC inspections at
fabrication shops, yards, sources, and plants where components of the project are being manufactured.
In addition, the Contractor may be required by the Contract Documents to have a Quality Control Plan in
place at each of the fabrication locations. . The CM shall require the Contractor to submit for review and
acceptance any required submittals prior to any shop or source insperction. The CM shall be familiar
with the Contract requirements in this regard, and shall require the Contractor to submit for review and
acceptance any required Quality Control Plans for off‐site facilities. The CM should perform a side‐by‐
side inspection (or sampling) with the Contractor’s QC at a frequency, as noted elsewhere in these
procedures, to assure compliance with the Contract Documents and the CQCP. Notification or request
by the Contractor to the CM shall be in accordance with the Notification of Inspection, Testing, and
Sampling section of these procedures.
3.4 Inspection Check Points
The CM shall ensure that the Contractor is observing and complying with all QC check points as listed in
the approved CQCP and as required by the Contract Documents. These check points are intended to
allow the CM adequate time and notification of specified activities for verification. QC Checkpoints, and
the associated Inspection Checklist required, may need to be added to the CQCP as an amendment
throughout the project as additional check points are identified.
The CM shall verify that the Contractor’s QC personnel have inspected and approved each item of work
with an assigned QC check point, and have completed the associated Inspection Checklist prior to
subsequent work proceeding. A signed copy of the Inspection Checklist, noting approval, shall be
provided to the CM before the Contractor proceeds with the subsequent work. The CM’s QA inspector
shall include a copy with their DIR.
Failure of the Contractor to comply with the QC check points procedures of the Contract Documents
shall cause the CM to issue an NCR to the Contractor.
When QC check points are not required as part of the Contract Documents, it is recommended that the
CM and the Contractor staff coordinate their efforts and agree on hold points/check points in the
construction process to allow adequate time for the Contractor’s QC staff and the CM’s QA staff to
perform their respective duties.
4 Specialty Inspection and Testing
4.1 Summary
In general, the CM shall provide QA inspections and testing in conjunction with the Contractor’s QC
inspections and testing. In some cases, it may be more practical, and a better use of QA inspection
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resources, to monitor the activities of the Contractor’s QC processes and staff, and review their testing
results for compliance with the Contract Documents. As long as the Contractor’s QC program and staff is
achieving the contractually required QC requirements and effectively documenting the QC tests and
inspections, the CM’s staff can generally remain in a QA role, by simply ensuring that the Contractor’s
QC program is working sufficiently.
If the Contractor’s QC program and staff is not achieving measures that are sufficient to the CM,
including meeting proper QC Contract requirements and properly documenting the QC tests and
inspections, the CM’s staff will be expected to take whatever actions are permitted under the terms of
the Contract Documents to enforce the QC requirements and to ensure that the project work is being
performed in accordance with the Contract Documents.
As a project progresses, the CM may discover circumstances where inspections and testing that are
recommended have not been specified to be performed by the Contractor under the terms of the
Contract Documents. The CM shall bring those instances to the attention of OCTA for review and
discussion concerning the appropriate level of QC or QA inspection and testing that the CM and OCTA
agree would need to be added in order to achieve the desired results.
4.2 Railroad Work
If any of the project work or tests are performed by railroad or Contractor personnel, the CM shall use
an American Welding Society Certified Welding Inspector (AWS CWI), or other qualified rail inspection
staff, to monitor and document any X‐ray, ultrasonic, or other required Non‐destructive Testing (NDT)
required by the Contract Documents, as performed by the railroad. If the railroad should request that
any additional testing be performed by the Contractor, the CM shall notify OCTA of the railroad’s
request, provide a recommendation to OCTA, and execute OCTA’s decision on the matter, including a
contractual change, if necessary.
4.2.1 Visual Inspection of Work in Progress
When the Contractor is performing railroad work, the CM shall perform QA inspections and testing
similar to all other work on the project. When the Contractor is not performing railroad work, but the
work is being performed by railroad personnel, the CM shall perform inspections to document the
progress of the railroad personnel and document any testing, as well as the results of such testing as
performed by railroad personnel or their subcontractors.
4.2.2 Rail Testing
If railroad testing work is performed by the Contractor’s personnel, the CM shall use the AWS CWI or
other qualified rail inspection staff to monitor and document any X‐ray, ultrasonic, or other required
NDT required by the Contract Documents as performed by the Contractor’s QC personnel. A copy of the
Contractor’s test results will be required to be obtained by the CM. The CM may also order the
performance of the same QA tests being performed by the Contractor to assure compliance with the
Contract Documents.
All rail welding, inspection, and testing, when performed by the Contractor, shall be tracked and logged
by the CM using the Rail Inspection and Welding Log as provided by OCTA. The CM may also provide the
Rail Inspection and Welding Log to the Contractor for use in tracking the progress, inspection, and
testing of the rail work.
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When the Contractor is not performing railroad testing work, but the work is being performed by
railroad personnel, the CM shall perform inspections to document the progress of the railroad personnel
and document any testing and the results of such testing as performed by railroad personnel or their
subcontractors. If the railroad should request that any additional testing be performed by the
Contractor, the CM shall notify OCTA of the railroad’s request, provide a recommendation to OCTA, and
execute OCTA’s decision on the matter, including a contractual change, if necessary.
4.3 Welding Inspection
The CM shall assure that the Contractor’s QC staff has verified and/or performed all welder
certifications, procedure qualifications, required welding procedure specifications, testing, and any
other requirements as required by the Contract Documents.
The CM will be required to provide an AWS CWI to perform periodic QA inspections when the
Contractor is performing welding operations as required by the Contract Documents. The CM shall verify
that the Contractor’s AWS CWI is on site performing QC inspections at all times when any welding is
being performed.
4.3.1 Testing – Xray, Ultrasonic, and Other NonDestructive Testing
The CM shall use the AWS CWI, or other qualified inspection staff, if the CM’s AWS CWI is off‐site, in
order to properly monitor and document any X‐ray, ultrasonic, or other NDT required by the Contract
Documents, as performed by the Contractor’s qualified QC personnel. A copy of the Contractor’s test
results will be required to be obtained by the CM for its record files. The CM shall review all test results
and determine if they are acceptable prior to filing in the project record files.
4.4 Gamma Gamma and Cross Hole Sonic Logging
The CM shall observe and report/document the testing performed by the Contractor’s qualified QC staff.
All test results shall be forwarded to the CM by the Contractor for review. The CM will review all
Contractor test results and forward the required information to the Design Engineer for concurrence, or
process it in accordance with the requirements of the Contract. All test results shall be maintained in the
CM record files.
4.5 PostTensioned Concrete
The CM shall perform QA inspections during all phases of the prestressed/post‐tensioned concrete
construction. The CM shall confirm that the Contractor’s QC staff is observing the typical hold points, as
included in the CQCP, during this type of construction and shall observe and record the stressing results
at the time of stressing. The Contractor’s QC personnel will be responsible for all post‐tensioning
calculations and will submit the required calculations to the CM for review or processing in accordance
with the Contract Documents. The CM will send the post‐tensioning calculations to the Design Engineer
for review prior to the CM’s acceptance of the results. The CM shall inform the Contractor of these
requirements so that the Contractor can notify the CM of the planned dates and schedule its
subcontractors for the stressing operations. A calibrated gauge and one load cell, or two calibrated
gauges (matched set), will be required for each stressing operation. During stressing operations, the CM
shall observe and monitor the Contractor’s QC inspection and monitoring of the stressing operations,
and post‐stressing operations, such as grouting. The CM shall monitor the recording of stressing data
and record duplicate field data recordings to assure that final results submitted by the Contractor are as‐
stressed and recorded in the field. The CM shall use the stressing record form provided by OCTA for
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logging the results of the stressing operation and shall provide the form to the Contractor for use as
well.
4.5.1 PreStressed Concrete
The CM shall monitor the Contractor’s and the Precaster’s QC operations as needed to assure
compliance with the Contract Documents. The CM shall verify that the Precaster’s QC Plan, and any
other required submittals, are approved prior to casting or stressing any pieces of the work. Copies of
all of the Contractor’s and the Precaster’s QC inspection and testing documents shall be submitted by
the CQCM for review by the CM before approving payments for the elements of work.
The CM shall verify that the Contractor’s QC staff has inspected, accepted and released the precast
elements at the precast yard prior to allowing shipment to the job site. The CM may perform a side‐by‐
side inspection at the same time as the Contractor.
Upon arrival at the job site, the precast elements will be inspected again by the Contractor’s QC staff
and inspected by the CM’s QA staff to assure no damage was caused during transport.
4.6 Epoxy or Bonded Anchors/Bars
The CM shall monitor the Contractor’s installation and QC operations during the drilling and setting of
epoxy or bonded anchors/bars to verify compliance with the Contract Documents. Materials used shall
be as specified, or as submitted and approved. All manufacturers’ instructions will be followed unless
the Design Engineer approves a deviation in advance.
The CM will witness any performance testing performed by the Contractor’s QC personnel, and obtain
copies of any test reports prior to the bonded anchors or bars being encased in concrete.
5 Certification of CM QA Samplers and Testers
The CM shall perform QA soils and materials sampling and testing to support the construction of the
project and to provide assurance that the Contractor’s sampling and testing is in compliance with the
Contractor’s accepted CQCP and all Contract requirements. CM sampling and testing shall be in
accordance with the Contract Documents and scope of work. All sampling and testing shall be
performed in accordance with the California Test Methods and shall meet the latest requirements of the
American Society for Testing Materials (ASTM) and the requirements imposed on the Contractor in the
Contract Documents.
The CM will also review the qualifications of the Contractor’s QC samplers and testers employed and
dispatched to the project by the independent testing laboratory prior to those individuals performing
work on site. This review shall be a part of the review and observation of the CQCP on an ongoing basis.
5.1 Requirements
The CM’s samplers and testers shall be qualified to the same level required of the Contractor’s
independent testers, as specified in the Contract Documents. Each qualified tester shall be accredited
and certified by Caltrans in accordance with the provisions of the California Department of
Transportation Independent Assurance Program for Caltrans Qualification of Laboratories and Testers,
and the Caltrans Independent Assurance Manual – July 2005. Each Qualified Tester must have a current
certificate of proficiency for the tests they perform.
It is the CM’s responsibility to coordinate with Caltrans or any other entity to secure testing and
sampling personnel/laboratory personnel certified by Caltrans or in compliance with Caltrans
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requirements, and assure that each tester/sampler has a current certificate of proficiency for each test
they will perform.
The CM shall perform an independent review of the project plans, specifications, and other Contract
Documents to prepare a list of potential tests that will be required to be performed during the
construction of the project, so that the CM can assure that the Contractor’s submitted CQCP includes all
required tests. The Contractor is required to identify each required test and inspection, organized by
technical specification section and subsection number, and to indicate the inspection, sampling, and
testing methods, as well as the name of the independent testing laboratory that will be performing each
required inspection, sampling, and testing.
The CM’s samplers and testers shall work independently and in conjunction with the CM inspection staff
to ensure that a level of QA is attained that is in compliance with the Contractor’s QC sampling and
testing requirements, in accordance with the Contract Documents and the CQCP as approved by the CM.
CM samplers and testers shall keep accurate records of samples and tests taken or performed and the
results of those tests, including clearly and completely filled out sampling and testing forms required to
track the sample from the field to the testing lab and the corresponding results back to the Resident
Engineer. The CM samplers shall also provide all information required for the CM to keep logs of all tests
taken, results of such tests, non‐compliant tests, and re‐tests showing a passing result or failure.
The CM shall not contract with the same independent testing laboratory that the Contractor’s QC
personnel use for their sampling, testing, and special inspections. The CM shall also assure that no
individual who has performed independent sampling, testing, or special inspections for the Contractor’s
QC personnel, performs the same functions for the CM.
6 Certification of Independent Testing Laboratories
The CM shall employ an independent testing laboratory to perform all of the QA sampling and testing
required by the CM. The CM shall also review the qualifications of the independent testing laboratory
employed by the Contractor to perform its QC testing.
6.1 Requirements
The CM, as well as the Contractor, shall employ the services of an independent testing laboratory in
accordance with the Contract Documents. Each testing laboratory contracted by both the CM and the
Contractor shall be accredited and certified by Caltrans in accordance with the provisions of the
California Department of Transportation Independent Assurance Program for Caltrans Qualification of
Laboratories and Testers, and the Caltrans Independent Assurance Manual – July 2005. Each Qualified
Tester employed by the laboratory must have a current certificate of proficiency for the tests they will
perform.
It is the CM’s responsibility to ensure that the testing laboratory and personnel employed by the
Contractor are accredited and certified as noted above. The CM shall also verify its own testing
laboratory’s accreditations prior to employing the laboratory for testing, sampling, and special
inspection services.
The CM shall not contract with the same Independent testing laboratory that the Contractor’s QC
personnel use for their sampling, testing, and possible special inspections. The CM shall also assure that
no individual who has performed independent sampling, testing, or special inspections for the
Contractor’s QC, performs the same functions for the CM.
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The Contract Documents require that any testing performed by a laboratory that is not accredited, or by
a tester who is not qualified by a certificate of proficiency, shall be performed again by an accredited
laboratory and a qualified tester at the Contractor’s time and expense. The Contractor will be
responsible for the cost of any QA testing performed by the CM as a result of non‐qualified testing by
the Contractor, and such cost shall be deducted from the Monthly Pay Request.
7 Quality Assurance Sampling and Testing
The CM is responsible for performing QA testing/audit testing of materials incorporated into the project
work to verify compliance with the Contract Documents. The CM will perform this testing on an as‐
needed basis to adequately assure that the QC and acceptance testing performed by the Contractor’s
QC is in conformance with the CQCP and the Contract Documents.
A goal of 10 to 20 percent of QA/audit testing, as deemed appropriate by the CM in relation to the
Contractor’s QC and acceptance testing frequencies required in accordance with the Contract
Documents and the CQCP, is the preferred minimum amount of testing that should be performed by the
CM to assure this goal is met. The CM shall track and log all QC and acceptance testing performed by the
Contractor, as well as all correlating QA/audit testing performed by the CM. The CM’s test will be
required to be cross‐referenced in a tracking log to the Contractor’s testing for assurance that the tests
meet the requirements of the Contract Documents. The CM shall self audit monthly to assure these
records are current and accurate.
7.1 Material Sampling and Testing
Material sampling and testing will be accomplished in three separate phases. The first phase will be
source sampling and testing to establish if a source of material meets the requirements of the Contract
Documents and complies with all applicable Contract Documents. The second phase will be sampling of
materials already approved for use, upon delivery and use on the project. The third phase will be spot‐
testing or auditing of the Contractor.
An example is crushed aggregate base. First, the Contractor will inform the CM of the source of material
and its intended use. It will be expected that both the Contractor’s QC staff and the CM’s QA staff will
schedule to sample the material at the same time and split the sample. If the material’s physical
properties tests pass and verify compliance with the Contract Documents, then the material is suitable
for use on the project. The CM may or may choose not to test its part of the sample; it may be stored
for future testing, if necessary.
Phase two will occur when the material is delivered to the site for use after being approved for use. The
Contractor’s QC personnel will sample the material to verify that the physical properties of the material
being placed as part of the work are in compliance with the Contract Documents. The Contractor’s QC
personnel will also test the materials in place for performance (in this case a compaction test) to verify
that the material is being placed as part of the work is in compliance with the Contract Documents. At
any time, the CM may choose to perform QA sampling and testing of the material being used for both
physical and in‐place performance testing. The CM shall coordinate this sampling and testing with the
Contractor to split samples and perform in‐place performance tests at the same approximate location.
The third phase of QA material sampling and testing will be spot‐testing or auditing of the Contractor.
This will entail the CM pulling a sample of a material either as a spot‐check or due to an observation that
a material or process may not be in compliance with the Contract Documents. An example of this
situation is that the CM observes a load of concrete that appears to be excessively wet or high slump,
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and after discussion with the Contractor’s QC personnel, the Contractor’s QC personnel still believes the
load is acceptable and chooses to allow the use of the load of concrete in the work and does not sample
the load. In this case, the CM will take a sample of the concrete to verify that the concrete load in
question meets the requirements and complies with the Contract Documents. If this testing indicates a
material out of compliance with the Contract Documents, the contractor would be responsible for the
CM testing and any related cost, as well as any cost associated with resolving the non‐compliant
material.
When the CM’s QA sampling or testing is performed as described in the third phase example, the CM
shall notify the Contractor of the situation and that QA tests are being performed to avoid a dispute,
should the material tested fail to meet and comply with Contract Document requirements. The
Contractor shall be given an opportunity to sample the same material in question at the time of the
CM’s sampling, so they have an opportunity to test the material independent of the CM’s test sample.
If the Contractor chooses not to sample the material in question, the Contractor will have to accept the
results of the CM’s tests and, in the case of failing tests, remedy the resulting NCR issued by the CM, at
the Contractor’s expense and time. The Contractor may also choose to pursue other means or methods
of testing at its expense, upon the CM’s approval, to ensure the CM that the material incorporated into
the work complies with and meets the Contract Document requirements.
If the Contractor chooses to sample and test the material in question and the Contractor receives results
that differ in terms of a pass or fail disposition from those received by the CM, then the matter shall be
resolved in accordance with the procedures for Discrepancies and Disputes of Test Results included in
these procedures and specified in the Contract Documents.
7.2 Material Approval Testing
The Contract Documents require that prior to
work beginning that requires testing of
materials, the Contractor shall furnish to the
CM a list of the Contractor's sources of
materials to be used and the locations at
which those materials will be available for
inspection. The list, or separate lists submitted
at different times, shall be submitted on Form‐
CM404, Notice of Materials to be Used,
provided by OCTA, and shall be provided to
the CM in sufficient time to permit inspection
and testing of materials to be furnished from
the listed sources in advance of their use and
no later than 30 days prior to shipment of the
materials to the project site. In addition to the Form‐CM404 Notice of Materials to be Used
sampling and testing of materials required to
be performed by the Contractor, the CM may
inspect, sample, or test materials at the source of supply or other locations, but the inspection,
sampling, or testing by the CM will not be undertaken until the CM is assured by the Contractor of the
cooperation and assistance of both the Contractor and the supplier of the material. The Contractor shall
assure that the CM has free access at all times to the material to be inspected, sampled, or tested. The
Contractor shall notify the CM of the required inspection, testing, or sampling using Form‐CM407,
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Notice of Inspection, Sampling, or Testing, as noted in the Notification of Inspection, Testing, and
Sampling section of these procedures.
If Forms CM404 and CM407 are not received from the Contractor as required, the deficiency shall be
noted in writing to the Contractor. If the CM decides to initiate the sampling and testing, the CM shall
inform the Contractor when such inspection, sampling, or testing will take place, so the Contractor has
the option of performing its QC inspection, sampling, or testing of the material at the same time.
7.3 Contractor Submitted Samples
The Contract Documents require that the Contractor furnish samples as specified, or as requested by
the CM, within 48 hours after request. Unless otherwise indicated, no less than two identical samples of
each type required shall be submitted.
Shipping charges on samples shall be prepaid by the Contractor. The Contract Documents require that
products for which samples are requested shall not be used until accepted in writing by the CM. Each
sample shall be labeled to indicate the following:
• Submittal identification (tracking) number
• Submittal description – matching that of the transmittal
• Name of the project and the Contract number
• Name of the Contractor and Subcontractor or supplier, if applicable
• Material or equipment represented
• Source
• Name of the producer and brand (if any)
• References to the parts of the Technical Specifications and plans that are applicable to the
sample
• Location of the work
Samples may also be tested by the CM at its discretion. Accepted samples not destroyed in testing may
be retained by the CM. Samples not accepted will be returned to the Contractor at the Contractor’s
expense, if so requested at the time of submittal.
If such a request is made, and the CM decides to test the sample submitted, the CM shall forward that
request along with the sample to the testing laboratory so the sample will be returned as requested. It is
standard practice for testing laboratories to discard test samples after testing has been successfully
completed.
7.4 NonCompliant Test Results/NonCompliant Materials
When a material test fails to meet the requirements of the Contract Documents, the Contractor’s QC
personnel and/or the CM shall issue an NCR to track the issue to resolution. Refer to the Non‐Compliant
Work/ Non‐Compliance Reporting section of these procedures for additional detailed information and
sample forms and logs to be used by the CM.
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7.5 Frequency of Sampling and Testing
Keeping in mind that the CM is responsible for QA, the CM will determine, with the guidelines noted in
these procedures, the appropriate amount and frequency of QA sampling and testing required and
necessary to assure the Contractor’s compliance with the Contract Documents and the accepted CQCP.
OCTA recommends that the CM sample and test no less than 10 percent of the quantity of the
Contractor’s sampling and testing for items such as concrete, soils, reinforcing steel, and asphalt. This
may be adjusted based on circumstances such as the historical test results of a product or material, the
Contractor’s performance with the material, the Contractor’s adherence to its CQCP, and other
justifications for increasing the recommended QA testing.
The CM shall use its best judgment in determining if a greater number of tests are required than the
minimum specified above. The CM shall immediately notify OCTA if it becomes necessary to consistently
perform QA testing above the baseline amount of 10 to 20 percent.
When reviewing the Contractor’s CQCP, the CM shall check to see that the Contractor’s proposed
testing frequencies contained within the CQCP are the most stringent in accordance with Chapter 16 of
the Caltrans Local Assistance Procedures Manual (most recent edition available at the time of bid
advertisement) as shown in the frequency tables identified in Exhibit 16‐R, or in accordance with the
frequency specified in the Special Conditions and/or Technical Specifications, or with any other Contract
Document. The Contract Documents require that if testing frequencies for an element of work are not
identified in any Contract Document, the Contractor shall recommend a frequency of testing, subject to
approval of the CM, a minimum of 10 days prior to starting the element of work. As previously noted,
the CM’s QA testing will be targeted at 10 to 20 percent of sampling required of the Contractor, but may
be a greater amount if required to assure the Contractor’s compliance with the Contract Documents and
the CQCP.
For testing that may be used to substantiate a claim by the Contractor or tests that are taken for
potential change orders (e.g., unsatisfactory subgrade, additional discovered contaminated soils,
suspected out of compliance materials placed, etc.), it is recommended that the CM take a one‐to‐one
test sample at the same time as the Contractor’s sampling to assure there is enough data to substantiate
either party’s position.
In some cases, testing such as gamma gamma or cross‐hole sonic logging of cast‐in‐drilled‐hole (CIDH)
piles placed under slurry will not be required to be duplicated by the CM, but will be performed by a
specialized testing firm hired by the Contractor, and the test results will be reviewed and approved by
the Design Engineer or CM for acceptance or rejection after review and submittal by the CQCM. A
thorough observation and documentation of the test and any preliminary results available at the time of
the test (before the final test report) will suffice in advance of the Contractor’s submittal of the test
results and the CM’s or Engineer’s review for approval of the test results.
7.6 Use of Materials Found on Site
The Contract Documents permit that unless the use of designated, select materials are required as
provided in the Technical Specifications, the Contractor, with the approval of the CM, may use materials
in the proposed construction such as stone, gravel, sand, or other material suitable as may be found in
excavation as they conform to the Contract Documents. The CM may elect to consult with the Design
Engineer with the approval of OCTA as to a particular material’s suitability. If approved by the CM, and
substantiated by test results that the material meets the requirements of the Contract Documents,
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materials found on site may be used by the Contractor for use in the work. The Contractor must perform
all testing required by the Contract Documents and the CM to evaluate the material’s acceptance. The
CM may perform additional QA testing independent of the Contractor’s testing. For tracking of sampling
and testing performed, the CM shall use and maintain tracking logs, as provided in these procedures, on
a daily basis indicating the current status of all sampling and testing action items including Contractor
test results, QA test results, non‐complaint tests, or work.
The CM shall have paper and electronic copies of testing logs and reports available so that OCTA can
review them.
7.7 Tracking ReTest
It is imperative that tests be tracked to account for re‐tests to resolve disputes or non‐compliant work.
The Contract Documents provide that costs of additional QA testing by the CM required because of
failed tests, and CM re‐inspection costs caused by non‐compliant work that are incurred by OCTA, shall
be charged to the Contractor. The CM shall track these charges, assemble invoices and supporting
documentation, and assure that charges are withheld from the Monthly Progress Payment and
accounted for by a Deductive Change Order. It is critical that the CM document these events separately
so that costs can be accounted for easily.
7.8 Test Reporting
The Contract Documents provide that during the construction phase of the project, the Contractor shall
submit a minimum of three paper copies (unless specified otherwise in the Contract Documents) of all
test certificates, reports, and results. In addition, reports and records of inspections made and tests
performed by the CM, when available at the work site, may be examined by the Contractor. The CM
shall plan for this and make the information available to the Contractor when requested. The CM shall
always control the records, reports, and information and shall never relinquish control of any original
document.
The Contract Documents provide that upon completion of the work, the Contractor shall produce a
master “record” set of all QC test reports and test certificates, organized by type of test and in
chronological order, in a manner acceptable to the CM. The Contractor is required to deliver the reports
to the CM within 30 days after completion of all construction work and prior to the Contractor’s Final
Application for Payment. The Contract Documents provide that failure to fulfill this submission
requirement will be grounds for withholding the final payment.
The CM is responsible for assuring that those Contract Document requirements are met by the
Contractor, and shall recommend to OCTA the withholding of funds if the Contractor fails to comply.
The CM shall assemble two complete sets of the Contractor’s QC test reports and test certificates
organized either in folders with clasps, three‐ring binders, or in another manner acceptable to OCTA,
and placed in sturdy, document‐storage boxes labeled with the contents, indicating the Contractor’s
name, project name, contract number, and name of tests and certificates contained in the box. The CM
shall deliver the records to OCTA with a letter stating that all documents have been reviewed and
accepted by the CM, the required test and inspections have been performed and that all corresponding
QA has been performed to assure OCTA that the work performed complies to theContract Documents as
documented by the records submitted.
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8 Laboratory/Testing Equipment Calibration Requirements
The CM shall assure all field construction laboratory equipment and portable field test equipment is
calibrated prior to use on the project. This will include testing equipment used by both the CM’s QA
testers and the Contractor’s QC testers, and any independent laboratories used by either party to
perform testing.
Testing equipment shall be calibrated a minimum of annually and re‐calibrated as often as required to
assure the calibration of the equipment is accurate.
Calibration of testing equipment shall be performed in accordance with the requirements of Chapter 16
of the Local Assistance Procedures Manual.
9 Tracking Completed Work
The CM shall use the “Work Completed – Pending Final Acceptance Log” and the Work Completed –
Final Acceptance Log” for tracking completed work and documenting the condition of that completed
work to assure the Contractor protects the completed work until final closeout of the Contract and Final
Acceptance of the work by OCTA releasing the Contractor of responsibility. Unless the Contract
contemplates completion and acceptance of a designated portion of the project work prior to Final
Acceptance, acceptance of the work is typically performed at the completion of all work for the project.
9.1 Tracking Completed and Accepted Work
The CM shall use the “Work Completed – Pending Final Acceptance Log” and the Work Completed –
Final Acceptance Log” to assist in tracking work which has been:
1. Completed by the Contractor and pending the Final Acceptance Process.
2. Completed by the Contractor at the written request of OCTA and completed the process of Final
Inspection, Punch‐listing, and Final Acceptance for a portion of the work.
This acceptance process will require cooperation by the Contractor, and the CM shall communicate the
importance of the procedure to both the Contractor and OCTA in preparing for Final Acceptance and
Close Out of the project.
9.2 Work Completed and Pending Final Acceptance
Unless directed by OCTA, portions of Work as completed will not be accepted as final until completion of
all of the work for the project and prior acceptance by the CQCM. However, the Contract Documents
provide for acceptance by OCTA of a portion of the project work, and OCTA may request a portion of the
Work to be completed and retains the right to direct the Contractor to complete a portion of the Work
at a time different than that specified in the Contract or reflected in the currently approved progress
schedule. Such direction will be in writing. If such direction modifies the amount of compensation or
time required for the completion of the Work, a contract change order will be issued. The following will
apply if OCTA accepts, pays for, takes title to, and occupies the portion of the work accepted:
1. The Contractor will be relieved of maintenance responsibility for that portion of the work.
2. The Contractor's warranty on that portion of the work will commence to the extent indicated in
the partial acceptance documents.
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9.3 Work Completed Early by the Contractor as Directed
OCTA retains the right to direct the Contractor to complete a portion of the work at a time different
than that specified in the Contract or reflected in the currently approved progress schedule, prior to
Final Acceptance of all of the work. Such acceptance shall relieve the Contractor of maintenance
responsibility for that portion of the work and shall commence the Contractor’s warranty period on that
portion of the work.
In this case, the Resident Engineer shall proceed in accordance with the procedures outlined in the Early
Acceptance of Work Completed section of these procedures.
It should be noted that this situation, acceptance of a portion of the work, will occur only if the
Contractor has been notified/directed in writing and a Contract change order has been issued and
approved by both OCTA and the Contractor. If this has not occurred, then all work will be accepted as a
whole at the completion of all work on the project by the Contractor and prior acceptance by the CQCM.
9.3.1 Completed Work Prior to Final Completion
The Contractor may perform and complete a section of work in the course of constructing the project, a
storm drain system for example, but Final Acceptance will not be issued by OCTA because all of the
project work has not been completed.
In the case of incrementally completed work, the CM shall inspect the work and document it in writing
and with digital photographs/video to assure the work is completed in accordance with the plans,
document the condition at the time of completion, report on whether it is generally acceptable, and
note any deficiencies discovered during this inspection. That inspection is effectively a pre‐
acceptance/pre‐punch list inspection of the work, which should be viewed as a tool to assist in the final
punch list inspection and the Final Acceptance of the work, and used to document the condition of the
work at the time the Contractor completed it.
Any incomplete work or deficiencies noted during this inspection should be delivered to the Contractor
in writing by a letter for incomplete work or by the issuance of an NCR for more serious deficient work
issues.
All documentation for the inspection shall be filed to ensure it is available at the time of inspections
conducted for the purpose of Final Acceptance. The work item status shall also be logged into the Work
Pending Final Acceptance Log to allow for tracking of the work items completed and pending Final
Acceptance, as well as for use during the Monthly Pay Application/Progress Payment.
9.4 Protection of Completed Work
The Contract Documents require the Contractor to protect completed portions of the work until Final
Acceptance by OCTA. OCTA will determine, upon a recommendation from the CM, and after its review
of the project work, that all work is complete. The Contract Documents provide that the Contractor shall
take prompt action at its expense to remedy or repair any and all damage sustained to work that is
partially or wholly complete and has not yet been accepted by OCTA. Portions of the project work are
indicated to be completed in stages or phases, and are placed into service for vehicular and rail traffic
and pedestrians. The Contractor will be relieved of responsibility for normal weathering and normal
usage of features of work placed into service and used for vehicular and rail traffic and pedestrians.
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10 Inspection and Material Testing Tracking Logs
The CM shall maintain tracking logs on a daily basis indicating the current status of all action items
including Requests for Information (RFIs), change proposals, change orders, change directives,
submittals, Contractor QC test results, QA test results, non‐complaint QC tests, non‐compliant or
defective work, and other processes as necessary. The CM shall have available paper and electronic
copies of log reports for OCTA’s use.
In addition, any corresponding Contractor QC tests shall be referenced in the entry of the log. The CM
may be required to develop other logs required to administer and perform the QA tasks, and shall
submit the example logs to OCTA for approval prior to implementation.
The CM shall maintain the following required logs:
 Concrete Compression Tests Log
 Concrete Flexural (M.O.R.) Tests Log
 Concrete Sampling Frequency Log (tracking yardage of a mix)
 Soils‐ Lab Performed Tests Log
o Proctors/Maximum Densities
o Gradations
o Sand Equivalents
o Plasticity Index
o Chemical Tests
 Aggregates/Base Materials – Lab‐Performed Tests Log (proctors/maximum densities)
o Gradations
o Abrasion/Wear
o Chemical Test
o Proctors/Maximum Densities
 Soils/Aggregates/Base Materials ‐ Field Tests Log
o Compaction Testing
o Field Gradations
o Field Moisture
 Asphaltic Concrete – Field and Laboratory Tests Log
o Temperature
o Compaction/Density
o Gradation
o Asphalt Binder Percentage
o Hveem Stability “S” Value
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o Air Voids Percentage
 Reinforcing Steel Tests/Acceptance by Certificate of Compliance Log
o Bar Tests – Tensile and Bend
o Coupled Bar Tests
o Welded Bar Tests
 Storm Drain System Testing Log
 Sanitary Sewer System Testing Log
 Water Systems Testing Log
 NCR Log (refer to the Non‐Compliant Work/Non‐Compliance section of these procedures)
 Rail Inspection and Welding Log
 Contractor/CM‐Performed Survey Request Log
 Work Completed and Final Acceptance Log
11 Daily and Periodic Report
The CM is required to compose and distribute various reports to keep OCTA informed and to record the
project’s progress. Timeliness of submission of the reports by the CM is of the utmost importance and
should be a priority. The reports as described below and the required content may evolve as the project
progresses, and as requested by OCTA or deemed appropriate by the CM.
11.1 Resident Engineer Daily Report
The Resident Engineer shall maintain a daily diary
containing a record of items such as those listed below
and in a format provided by OCTA. The daily report
shall be available to OCTA no later than 4:00 p.m. of
the next working day following the date the report
covers. These reports will be filed in accordance with
file breakdown structure and available electronically
for review by OCTA.
This report is mandatory, with a signature, even if no
work is performed by the Contractor on that day.
Because the diaries will be an official project
document, it will be available to the Contractor by
request. The Resident Engineer must exercise
prudence and good judgment in making daily entries.
Information that should be included in the Resident
Engineer Daily Report shall include, but is not limited
to:
 A description of the weather including high and Form‐CM401 RE Daily Report
low temperature, surface conditions, and
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rainfall amounts.
 A detailed description of the work in progress and accomplished. Note if a subcontractor is
doing the work and the location. Descriptions will include the start and completion time of the
Contractor’s work.
 Photographs to support the narrative portions of the report, as required.
 Number of workers on the site.
 Any test or inspections performed by the Contractor.
 Any test or inspections performed by the CM.
 Note any non‐compliant or deficient work encountered or inspected.
 Note any non‐compliant test results, or if a retest or rework is performed, that the passing test
rectifies the non‐compliant test.
 Reasons for the work being delayed or otherwise hampered.
 Unusual occurrences such as accidents and the details thereof.
 Problems or delays encountered and the suspected cause of such.
 Note any Contractor‐caused delay, including amount of delay and work impacted.
 List of heavy equipment in use, not being used, and equipment moved on or off the job. Type
and quantity of equipment, and identification numbers or rental unit. Note idle equipment,
equipment stored on site but not used, and broken‐down equipment.
 Signature of the Resident Engineer on each day’s entry.
 List of all visitors.
 Notes of significant verbal communication.
 Reports of field conditions that conflict with design drawings. Note recommendations to solve,
conversations about, and any resolution given and/or agreements. All agreements affecting cost
or time, or pertaining to Contract requirements shall be followed up in writing.
 Track potential extra work or potentially disputed work including personnel, hours, equipment,
and materials.
 Any instructions or comments given to the Contractor by the CM or representatives of OCTA
regarding construction.
This Resident Engineer Daily Report may be replaced by a Weekly Report with approval from OCTA
Construction Program Manager upon review of the project and reporting required of the Resident
Engineer. The format for any weekly report will be provided to the Resident Engineer by the OCTA
Construction Program Manager.
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11.2 Daily Inspection Report
Each of the CM’s QA inspection staff will be
required to produce a DIR using Form‐CM402, Daily
Inspection Report, that documents each day’s work
activities for which they are responsible for
inspecting and the progress of the work of the
project. Time and experience have proven that the
DIR is invaluable as a record of field operations for
use in substantiating claims, change order requests,
pay estimates, and other similar items. The
potential use of the DIR as a record of information
and data for future use by others shall be
considered during preparation.
11.3 DIR Requirements
The DIR will start the first day the CM’s inspectors
perform their responsibilities, and end on the last
day of the project in which they perform inspection
duties. A DIR will also be prepared for non‐working
days with the reason stated for the non‐working
day, and shall be signed by the inspector writing the
report. Form‐CM402 Daily Inspection Report
The DIR will be prepared using information accumulated from the inspector’s observations, diaries, and
field notes. The work will be described in a clear and concise manner on the DIR so that any project
personnel can understand what is written and stated. The construction will be documented in the
sequence in which it is performed. In addition to the normal work activities, other general information
will be considered and documented on the daily report. The standard form for DIRs is included in the
Standard Forms section of these procedures. At a minimum, the following information shall be included
in the DIR:
 Observations made of the work, its progress, and its quality (including start‐up or
completion of units of work). Note the Contractor’s schedule activity ID number
whenever possible.
 Photographic documentation supporting the written report. A minimum of four
photographs should be included in each DIR.
 Quantities and quality of material received.
 Quantities of work items installed using the pay item identification number and
stationing to identify locations, when applicable.
 Document QA inspections to achieve compliance with Contract plans and specifications
on all phases of construction such as paving, structures, grading, drainage, sewer, water,
utility relocation, electrical installation, sign installation, and landscaping items.
 Document any performance and assist in performing checks of grade and alignment,
monitoring construction traffic control, and observing materials sampling and testing.
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 Observe and report on a variety of field QC tests such as relative compaction, concrete
slump tests, concrete cylinders, special inspections, and other required field tests
performed by the Contractor’s independent third‐party testing laboratory and
inspectors to ensure compliance with the Contract requirements.
 Document any non‐compliant, non‐conforming, or deficient items of work. Detail what
the issue is and whether the Contractor has been notified or if an NCR has been issued.
 Factors adversely affecting progress such as utility delays, delivery of material,
availability of work force and equipment, plan changes, changed conditions, weather,
safety issues, accidents, and poor Contractor management.
 Delays and their causes (including the time it started and ended, and the duration of the
delay) and a description of the work that was affected.
 Unsatisfactory work performed by the Contractor and corrective actions proposed or
taken.
 Statements of unusual difficulties met and the methods used in completing the work in
those cases.
 Situations or conditions that may require changes, extra work, or may generate a claim.
 Unusual or difficult engineering, construction, or traffic problems involved and their
solution.
 Brief notations on special instructions, comments, or suggestions given to Contractors,
including to whom they were given.
 Condensed summaries of points covered in meetings with Contractors/subcontractors.
 Safety conditions that require action with respect to the public, workers, and adjacent
property owners (safety conditions that pose imminent danger will be immediately
reported to the Resident Engineer).
 Document whether the Contractor’s field personnel are keeping up‐to‐date red‐line
drawings of as‐built conditions.
 Documentation and justification of actions taken.
 Activity that the Contractor could and would be accomplishing but is not, and the efforts
made to have the Contractor improve upon its progress.
 Discussions with property owners, official visitors, and representatives of other
agencies, utilities, and railroads.
 List of visitors and their official capacities.
 Any authorized extra work, force account work, etc., being performed by the
Contractor. Refer to the individual inspector’s report for detailed information.
 Times of starting and finishing principal subdivisions of work. Use the approved
construction schedule activity identification number and activity name to identify the
actual start and finish dates of those subdivisions of work.
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 All events or situations that might, at any future date, have a connection with
controversies with adjacent property owners, with owners or operators of public or
private utilities, with owners of public or private roads, or with other Contractors. Also
note any trespass onto the project site and any incident concerning persons refusing to
leave.
 A summary of the Contractor’s staff, providing a total number of people under each
work or trade classification on the job during the day. Information as to the number of
people working can be secured daily from the Contractor in an informal memorandum
form or from the Contractor’s Daily Report, but the report author is expected to
perform a check of the reasonableness of the manpower counts based on their own
observations. Any discrepancies between the Contractor’s counts and those of the CM’s
inspector shall be noted in the DIR.
 A list of heavy equipment in use, not being used, and equipment moved on or off the
job. The types and numbers of equipment and equipment identification numbers or
rental unit. Note idle equipment, equipment stored on site but not used, and broken‐
down equipment.
 Any incidents or conflicts with other Contractors.
 Notable occurrences (including detailed descriptions of accidents or disputes).
 Records of extra work performed or work that may result in a claim for extras.
The QA inspectors will complete a DIR on a daily basis, and sign and include all attachments to be
submitted for review by the Resident Engineer. The Resident Engineer will review the report for
completeness, sign it, and submit it to document control for filing and distribution. The DIRs will be
available electronically to OCTA no later than 4:00 p.m. of the following working day. DIRs not in
conformance with the minimum requirements listed above will be returned to the CM by OCTA for
correction.
12 Certificates of Compliance (COC)
A Certificate of Compliance (COC) is a certificate provided by the supplier or manufacturer of a material,
assembly, or product with an official statement that the material or product has passed all of the
required tests for the material, assembly, or product, and that it complies with all of the requirements as
specified in the Contract Documents. It is the Contractor’s responsibility to collect all COCs as required
and requested by the CM.
COCs should be collected for all materials when they are required to be submitted by the Contract
Documents regardless of whether testing is performed or not. Certificates of Compliance should be filed
in a manner that allows efficient retrieval when required for compliance verification or for monthly pay
application verification in the instance a Certificate of Compliance is a required prerequisite for payment
of a specific pay item.
The CM may accept some materials based on a COC rather than testing performed by the Contractor or
CM. In general, the materials that can be accepted based on a COC shall be in accordance with Chapter
16 of the Caltrans Local Assistance Procedure Manual, and in accordance with Exhibit 16‐T ‐ Materials
Typically Accepted by Certificate of Compliance.
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All materials used on the basis of a COC may be sampled and tested by the CM at any time. The fact that
a material is used on the basis of a COC shall not relieve the Contractor of responsibility for
incorporating material in the work that conforms to the requirements of the Contract. Any such material
not conforming to these requirements will be subject to rejection whether in place or not. The CM shall
require the Contractor to remove materials that do not meet the requirements of the Contract
Documents at the Contractor’s time and expense.
The CM should check the Technical Specifications and other Contract Documents during the monthly
pay application review process as COCs are often a prerequisite for payment of some pay items. The CM
shall produce a spreadsheet of all materials requiring a COC for payment of the associated pay item and
track the receipt of the required COCs as required for payment of specific pay items. This spreadsheet
will be used by the CM at the time of the pay application review process to determine if payment can be
made as requested by the Contractor. If the required COCs are not produced, then payment should be
withheld until such COCs can be produced by the Contractor. The CM may accept testing results in lieu
of the COCs after consultation with and agreement by OCTA.
12.1 Form and Content of the Certificate of Compliance
The form and content of the COC are subject to the approval of the CM. If the material, assembly, or
product cannot be clearly tied to the COC, then the CM shall request that the Contractor provide a
revised COC for review and approval. The certificate should be tied to the material by a heat number, lot
number, or other identification number, and clearly state that the material meets or exceeds the
specified requirements of the subject project. The certificate shall be signed by an authorized
representative of the manufacturer of the material, assembled materials, or products. The CM shall
enforce the requirement that a COC be furnished by the Contractor with each lot of material delivered
to the project, which must be clearly identified in the certificate. If the COC does not contain the
required information, the CM shall notify the Contractor for correction. The Contract Documents may
require COC for materials prior to payment for the materials. The CM should review all Contract
Documents for this requirement and enforce the requirement if it applies.
13 Discrepancies and Disputes of Test Results
Procedures are described by the Contract Documents for handling discrepancies and disputes regarding
differences between Contractor test results and CM test results. A summary of the specified process for
both instances is noted below.
13.1 Discrepancies between Test Results
The CM will notify the Contractor that a re‐test will be taken by the CM if the CM’s QA testing results in
a failed test, and the Contractor’s test of the same split material sample, material stockpile, or test of
the same representative portion of the work indicates a passing test. If the CM’s retest results in a
passing test, the discrepancy will be considered resolved and no further action is required other than
notifying the Contractor of the passing test result.
If the CM’s re‐test results in a second failed test, the material or portion of the work shall be considered
non‐compliant, and an NCR will be issued in accordance with that procedure. The Contract Documents
require that the Contractor reimburse the CM for its actual cost of the initial failed test and the re‐
testing.
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The CM will be required to track the cost of the re‐testing and the initial failed test to allow for a
deduction from the monthly pay application with the appropriate documentation to substantiate the
deduction.
13.2 Disputes Involving Test Results
If a dispute between the Contractor’s and the CM’s test results occurs, and the issue cannot be resolved
as presented in the preceding subsection, the CM shall make a final determination as to the
acceptability of the work in question. The CM’s determination shall be presented to the Contractor in
writing, and if the work is determined not to be in compliance with the Contract requirements, the
Contractor shall take immediate action to remedy the non‐compliant work in a manner acceptable to
the CM and OCTA.
The Contract Documents provide that if the Contractor disagrees with the CM’s determination, it shall
follow the provisions of the Change Requests and Claims sections of the General Conditions, while
concurrently proceeding to remedy the disputed non‐compliant work. The Contract Documents provide
that during performance of the remedial work, the Contractor shall cooperate with the CM and provide
access to make inspections, document the conditions, and obtain samples of the questionable work, as
required.
13.3 Record Keeping
Good record keeping is essential during an apparent discrepancy or dispute related to a Contractor and
CM test result that may result in a change request or claim from the Contractor. As soon as the CM is
made aware of a discrepancy or dispute concerning test results, a separate file for each issue should be
established to track the progression of the issue. All supporting documentation such as copies of the
DIRs, delivery tickets, copies of the CM’s and Contractor’s test results, and any other pertinent
information, should be included in this file.
14 Removal of Rejected or Unauthorized Work
In accordance with the Removal of Rejected or Unauthorized Work section of the General Conditions of
the Contract Documents, all work that has been rejected shall be remedied or removed and replaced by
the Contractor in a manner acceptable to OCTA, and no compensation will be made for such removal,
replacement, or remedial work.
The Contract Documents require that any work performed outside the limits of work shown on the
drawings or established by OCTA, or any extra work performed without written authorization of OCTA
will not be paid for, and upon order of OCTA, such unauthorized work shall be remedied, removed, or
replaced at the Contractor's expense.
If the Contractor fails to comply promptly with any such order of OCTA through the CM, the CM may
cause the rejected or unauthorized work to be removed, replaced, or remedied by its own or other
forces, and to deduct the costs thereof from any moneys due to the Contractor and/or through a
deductive contract change order. Such action by the CM shall be pre‐approved by OCTA before costs are
incurred.
It is expected that these items/issues will be documented by the CM through the NCR process of these
procedures.
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15 ThirdParty Inspection and Testing
In some instances, a third party other than the Contractor’s QC organization or CM’s QA organization,
may perform inspection and testing tasks for the project work. This may be a city, agency, railroad, or
utility. Although the Contractor is responsible for construction of the project and the QC of the work of
the project, any testing and inspection task performed by third parties may be required to be considered
by the Contractor in accordance with the Contract terms and conditions, and may impact the
Contractor’s operations.
15.1 Requirements
The communication and organizational structure of the project shall be established so that the CM is the
sole point of contact between the Contractor and any third parties. All Contractor communications from
the Contractor to third parties for a required inspection or other coordination issue shall be directed
through the CM as OCTA’s agent, in accordance with the Contract Documents. All third‐party
communications from the third party to the Contractor related to inspections or other coordination
issues shall be directed through OCTA, and the CM shall endeavor to enforce that requirement by
communicating with the third party and attempting to put an end to communications from third parties
directly to the Contractor without the consent and prior knowledge of the CM.
If a third party performs a test or inspection with results that vary from the Contractor’s, the CM shall
assume the position of the third party and resolve the issue in accordance with the Discrepancies and
Disputes of Test Results section of these procedures. If the CM has a QA test that correlates with the
third party test or a Contractor test taken at the same time, the CM’s test may be used to resolve the
dispute. If the dispute involves an inspection observation, the CM shall meet with the third party and
the Contractor and attempt to resolve the dispute.
If the Contractor should require any testing or inspection by a third party, the Contract Documents
require that a minimum notice of five working days be given to the CM to schedule and arrange for the
requested testing or inspection by a third party.
All results of any third‐party inspection or testing shall be routed and reviewed by the CM before
forwarding the results to the Contractor. The CM shall maintain separate files for third‐party inspection
reports, test results, and communications organized by individual third‐party name.
16 AsBuilt Tracking and Procedures
The CM shall check and/or audit as often as daily (at a minimum monthly as part of the pay application
process) the Contractor’s progress in keeping current their as‐built (or record set) drawings as required
by the Contract Documents. These drawings shall be available to the CM at all times. The CM should be
checking the progress to assure they are being compiled and that they are an accurate representation of
the actual field conditions to date.
Additional information regarding As‐Built Drawings is located in Section III, Project Close Out, of this
procedures manual.
16.1 AsBuilt/Record Drawings Monitoring
During the construction phase of the project, the CM shall establish a schedule and process for
monitoring/checking on the progress of the as‐built/record drawing set being maintained by the
Contractor.
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The monitoring should be a two‐phase activity. Phase one will assure that the Contractor’s field forces
performing the work are accurately red‐lining any minor changes made in the field as approved by the
CM. These field red‐lines must be produced so that the Contractor’s managing staff can incorporate the
red‐lined work into the record/as‐built set on site in the Contractor’s project office. The CM’s field
inspection staff will assist in this task by checking and inquiring daily if this is being accomplished. If the
CM becomes aware that a particular portion of the work requiring red‐lines has not been incorporated
into the record/as‐built drawings, the CM shall notify the Contractor for immediate attention.
Phase two of the CM’s monitoring of the record/as‐built drawing production/maintenance by the
Contractor is as follows:
1. Review the record/as‐built drawings maintained by the Contractor as often as required to be
assured they are being kept up to date and maintained.
2. Audit/inspect at least on a monthly basis as part of the Monthly Pay Application/Progress
Payment function.
3. Audit unsatisfactorily maintained as‐built/record drawings that can be the basis for a portion
or all of the Monthly Progress Payment to be withheld from payment.
17 Surveying
The Contract Documents require that the Contractor perform all required surveying and grade checking
tasks, as well as construction staking necessary to accomplish the work. The Contract Documents
require that the Contractor’s construction staking shall be performed by the Contractor as described in
the Caltrans Survey Manual, Chapter 12 ‐ Construction Surveys, the Contract Documents, and these
procedures.
The CM has an obligation to provide control points and
benchmarks as indicated on the plans and described by
the specifications and or plans. Many of the projects
already have benchmarks and control points
established and indicated on the plans. The CM shall
furnish surveying and engineering services necessary to
establish and place control points and benchmarks on
behalf of OCTA if existing benchmarks and control
points have been damaged or are unusable, or if
additional benchmarks and control points are
necessary for prosecution of the work. Specific
surveying requests will be initiated by the Contractor
and approved by the CM, using Form‐CM105, Request
for Survey, provided by OCTA. The CM should provide
this form to the Contractor during the first meeting or
contact. Once the request has been issued, the CM
shall begin work and proceed diligently until all
required control point and benchmark tasks have been
satisfactorily completed. Form‐CM105 Request for Survey
The CM shall track and log all surveys performed by
both the CM and the Contractor using the log format
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provided by OCTA.
Other special check surveys, quantity measurements, and investigative surveys may be required, as
recommended by the CM and authorized by OCTA.
All surveys performed by the CM shall be performed in accordance with the current industry standards,
the Professional Land Surveyors’ Act, and in accordance with the directions of OCTA. Surveys performed
by the CM shall conform to the Professional Land Surveyors’ Act and shall be in accordance with the Act.
“Responsible charge” for the work shall reside with a Licensed Land Surveyor or a Registered Civil
Engineer in the State of California, whose license pre‐dates January 1, 1982.
The CM shall not provide surveying or staking services of any type on behalf of the Contractor, even if
the Contractor agrees to pay for such services.
Failure of the Contractor to provide the required survey and staking services necessary to perform its
work in accordance with the Contract Documents shall be documented in a written request by the CM
to the Contractor to perform the survey required. If the Contractor fails to perform the required survey,
an NCR shall be written by the CM following the procedures found in the Non‐Compliant Work/Non‐
Compliance Reporting section of these procedures.
Unless otherwise specified in the survey request, control surveys shall conform to city standards. The
Contract Documents require that construction staking shall be performed by the Contractor as described
in the Caltrans Survey Manual, Chapter 12 ‐ Construction Surveys, and the Special Conditions.
Surveying work shall not be performed by the CM or the Contractor when conditions such as weather,
traffic, and other factors prevent a safe, efficient operation, or as directed by OCTA.
Tasks and assignments to be performed by the CM surveying personnel will generally include, but are
not limited to, the following items described in the subsections below.
17.1 Control Point and Bench Mark Surveying
Control point and bench mark surveying includes horizontal and vertical controls, as well as project
control surveys and aerial mapping control surveys. This also includes restoring, renewing, referencing,
relocating, and resetting existing control monumentation and benchmarks.
17.2 Contract Documents Surveys
The CM shall perform all surveying that is required to be performed by OCTA as described in the
Contract Documents. Other surveying and engineering calculations shall be performed as needed to
administer and manage the project.
17.3 Survey Calculations and Adjustments
Survey calculations and adjustments shall be performed with established and computed coordinates
based on the California Coordinate System. Cross‐section data collection shall be performed by
conventional and terrain line interpolation survey methods. Survey data formatting will include
formatting topography, cross‐sections, and other survey data into computerized formats compatible
with the computerized survey and design systems. Preparing and maintaining survey documents will
include compiling data and survey field notes, maps, drawings, and other survey documents. Monitoring
for settlement shall be performed, if required. GPS equipment shall be made available if required by
OCTA.
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17.4 Existing RightOfWay Easements
The CM shall establish existing right‐of‐way and easements from OCTA’s record information and existing
monumentation. Right‐of‐way related monumentation shall be renewed and restored in accordance
with the Land Surveyors’ Act. Perpetuating existing monumentation includes restoring, renewing,
referencing, and resetting existing boundary‐related monumentation, staking areas where construction
disturbs the existing right‐of‐way, and preparing and filing the required maps and records.
17.5 New RightofWay and Easements
The CM shall establish new right‐of‐way and easements from plans, right‐of‐way maps, utility drawings,
and OCTA’s other record information and existing monumentation. Right‐of‐way surveys include
research, locating, and monumenting right‐of‐way easement lines, staking right‐of‐way and easement
fences, and preparing and filing required maps and records. Final monumentation includes the setting of
centerline points of control upon completion of construction. Special design data surveys include
drainage, utilities, and surveys required for special field studies.
17.6 Topographic Surveys
The CM shall perform any required or necessary topographic surveys by ground methods only.
17.7 AsBuilt Drawing Survey Support
The CM shall provide electronic record information for any CM performed surveys to support the
development of as‐built drawings.
17.8 Survey Monument Markings
Monuments established by the CM shall be marked by a furnished disk, plugs, or tags acceptable to
OCTA and the municipality having jurisdiction over the improvements. In addition, the CM shall identify
those established monuments by tagging or stamping the monuments with the license or registration
number of the CM’s surveyor who is in “responsible charge” of the work.
17.9 Quality Assurance/Check Surveying
The CM shall also perform surveying checks of the work as deemed necessary and appropriate to ensure
compliance with the Contract Documents.
Special surveying and engineering calculations may be required to verify surveys performed by the
Contractor, investigate potential non‐compliant work, and measure unit price pay item quantities as
required by the CM, in addition to those services noted above in the preceding sections.
The CM shall provide all necessary instruments, tools, and safety equipment required for its survey
personnel to perform their work accurately, efficiently, and safely.
17.10 Survey Deliverables
The CM shall create and maintain the following survey documentation and deliverables including, but
not limited to:
1. Field measurement reports, and all reports, calculations, and other applicable documents
prepared for the project as required by OCTA’s procedures, Technical Specifications, and
General and Special Conditions.
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2. Survey points, lines, and monuments shall be established, marked, identified, and referenced, as
required by the survey request and requirements herein.
3. Survey notes, drawings, calculations, and other survey documents and information shall be
completed as required herein.
4. All original survey documents resulting from the CM’s work (including original field notes,
adjustment calculations, final results, and appropriate intermediate documents) shall be
delivered to OCTA and shall become the property of OCTA. A copy of all survey documents
furnished to OCTA by the Contractor or others shall also be retained by the CM and properly
filed as part of the project record for future reference.
5. When a survey is performed with a total station survey system, the original field notes will be a
hard copy listing, in a readable format, of the data (observations) as originally collected and
submitted by the survey party. The party chief shall sign the listing, or if the chief is not licensed,
the person in “responsible charge” of the survey shall sign it.
6. Survey deliverables to OCTA shall follow the format specified below:
a. Horizontal Control – Alpha/numeric hard copy point listing with adjusted California
Coordinate System northing and easting and appropriate description.
b. Vertical Control – Alpha/numeric hard copy benchmark listing with adjusted elevations
compatible with the design datum.
c. Topography – Alpha/numeric hard copy listing, hard copy drawing, and CADD digital
drawing. The CADD drawing shall be provided on current media that will be compatible
with city standards.
7. Cross‐Section Data – The data collection method used to collect cross‐section data and the
coding (feature description) of terrain data for cross sections shall conform to the survey
request requirements. Deliverables shall depend on the data collection methods as follows:
a. Conventional Cross‐Sections – For each cross‐section: an alpha/numeric listing, a hard
copy drawing, and a computerized formatted file, which is compatible with city
standards. Computerized formatted cross‐sections shall be provided on magnetic tapes
or disks as requested by OCTA.
b. Terrain Line Interpolation Cross‐Section Data for each Terrain Line Interpolation Survey ‐
An alpha/numeric listing, a hard copy plan view drawing of the terrain lines, and a
computerized input file. The computerized input file shall be provided on magnetic tape
or disk compatible with city requirements.
c. Data Collector Data – If specified in the Survey Request, the raw data from the data
collector shall be provided in a format conforming to the survey request requirements.
8. All correspondence, records, and other project documents described in the Construction
Management Services section of the CM’s Contract Agreement – Scope of Work.
17.11 Contractor Survey Responsibilities
The CM shall verify that the Contractor meets all of its required survey obligations described in the
Contract Documents. The following list establishes the minimum level of staking required to be
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performed by the Contractor in accordance with the Contract Documents for this project. Additional
items may be required to be performed by the Contractor to fulfill its obligations, as appropriate for the
project:
1. Temporary control points for construction shall be established using control monumentation
indicated on the plans.
2. Existing monuments that will be lost due to construction shall be cross‐tied and referenced with
the surveyor’s field notes provided to the Engineer to allow for future retracement of
monuments.
3. Right‐of‐way and limits of clearing will be flagged at 100‐foot intervals with 3‐foot laths.
4. Rough grade stakes and slope staking will be placed at 50‐foot intervals on centerline at all BCs,
ECs, and grade breaks, and at the top of slope and the toe of slope.
5. Intermediate slope staking shall be provided with spacing of 50 feet to control cut slope or fill
slope in excess of 25 feet.
6. Contour grading shall be staked at all grade breaks, with maximum spacing of 50‐foot intervals.
7. Drainage culverts and under drains will be staked at 40‐foot intervals.
8. Manholes and inlets will be staked with two, 10‐foot straddle stakes.
9. Staking for signs shall be two, 20‐foot straddle stakes.
10. Sanitary and water systems will be staked at 40‐foot intervals.
11. Street light standards and sign structures will be staked with two, 10‐foot straddle stakes.
12. Bridge staking: One set of abutment fill stakes in accordance with the layout shown in the
Caltrans Survey Manual, Chapter 12 ‐ Construction Surveys. One set of stakes for rows of piles;
one set of off‐set staking to the layout line for abutment, bent, and wing walls; and one set of
stakes for edge of deck and finished deck elevations.
13. Retaining layout lines will be staked at 25‐foot intervals at the off‐sets requested by the
Contractor.
14. Finished grade stakes will be provided at 25‐foot intervals.
15. Contractor‐prepared and verified slope staking/grid grade sheets.
18 NonCompliant Work/NonCompliance Reporting
The CM will observe and inspect the Contractor’s work for compliance with the Contract Documents,
review the testing and inspection reports submitted by the Contractor’s QC organization, and notify the
Contractor of any observed defects and deficiencies in the work. The CM shall require that the
Contractor take appropriate and acceptable action when failing test reports indicate defective or non‐
compliant work. This will be accomplished by the issuance of an NCR to the Contractor using Form‐
CM403, Non‐Compliance Report, if a deficiency, defect, or non‐compliant work is noted during a QA
inspection, review, audit, or test. Refer to the example of the NCR form below and the form provided in
the Standard Forms section of these procedures.
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Since the Contractor is also required to track defects,
deficiencies, and non‐compliant work, the CM will be
able to close out any CM‐issued NCRs once it is evident
by submission/issuance and logging by the Contractor of
a Contractor‐issued NCR.
Upon discovery of a deficiency, the CM shall notify the
Contractor. The CM shall allow the Contractor up to five
working days to issue the NCR for the noted deficiency
(in some cases, a more prompt NCR is required if work
may be covered up or added to). If the Contractor
disagrees with the CM’s pending NCR and does not issue
a corresponding Contractor NCR, the CM will issue and
track the NCR issued by the CM to closure and
resolution.
The CM will track both the Contractor‐issued and the
CM‐issued NCRs in accordance with the procedures
noted in this section.
Closure and resolution of the NCRs is the responsibility
of the Contractor’s QC organization. This may be
accomplished in the following ways: Form‐CM403 Non‐Compliance Report
1. By submission of a request for engineering
review of the issue and subsequent acceptance by the Engineer.
2. By a proposed resolution by the Contractor requiring the CM’s approval.
3. By removal and replacement of the non‐compliant, defective, or deficient work in question,
either by the Contractor’s self direction or by direction of the Resident Engineer.
Unless otherwise stipulated, title to such rejected work and risk of loss shall remain with the Contractor,
and the Contractor shall bear the responsibility and costs to make such corrections. All acceptance
testing of work that has been rejected previously shall be at the Contractor's expense. Costs incurred by
the CM to perform such re‐tests shall be deducted and withheld from the Payment Application, as
previously discussed.

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18.1 NonCompliance Report Flow Chart
NON-COMPLIANCE
IDENTIFIED Tracks CON
NCR to Closure
YES
CON FIXES CON
(In 5 work Submits CM Closes NCR in
days) NCR CM Log
NO
YES NO YES
CON Issues CM Tracks CON Proposes
CM Issues
NO NCR ISSUED NCR for NCR to Closure Resolution to NCR
NCR to CON
Same? NO (CON Responsible) & Submits to CM
IF NECESSARY
CM Reviews
Design
Proposed
Review
Legend Resolution
CM
3rd Party
Review
Contractor
CM
CM Returns to CON REJECTED Responds
to CON
REJECTED ACCEPTED
ACCEPTED
CON Implements
QA QC CON Signs &
Proposed
CM Signs NCRR
INSPECTS Submits NCR
Resolution
CM Releases
Withheld Payment

18.2 Delivery of NonCompliance Reports to the Contractor
In accordance with the Contract Documents, all notices and other communications concerning this
Contract shall be written in English, shall bear the number assigned to this Contract by OCTA, and shall
follow OCTA's correspondence format and reference system. Notices and other communications such as
NCRs may be delivered personally, by private package delivery, facsimile, or regular, certified, or
registered mail. An electronic copy can be forwarded to the Contractor through email, in addition to one
of the aforementioned methods.
The names of the authorized representatives for each of the parties and their addresses to which
communications and correspondence should be delivered will be established and made known to the
other party at the pre‐construction meeting as specified in the Pre‐Construction Meeting section of the
General Conditions.
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The Contract Documents stipulate that a notice to the Contractor will be effective only if it is delivered
to the Contractor's authorized representative at the address to be made known to OCTA at the pre‐
construction meeting, as specified in the Pre‐Construction Meeting section of the General Conditions.
In addition to the authorized representative, it is recommended that the Resident Engineer also send a
copy of the NCR to the CQCM to avoid delay and keep the CQCM informed in a timely manner of any
non‐compliant work issues, so that the CQCM may begin working to resolve the issue.
18.3 Tracking NonCompliance Reports/NonCompliant Work Elements
The CM shall track and log all issued NCRs using the log provided by OCTA. The logs will be used for
tracking the NCRs issued until each is resolved and closed as verified by the CM. The logs will also be
used for generating monthly status reports by the CM and OCTA, so the logs must be current and reflect
the latest status of each issued, outstanding, and closed NCR.
The Contractor’s QC personnel must have procedures in place for tracking failed material tests and
construction deficiencies from identification through acceptable corrective action. The procedures shall
establish verification that identified deficiencies have been corrected. These procedures are a required
part of the CQCP and subject to approval by the CM. The CM shall strive to ensure that the Contractor’s
procedures are in accordance with the CM’s procedures to allow for the two systems to be cross‐utilized
and compared. The CM should keep this in mind when reviewing the CQCP submitted for approval by
the Contractor.
18.4 NonCompliant Work and Monthly Progress Payments
The CM will use the NCR Tracking Log during the Monthly Pay Application to determine if any portion of
the Monthly Progress Payment will need to be rejected or withheld due to an outstanding NCR or item
of non‐compliant work that does not meet the Contract Document requirements. Payment can only be
made upon final completion and acceptance of the NCR by the CM. Payment will not be made based
upon an agreed resolution prior to implementation of the agreed resolution and final acceptance by the
CM.
Deficiencies and non‐compliance issues resulting in withholding of funds should also be noted in the
Monthly Project Status Report.
19 Final Inspection and Acceptance of Work
The role of acceptance by the CM for the purpose of this manual is for Final Acceptance of the work
only. When all of the work as described in the Contract Documents is completed, and when the
Contractor considers that all of the Work, or any designated portion of the work required to be
completed earlier than the entire project, has reached final completion, the Contractor is required to
inform the CM in writing. The CM will promptly perform any testing, inspections, prepare punch lists, or
other tasks required to recommend to OCTA acceptance of the work. The CM will not make any
recommendation for acceptance of the work without prior acceptance by the CQCM and submission of
all Contractor QC records of testing and inspections performed. The Contract Documents stipulate that
acceptance shall be final and conclusive except for latent defects, fraud, or such gross mistakes as may
amount to fraud or with regard to OCTA’s rights under the warranty provisions of the Contract
Documents.
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19.1 City and Other ThirdParty Involvement
The CM will coordinate, as required and appropriate, with the cities and other third parties (utilities,
railroads, etc.) for inspection and acceptance of the project, or portion thereof, upon completion by the
Contractor, and the third parties will accept control and maintenance of those portions of the project
lying within its city’s boundaries or rights‐of‐way. The Contract Documents warn the Contractor that it
should expect involvement by city departments and representatives, as well as third parties during
performance of the work. During the project performance period and final acceptance process, the
Contractor should expect that third parties and the cities may also inspect the work.
The CM will coordinate all third‐party inspections for Final Acceptance of the work and associated punch
lists, sign‐off documents, meetings, and inspections required. Items on any punch list developed that
involve a third party will require sign‐off of that punch list item by an authorized representative of the
third party.
19.2 Contractor Responsibilities
The Contract Documents stipulate that when all of the work, or any designated portion of the work
covered under the Contract has reached final completion, the Contractor shall inform the CM in writing.
This will initiate the acceptance procedures for all or a portion of the work. It is at this time that the
Contractor’s QC organization should have a preliminary punch list developed of items that are deficient
or incomplete. That Contractor QC list of work requiring correction should be provided to the CM for
inclusion in the overall punch list issued by the CM on behalf of OCTA. The Contractor will also be invited
and will be present during any future punch list inspections arranged by the CM. The CM will not make
any recommendation for acceptance of the work without prior acceptance by the CQCM and submission
of all Contractor QC records of testing and inspections performed.
19.3 OCTA Responsibilities
The CM will perform the tasks required to recommend Final Inspection and Acceptance of the work only
after the Contractor notifies the CM in writing of such a request as noted in previous sections.
Prior to performing the inspection to assist in composing the punch list (refer to the Punch List
Development and Tracking section below), the CM should invite all third parties involved (cities, utilities,
railroad, etc.), as well as the Contractor’s CQCM to participate in the inspection. After the inspections
are completed, the CM should secure the Contractor’s punch list, as well as any punch list items or
comments from the third parties, incorporate them into one punch list, and distribute a master punch
list to the Contractor for correction, with all other interested parties copied for information.
The Contractor shall proceed immediately to correct or replace rejected, deficient, unsatisfactory,
incomplete, or unacceptable work.
As the Contractor’s work progresses to complete any unfinished work or correct any deficient or non‐
compliant work noted in the punch lists, inspections will be jointly performed by the CM, the
Contractor’s CQCM, and any applicable third party for agreement and sign‐off, until all items have been
corrected. Only at that time will the CM consider work items on the punch lists to be completed and
satisfactory for acceptance of the work. These inspections to confirm completion of punch list items may
be initiated by the CM, or at the request of the Contractor.
Final acceptance of all of the work or the particular discrete portion deemed complete will occur after
successful completion of all testing, corrections of deficiencies, sign off of all punch list items by all
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applicable parties, and the CM’s determination that the work conforms in all respects to all of the
requirements of the Contract Documents. The CM shall inform OCTA of the completion of all of the
items required to be completed under the terms of the Contract Documents, shall recommend to OCTA
that the Work should be accepted, and recommend the acceptance date. OCTA will review the CM’s
recommendation and make the final determination. Upon OCTA’s concurrence with the CM’s
recommendation, the Contractor will be notified by the CM of such acceptance of the work by issuing a
Certificate of Final Acceptance on behalf of OCTA stating that the work has been completed in
accordance with the Contract requirements and that the work is accepted under the terms and
conditions thereof. Acceptance of the work shall occur only upon issuance of the certificate.
19.4 Early Acceptance of Work Completed
The Contract Documents stipulate that OCTA retains the right to direct the Contractor to complete a
portion of the work at a time different than that specified in the Contract or reflected in the currently
approved progress schedule, prior to Final Acceptance of all of the work. Such acceptance shall relieve
the Contractor of maintenance responsibility for that portion of the work and shall commence the
Contractor’s warranty period on that portion of the work.
If OCTA directs such early completion and acceptance of a designated portion of the work, the CM shall
proceed in accordance with the procedures outlined in this section for development of a punch list and
Final Acceptance, except that a Certificate of Final Acceptance will only be issued for the portion of the
work identified in OCTA’s written direction.
It should be noted that in this situation, acceptance of a portion of the Work, will only occur if the
Contractor has been notified/directed in writing and a Contract change order has been issued and
approved by both OCTA and the Contractor. If this has not occurred, then all Work will be accepted as a
whole upon the satisfactory completion of all Work on the project by the Contractor.
19.5 Punch List Development and Tracking
The CM shall develop the punch lists for Final Acceptance of the work in cooperation with the
Contractor and any applicable third parties (cities, utilities, railroad, etc.). The punch list format shall be
developed by the CM in accordance with the requirements of these procedures and shall be approved
for use by OCTA before implementation.
The CM shall develop a process for tracking the progress of various individual punch lists and reporting
the status of the punch list process to OCTA, as requested.
When entering an item into the punch list, the descriptor should be as descriptive as possible without
being too lengthy. The description should provide both a location and a description of the deficiency and
issue being noted. The description should allow the Contractor to accurately locate the deficient or
incomplete item of work without further assistance.
A punch list shall not contain any work items that are known by the CM to be extra work items. Any
work that is recognized during the punch list inspections as being extra work required for the CM or a
third party to recommend a “completed” status of the project shall first be issued to the Contractor as a
change directive or change order before it is included on a punch list. The CM shall first obtain
concurrence by OCTA before issuance of any change directive or other direction to the Contractor that
could be interpreted as an order to proceed with additional work, during the final inspection and punch
list phase of the project.
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The CM may distribute copies of the punch lists, but shall always maintain the original copy with the
signatures of all parties (CM/Contractor/third parties) for sign‐off of the punch list items. The CM shall
also be responsible for tracking the punch list to completion until all items are verified as completed and
acceptable by a sign‐off signature.
A punch list item is not considered completed and signed‐off until the work is completed by the
Contractor, or resolved by other means, and all parties who participated in the final inspections have
signed‐off on that item as being acceptable. An item of work cannot be accepted by the CM until the
item is signed‐off and accepted by all inspecting parties. Third‐party utility or property owners will only
be required to sign‐off on items that will be owned and operated/maintained by the third party, and
only if the third party insists on a final inspection of the work. There may be instances where the third
party, particularly a city, has agreed in advance that OCTA and its CM is authorized to inspect and accept
the work on its behalf. The CM shall clarify the roles of any third parties prior to starting the punch list
process by review of third‐party agreements and discussion with the third parties.
19.6 CM Recommendation for Final Acceptance of Work
When all punch‐list work is completed, and all parties have signed‐off that the work is acceptable, the
CM shall inform the Contractor of OCTA’s acceptance of the work by preparing and issuing a Final
Certificate of Acceptance signed by an authorized representative of OCTA. The CM shall prepare and
submit to OCTA a draft Certificate of Final Acceptance in letter format, for review and concurrence by
OCTA, stating that the work has been completed in accordance with the Contract requirements and is
accepted under the terms and conditions thereof. Final Acceptance of the work will be made by OCTA
only upon agreement with the CM’s recommendation, and upon issuance of the Certificate of Final
Acceptance to the Contractor. The certificate shall be in letter format developed by the CM, and as
reviewed and approved by OCTA.
The Contract Documents provide that after OCTA has accepted the work, the Contractor will be relieved
of the duty of maintaining and protecting the accepted work and will not be required to perform any
further work (except for terms and conditions stated in the Certificate of Final Acceptance), and the
Contractor will be relieved of its responsibility for injury to persons, property, or damage to the work
that occurs after formal acceptance by OCTA. The Contract Documents stipulate that such Final
Acceptance of the work shall not relieve the Contractor from responsibility for errors, improper
fabrication, non‐conformance/non‐compliance in regard to a Contract requirement, latent defects, or
for deficiencies within the Contractor's control. Unless otherwise stipulated by Contract provisions or in
the Certificate of Final Acceptance, all warranties begin with the date of Final Acceptance. Coincident
with Final Acceptance, the CM and OCTA will record a Notice of Completion with the County Recorder in
accordance with the Contract Documents.

Page 40 of 40
Section V
Safety Procedures
Construction
Management
Procedures
Construction Section V
Management Safety
Table of Contents
1 Safety Requirements ............................................................................................................................. 1
1.1 Staffing .......................................................................................................................................... 1
1.1.1 Safety Officer ........................................................................................................................ 1
1.1.2 Safety Representative ........................................................................................................... 2
1.1.3 Competent First Aid Persons ................................................................................................ 2
1.1.4 OSHA Training ....................................................................................................................... 2
1.2 Personal Protective Equipment .................................................................................................... 3
1.3 Safety Card .................................................................................................................................... 3
1.4 Language/Communication Safety Barriers ................................................................................... 3
1.5 Housekeeping ............................................................................................................................... 3
1.6 Site Security .................................................................................................................................. 4
1.7 Record-keeping and Posting ......................................................................................................... 4
2 Project Safety Plans............................................................................................................................... 5
2.1 CM Project Safety Plan.................................................................................................................. 5
2.2 CM Subconsultant Safety Plans .................................................................................................... 6
2.3 Contractor Site Health and Safety Plan Submission Review ......................................................... 6
2.3.1 Competent Person Submission Review ................................................................................ 7
3 Responsibilities ..................................................................................................................................... 8
3.1 Five Hazard Control Measures – Order of Precedence................................................................. 8
3.2 Site Safety Inspections .................................................................................................................. 8
3.2.1 Office Safety Inspections....................................................................................................... 9
3.3 Safety and Health Enforcement .................................................................................................... 9
3.4 Permits ........................................................................................................................................ 10
3.5 Activity Hazards Analysis............................................................................................................. 10
3.6 Daily Safety Huddle ..................................................................................................................... 12
3.7 Weekly Toolbox Safety Meetings ............................................................................................... 13
3.8 Incident/Accident and Near Miss Investigations ........................................................................ 13
3.9 OSHA Site Visit ............................................................................................................................ 14
4 Safety Training Requirements ............................................................................................................. 15
4.1 Project Safety Orientation .......................................................................................................... 15
4.2 Activity Hazards Analysis Training............................................................................................... 16
4.3 Railroad Work and Safety Training ............................................................................................. 16
4.3.1 Flagging (Other than Railroad Right-of-Way Flaggers) ....................................................... 17
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5 Reporting............................................................................................................................................. 18
5.1 Emergencies ................................................................................................................................ 18
5.2 Metrics ........................................................................................................................................ 18
5.3 Incident Reporting ...................................................................................................................... 18
6 Medical Requirements and Workers Compensation .......................................................................... 19
6.1 Substance Abuse Tests ................................................................................................................ 19
6.2 Medical Services and Panel of Physicians ................................................................................... 19
6.3 Emergency Medical Response .................................................................................................... 19
6.4 Workers Compensation Program ............................................................................................... 20
6.5 Medical Surveillance and Medical Monitoring ........................................................................... 20
7 Other Safety Requirements ................................................................................................................ 20
7.1 Hazard Communication .............................................................................................................. 20
7.2 Aerially Deposited Lead .............................................................................................................. 21
7.3 Hazardous Substances ................................................................................................................ 23
7.4 Fall Protection ............................................................................................................................. 23
7.5 Excavation/Trenching ................................................................................................................. 24
7.6 Traffic Control and Worker/Public/Pedestrian Protection ......................................................... 24
7.7 Construction Access/Egress ........................................................................................................ 25
7.8 Project Parking/Driving ............................................................................................................... 25
7.9 Aerial Lifts/Scissor Lifts ............................................................................................................... 26
7.10 Scaffolding................................................................................................................................... 26
7.11 Illumination ................................................................................................................................. 26
7.12 Equipment/Vehicles/Tools.......................................................................................................... 26
7.13 Abrasive Blasting ......................................................................................................................... 27
7.14 Crane Operation.......................................................................................................................... 27
7.15 Steel Erection .............................................................................................................................. 28
7.16 Utility Protection ......................................................................................................................... 28
Attachment A – Competent Person Activities

Attachment B – Safety Orientation
Attachment C – Office Safety Inspections
Attachment D - Site Safety Inspections
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1 Safety Requirements
The role of the CM in terms of safety on the project is to provide a safety program for its own employees
and enforce that program through the life of the project; provide oversight and enforcement of the
Contractor’s Site Health and Safety Plan as submitted and approved, assuring that the Contractor is
complying with the plan as approved; and provide self-observance, program/project level oversight, and
enforcement of the Authority’s Level 1 Safety Specifications.
The CM goal shall be zero accidents and zero injuries with work tasks designed to minimize or eliminate
hazards to personnel, processes, equipment, and the general public. No CM employee, or any other,
should ever perform a task that may endanger their own safety and health or that of others. It is
expected that the CM will develop and maintain a safety culture with the Contractor and
subcontractors.
The CM shall assure that the project has a Contractor-implemented safety awareness program that, at a
minimum, consists of signs, posters, bulletin boards, and banners. This program promotes employee
awareness of safety goals and daily risks, hazards, and exposures in the field. In addition to any topics
selected by the Authority, the CM should supplement the awareness program with information
specifically applicable to the scope of work.
Safety bulletin boards maintained by the Project Safety Officer, in coordination with the Contractor’s
safety team, are primary information points for the project awareness campaign. The bulletin boards
shall be installed in prominent locations and shall be made known to all project personnel and visitors.
At a minimum, the bulletin boards shall include the following elements:
• Days without a recordable injury signs with corresponding day count
• Upcoming training information
• Relevant industry news/information
• Awareness topics
• Safety statistics/performance for the project
To further develop this safety culture, meetings that include three or more people should begin with a
safety topic. The meeting leader may present the safety topic or ask for a volunteer to open the
discussion. In general, these “safety moments” are brief, perhaps a minute or two, and should be
directly relevant to the work of the day or applicable to most employees’ lives outside of the workplace.
1.1 Staffing
1.1.1 Safety Officer
The CM’s Safety Officer shall have a minimum of five years of heavy construction experience in
administering safety programs on heavy construction job sites, the last two of which have been
administering safety in the construction discipline for which the firm has contracted with the Authority.
The Safety Officer shall possess knowledge equal to a Certified Industrial Hygienist (CIH), Certified Safety
Professional (CSP), Certified Construction Health and Safety Technician (CHST) or similar professional
standing. The Safety Officer shall have current OSHA 10-hour and 30-hour current certifications.
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Management Safety
The CM Safety Officer will be responsible for developing the CM’s PSP, reviewing the Contractor’s Site
Health and Safety Plan and associated Activity Hazard Analyses (AHA), performing site orientation and
any other Safety training of CM field staff, periodic monitoring of the project site, and reporting. The
Safety Officer’s qualifications and resumes shall be presented for review and acceptance to the
Authority, along with the PSP.
The Safety Officer shall set up, carry forward, and aggressively and effectively maintain the PSP covering
all phases of the project. It is expected that the Safety Officer will make periodic trips to the project site
to audit the Contractor’s compliance with the Site Health and Safety Plan, prepare audit reports, and if
necessary, issue safety violation notices.
The CM shall assure that at least one employee with authority to give orders is on duty during working
hours to immediately act in emergency situations affecting the safety of persons or property, or in the
event of a violation of any federal, state, local, or Authority safety and health law or regulation arising
from the work. If the failure to take appropriate action occurs, the Authority, at its discretion, may
immediately take whatever action it deems necessary, including, but not limited to, suspending the
work of the Contractor as provided in the Contract Documents.
If at any time the CM wishes to replace its Safety Officer, the CM must provide 30 days’ written notice to
the Authority prior to change of personnel. The notice shall include the qualifications and resume of the
proposed replacement. The Safety Officer shall not be replaced until suitable replacement is approved
by the Authority.
1.1.2 Safety Representative
With the Authority’s approval, the Safety Officer can assign duties to one or more field safety
representatives, who will have day-to-day responsibilities for observation of safety practices on the
project site. This person/people shall have OSHA 30-hour certification and shall regularly communicate
with the Safety Officer on project site issues.
1.1.3 Competent First Aid Persons
The CM shall assure that two appropriately trained first aid personnel are available at all times on site
during operational hours to render first aid. The CM shall assure that between the Contractor and the
CM, there is a ratio of at least one appropriately trained person available for every 15 employees on site
at all times when work is being performed, to render first aid in accordance with the California Code of
Regulations (CCR), Title 8, Section 1512. These people must have a valid certificate in first aid training
from the Mine Safety and Health Administration, the American Red Cross, or an equivalent verifiable
training program. First aid supplies must be accessible for immediate use and in sufficient quantity to
handle common first aid incidents for anyone on site. This information shall be included in both the PSP
and the Contractor’s Site Health and Safety Plan, along with copies of the certifications in appropriate
files.
1.1.4 OSHA Training
The Safety Officer shall assure that all CM employees receive OSHA 10-hour and 30-hour construction
safety training. All full-time CM project field employees must complete the 10-hour course and
supervisory staff must complete the 30-hour course. Copies of each employee’s OSHA certification cards
shall be submitted with the PSP. If training is not complete and valid OSHA cards are not provided during
this submission, the OSHA training must be completed during the employee’s first month on the project.
Upon successful completion of the appropriate course, copies of the employee’s OSHA cards shall be
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Management Safety
submitted to the CM staff. The CM shall maintain copies of all OSHA 10-hour and 30-hour documents,
and make them available to the Authority for review and auditing purposes.
1.2 Personal Protective Equipment
The CM shall provide and assure that all personnel on the project meet the minimum personal
protective equipment (PPE) requirements including:
• White hard hat meeting ANSI Z89.1 requirements
• Safety glasses meeting ANSI Z87.1 requirements
• High visibility orange, reflective Class II vest meeting ANSI/ISEA 107-2004 requirements
• Construction work boot with safety toe meeting ANSI Z41 requirements
• Hearing protection (on person and worn as necessary)
Additional PPE may be required depending on the operations being performed. The CM shall assure that
all activities (i.e., road and night work, railroad work, abrasive blasting) are evaluated and all necessary
and required PPE is provided by the employee’s respective employer and worn by all personnel on the
project. All project personnel are also required to wear proper clothing for all work including shirts with
at least a 3-inch sleeve and long pants or trousers to protect against burns, abrasions, and cuts.
The CM shall also confirm and comply with all safety provisions of the local city, the railroad having
jurisdiction, and the Caltrans Construction and Survey Manuals regarding PPE while working on the
project site.
1.3 Safety Card
The CM shall develop an authority matrix including responsible persons and associated contact
information for notification purposes in the event of all incidents, injuries, and potential OSHA visits.
This matrix should be submitted to the Authority for review and acceptance, and then distributed to all
project personnel, including the appropriate training. The matrix should be provided to employees in
“wallet” size cards to allow all project team members to maintain on their person at all times during
construction activities. This card shall be maintained and redistributed as necessary to ensure that the
correct individuals are identified. The Authority has a template for these cards that be used.
1.4 Language/Communication Safety Barriers
To provide the safest environment possible for all project personnel and the public, the CM shall assure
that the Contractor or subcontractor makes adequate provisions that their respective staff personnel
who do not read or understand English are provided alternative directions by a bilingual supervisor, or
responsible designee, at all times while on the project.
1.5 Housekeeping
The CM shall assure that the Contractor’s housekeeping on all work sites complies with CCR, Title 8,
Section 1513 and all other regulations, as well as the Authority’s minimum requirements. Flammable,
combustible, and all other debris shall be disposed of at frequent and regular intervals throughout the
course of the day and at the end of each work shift in compliance with the Contractor’s Site Health and
Safety Plan. Material storage areas and walkways on the construction site shall be maintained in a clean
and orderly condition with a minimum of 4 feet of clear and unobstructed walkway access. All hoses,
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Management Safety
cables, electrical cords, and similar items shall be protected from damage by traffic and equipment and
from creating trip hazards. Example methods to accomplish this can be achieved by routing them
underground, raising them overhead, protecting them by lumber, or any other equivalent means.
The CM shall endeavor to enforce the Contract requirements that no material or equipment shall be
stored where it will interfere with the free and safe passage of public traffic. At the end of each work
shift and at other times when construction operations are suspended for any reason, the CM shall
assure that all equipment and other obstructions are removed by the Contractor from that portion of
the roadway open for use by public traffic. Temporary facilities used to perform the work shall not be
installed or placed where they will interfere with the free and safe passage of public traffic.
If the Contractor fails to keep the site clean from all rubbish and debris, as determined by the CM, the
Contractor shall promptly perform cleanup tasks necessary to comply with the cleanup requirements,
when directed by the CM, at no additional cost to the Authority.
1.6 Site Security
In addition to protecting workers, the public, and all other persons and entities, the CM shall assure that
all necessary actions are taken in accordance with the Contract Documents, to secure the job site and
protect material, equipment, and work-in-place. These actions may include, but are not be limited to,
fencing, barricades, lighting, and security guards.
1.7 Record-keeping and Posting
The CM shall assure that all Contractors and subcontractors comply with the record-keeping
requirements of Cal/OSHA, OSHA, the Authority, these procedures, and the PSP, including:
• OSHA 300 logs
• Medical treatment and follow-up
• Substance abuse tests
• Cranes
• Heavy equipment inspection logs
• Fall protection inspections
• AHAs
• Training
• Inspections
• Audits
• Meeting minutes
• Others, as required in accordance with the Contract Documents and these procedures
The CM shall be aware that the Authority, at its sole discretion, may audit the safety programs of all
entities under contract with the Authority for compliance with all safety plans, these procedures, OCTA
Level 1 Safety Specifications, Cal/OSHA, OSHA, the Contract Documents, and all other regulations and
requirements. Elements may include, but are not limited to, those listed above. At a minimum, all
documents shall be maintained for the duration of the project. In addition to record-keeping, the audit
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Management Safety
may include field regulatory compliance inspections and interviews with key supervisory and
management personnel. The CM shall support and cooperate with these audits.
The CM shall assure that the project displays all Cal/OSHA and OSHA posters in conspicuous places,
including one poster on the main bulletin board. All other California Labor Law requirements shall be
posted as required in accordance with the labor laws.
2 Project Safety Plans

2.1 CM Project Safety Plan
The CM shall develop a PSP that outlines safety and health requirements for the project work. When
implemented, these requirements shall take all precautions and follow all procedures for the safety and
protection of all project site personnel and all other persons, including, without limitation, the
employees, agents, guests, visitors, invitees, and licensees of the Authority who may be involved, as well
as the public. This requirement applies continuously and is not limited to normal working hours. The PSP
shall be in compliance with CCR, Title 8, Sections 1509 and 3203. The PSP shall be submitted for review
and acceptance by the Authority within 30 days after receiving NTP. Under no circumstances shall the
CM perform any field operations without an approved PSP and AHAs.
At a minimum, some of the elements expected in the PSP are:
• Accountability/responsibility/key line personnel
• Daily morning safety huddle with field personnel
• Statement of safety and health policy
• Identification of competent/qualified persons
• Scope of work evaluation
• Hazard/risk/exposure assessment
• Control measures/AHAs
• Periodic safety audits/inspections
• Weekly safety planning – weekly look-ahead plan
• Compliance requirements and policy
• Written progressive disciplinary program
• Hazard correction system
• Training and instruction
• Project site orientation
• Communication system
• Record-keeping
• Accident/exposure investigation
• Site-specific emergency action plan
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Management Safety
• Site-specific medical emergency plan

• Hazard communication procedure
• Trenching and shoring procedure (if applicable)
• One hundred percent fall protection procedure (if applicable)
• Other written programs as specified by a regulatory agency or the Contract requirements
The PSP shall be updated as conditions or requirements change and will be submitted for approval as
addenda. All CM and subcontractor personnel must understand and implement these revisions.
Acknowledgement shall be documented in writing.
2.2 CM Subconsultant Safety Plans
The CM shall assure that all subconsultants establish their own Safety Plan (SCSP) for their scope of
work, and adopt the CM PSP. This Safety Plan shall be presented for review and acceptance to the CM
within 10 days after NTP. At a minimum, the Safety Plan must meet the requirements of the PSP and
provide safety equipment and safeguards suitable for the hazards involved. The PSP may not cover all
potential hazards on the project; therefore, the CM shall assure that each subconsultant’s plan makes
appropriate safety and health information available for its specific project tasks.
All PSP requirements for the CM’s personnel (e.g., training, substance abuse screening, incident
reporting, etc.) shall also apply to subconsultant personnel and shall be spelled out in their respective
Safety Plan. The CM is responsible for overseeing compliance of the Subconsultant Safety Plans.
2.3 Contractor Site Health and Safety Plan Submission Review
The CM shall assure that all Contractors and subcontractors submit their Site Health and Safety Plan for
review and approval prior to beginning work. The CM’s Safety Officer shall review the Site Health and
Safety Plan for adequate compliance with the Contract Documents, and in accordance with site-specific
requirements. At a minimum, the Contractor’s and subcontractor’s Safety Plans must meet all applicable
requirements of Cal/OSHA Title 8 regulations and:
• Contractor’s Safety Officer qualifications
• Injury and illness prevention program
• Scope of work evaluation describing sequence of work and associated hazardous activities
• AHAs
• Site-specific safety and health orientation program for employees to address location-specific
issues
• Site-specific Emergency Action Plan that includes a list of key management personnel and
contact information (home, office, project site, and cellular telephone numbers)
• Site-specific Medical Emergency Plan that lists qualified first aid personnel by name and includes
copies of their current certificates
• List of key line management personnel, by name and position, who will enforce the plan
• List of key competent or qualified personnel by name and a copy of current documentation
identifying specific certified competency (e.g., scaffolding, excavations, fall protection)
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Management Safety
• Progressive disciplinary program for violations of safety procedures

• Trenching and Shoring procedure (if applicable)
• One Hundred Percent Fall Protection procedure (if applicable)
• Confined space entry (if applicable)
• Lock Out/Tag Out procedure (if applicable)
• All other written programs as required by regulation and applicable to this project
• Contractor task hazard planning
• Subcontractor weekly safety planning submission
• Contractor daily task safety planning
The subcontractors shall also develop Safety Plans that incorporate requirements from the Contractor’s
Site Health and Safety Plan, and identify the following additional items, at a minimum:
• Responsibilities
• Compliance
• Communication
• Hazard assessment
• Accident exposure and investigation
• Hazard correction
• Training and instruction
• Record-keeping
All documentation shall be maintained for the
duration of the project and made available to the
Authority for review and auditing purposes.
2.3.1 Competent Person Submission
Review
The CM, Contractors, and subcontractors must
identify the Cal/OSHA and OSHA-regulated and
certified competent persons for work or tasks that
require this level of expertise. The supervisor of
the competent person must certify the specific
competencies of the named competent person in
writing.
The supervisor and competent person of each firm
shall sign and submit Form-CM504, Competent
Person Designation, to the CM for review and
acceptance a minimum of five days prior to any
activity requiring a competent person. Competent
Form-CM504 Competent Person Designation
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person documents can be submitted with each firm’s respective PSP or subcontractor safety plan. Any
updates or changes must be submitted to the CM a minimum of five days prior to activities being
performed. The Competent Person form, along with a wide range of activities that require this need, is
shown in Attachment A of this procedure. In addition, a spreadsheet listing all competent persons,
associated competencies, and company name shall be provided to the CM prior to any activities
requiring these personnel.
If the CM, Contractor, or subcontractor is performing activities that require specialized training (i.e.,
confined space entry, aerial lift operation, excavation/trenching, scaffold use, etc.), then copies of
training certifications must be provided for applicable employees and supervisors. All documentation
shall be made available to the Authority for review and auditing purposes, as requested.
3 Responsibilities
3.1 Five Hazard Control Measures – Order of Precedence
The CM shall assure that site hazards and hazards resulting from construction activities are controlled
using one or more of the control measures listed below in order of precedence:
1. Engineer/design to eliminate or minimize hazards. A major component of the design phase is
to select appropriate safety features to eliminate a hazard and render it fail-safe or provide
redundancy using backup components.
2. Guard the hazard. Hazards that cannot be eliminated by design must be reduced to an
acceptable risk level by safety guards or isolation devices that render them inactive.
3. Provide warnings. Hazards that cannot be totally eliminated by design or guarding are
controlled through using a warning or alarm device.
4. Provide special procedures or training. When design, guarding, or warnings cannot eliminate
hazards, the CM must assure procedures are developed, and training and audits are performed
to assure safe completion of the work. Training cannot be a substitute for hazard elimination
when life-threatening hazards are present.
5. Provide PPE. To protect workers from injury, the last method in the order of precedence is the
use of PPE such as hard hats, gloves, eye protection, personal fall protection, and other
protective equipment with the understanding that bulky, cumbersome, and heavy PPE is often
discarded or not used, rendering this method ineffective without proper controls.
3.2 Site Safety Inspections
In addition to assuring Contractors and subcontractors, the CM shall implement an inspection program
to conduct regular construction site inspections that meet, at a minimum, CCR, Title 8, Sections 1509
and 3203 and all other construction safety orders (CSOs) requiring specified inspection schedules. These
inspections involve a daily and weekly walk-around of the project site that focus on safety. The CM,
along with the Contractor representative, conducts these safety inspections to identify and correct
unsafe acts and conditions, as well as safe work practices and accomplishments.
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In addition to regulatory required inspections,

weekly documented inspections are performed
by the CM. All weekly documented inspections
shall be maintained and made available to the
Authority for review and auditing purposes, as
requested. Site-specific inspection criteria to
include in the daily and weekly inspection forms
can be developed using the Construction Safety
Audit Guide provided in Attachment D of this
procedure.
Any identified non-conformances shall be
assigned “corrective actions” and remedied
immediately by the responsible party. All
“corrective actions” shall be tracked to
completion and closed on the documented
forms. If formal notice to the Contractor or
subcontractor is required, the CM shall use the
Form-CM505, Notice of Safety and Health
Violations, as provided by the Authority.
Form-CM505 Notice of Safety and Health Violation
3.2.1 Office Safety Inspections
It is expected that the Safety Officer will conduct office safety inspections each month. The CM shall
maintain copies of all audit and inspection documentation and keep it on file for the duration of the
project. Records should include the name of the persons conducting the inspections, unsafe conditions
and work practices identified, and actions taken to correct unsafe conditions and work practices. The
CM shall develop an office safety audit list for the periodic inspections. A general listing of elements for
inspection is included in Attachment C of this procedure.
3.3 Safety and Health Enforcement
The CM shall monitor and assure that the Contractor follows all applicable Cal/OSHA requirements; CCR,
Title 8, Chapter 4; Authority, federal, state, and local requirements and regulations; Contract
Documents; and manufacturer requirements, where applicable. In the event of conflicting requirements,
the more stringent requirement shall govern.
If the CM is notified by the Authority, or any public agency with jurisdiction, of any claimed dangerous
condition at the project site, the CM shall assure that immediate action is taken to rectify the condition.
In addition, if any employee associated with the project appears to the Authority to be incompetent or
to act in a disorderly, improper, or unsafe manner, the CM shall assure that such person is discharged
immediately on the request of the Authority, and such person shall not again be employed on the
project.
The CM shall assure and maintain a working environment free of personal harassment and intimidation
between the Contractor's personnel and the CM/Authority employees, city employees, and members of
the public at all Authority project sites and facilities at which the Contractor's personnel are assigned to
work. Conduct that creates an intimidating, hostile, or offensive working environment is prohibited. The
Contractor’s failure to comply with the above will be considered a material breach of the Contract.
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3.4 Permits
The CM shall assure that all permits have been acquired prior to work activities requiring such permits.
The following list is representative, and not all-inclusive, and the responsible employer must identify and
obtain all regulatory required permits:
• Project or annual
• Tunneling
• Demolition of structures
• Erection and placement of structural steel
• Forming or placement of concrete structures on steel structures
• Trenching or excavating
• Erection of scaffolding, vertical shoring, or falsework
All regulatory permit requirements shall be in compliance with CCR, Title 8, Section 341. Additional rail
company, utility, city, local, and state permits may be required in accordance with the Contract
Documents. All permits shall be maintained and made available to the Authority for review and auditing
purposes.
3.5 Activity Hazards Analysis
The CM shall assure that provisions of the AHAs are included in the Contractor’s Site Health and Safety
Plan and are developed for all aspects of the work performed on the job site. AHAs shall be submitted to
the CM and the Authority for review no
later than five working days prior to the
start of any new work/operation being
performed. AHAs include the following
steps:
1. Identify the task and break it
down into steps.
2. Identify the hazards associated
with each step.
3. Identify the specific hazard
control measure used for each
step in accordance with the
order of precedence method of
these procedures.
The CM can use the following list to Form-CM503 Activity Hazard Analysis
determine and assist the Contractor in
developing the construction AHAs for various high-hazard operations and critical tasks. The list is not all-
inclusive of operations requiring AHAs, and the responsible employer must identify all high-hazard
operations for development of required AHAs.
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1. Pre-mobilization inspection. Conduct an initial site inspection for pre-job planning. The
inspection should cover potential exposures such as the location of electrical lines, underground
utilities, nearby structures, traffic conditions, site security needs, public exposures general
liability, and other potential exposures.
2. Traffic controls. Plan traffic controls for delivery of equipment or materials and equipment
operations. Control measures include warning signs, flagmen, traffic stoppage and control, and
unloading procedures.
3. Material storage. Consider where materials and equipment will be stored on site. Implement
measures to protect against vandalism and theft. Also consider the hazards that may exist for
workers when storing or retrieving materials.
4. Material handling. Consider the size and weight of loads, how equipment will be used, how
equipment is set up and protected, and safety and maintenance inspections of material handling
and rigging equipment. Provide training to employees using the equipment and consider
ergonomic issues when engaged in manual material handling activities.
5. Heavy equipment controls. Evaluate the use of heavy equipment in operations such as site
clearing, grading, excavation, or lifting. Controls should include equipment alarms, use of
qualified operators, pre-use inspections, and all applicable Cal/OSHA regulatory requirements.
6. Fall protection. Use fall protection when employees are working 6 feet or more above the
normal work surface level. Consider how and where ladders, scaffolding, work platforms, or lifts
(including scissors lifts or bucket lifts), roofing work, and leading edges are used. Evaluate
protective measures such as Fall Protection Plans, use of personal fall arrest systems, and work
surfaces for slip-and-fall hazards and protection.
7. Steel erection. Steel erection operations
must comply with CCR, Title 8, Section
1710 and all other applicable CSOs, as well
as the Steel Erection Negotiated
Rulemaking Advisory Committee.
8. PPE. Consider operations where PPE is
required and the type required (e.g., eye,
head, foot, respiratory, hearing, and hand
protection and types of special protective
clothing).
9. Portable hand and power tools. Evaluate
tools to be used and the ways that workers
can be protected from the hazards
associated with their use. Consider tool
maintenance requirements, electrical
requirements, use of ground fault circuit
interrupters, grounding, extension cords,
tool inspection procedures, and employee
training.
Form-CM508 AHA Training Record
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10. On-site traffic. Internal Traffic Control Plans should include ways to restrict the number of
vehicles on site, the flow of vehicles through the site, haul roads, speed controls, subcontractor
employee parking areas, merging of site traffic with local vehicle traffic, pedestrian controls in
traffic zones, and access by emergency vehicles and operator controls.
11. Employee training. Review the safety training needs of employees. Training should include
initial site safety orientations and hazard communication training. Some operations (e.g.,
excavation, scaffold erection, tunneling, confined space, and heavy equipment operations) may
require special training that should be checked and evaluated.
12. Confined spaces. Confined space work requires special consideration, evaluation, and controls.
Each space should be reviewed for regulatory compliance.
13. Tunneling. Tunneling has specific requirements that involve the local Mine Safety and Health
Administration officials and California Division of Industrial Safety for Tunneling.
14. Crane operations. All lifts must be planned in accordance with the limitations of cranes used
and any special requirements for operations, maintenance, and heavy lifting.
15. Excavations and trenching. These activities require complete analysis of existing underground
exposures, soils, sloping and shoring methods, equipment, and engineering if the depth of a
trench or excavation exceeds 4 feet. An AHA is required for all trenching operations.
16. Concrete formwork and placement. Adequate access and egress to elevated concrete work is
essential to the safe and quality placement of concrete work. Work involving concrete should
consider protective measures such as staging, platforms, handrails, and other passive forms of
employee protection.
17. Mechanical, electrical, and piping. Evaluate
all work associated with the installation,
repair, and maintenance of mechanical,
piping, and electrical work for interferences,
lockout/tagout, line break procedures, and
applicable Authority and Utility owner
requirements.
The CM shall assure that complete AHAs are available
at the corresponding work location during all
activities. Supervisors shall evaluate work locations
daily for changes in conditions or operations and
make necessary revisions to the AHA associated with
the operation. All AHA documentation shall be
maintained and made available to the Authority for
review and auditing purposes, as requested.
3.6 Daily Safety Huddle
The CM shall assure that Contractor field supervisors
conduct daily safety huddles with craft employees to
review the day’s work and to remind employees of
safe work procedures established by the AHAs for the Form-CM506 Daily Safety Huddle Attendance
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tasks at hand. Safety huddles are informal and brief, usually five minutes, and all workers must
participate. Supervisors should always ask whether any workers have questions before they are released
for work. Daily safety huddles are a recommended tool to be used in conjunction with AHAs as work
conditions change or new hazards are introduced throughout the course of the day, or that may not
have been identified during the initial AHA.
3.7 Weekly Toolbox Safety Meetings
The CM shall conduct toolbox safety meetings at least once per week and shall attend the Contractor
safety meetings as appropriate. These meetings include topics relevant to upcoming work and may
include reviews of recent incidents. It is expected that these meetings will be documented by the CM.
All documentation, including training content and attendance, shall be maintained and made available
to the Authority for review and auditing purposes.
3.8 Incident/Accident and Near Miss Investigations
The CM shall assure that all incidents and significant near misses involving the CM, Contractors,
subcontractors, vendors, visitors, or members of the general public that arise from contracted
construction activities are investigated by an individual or team with training in accident investigation
and root cause analysis. A comprehensive investigation of all injuries, incidents, and near misses shall be
performed and coordinated with the Contractor’s safety team, and a written report submitted to the
Authority within 24 hours of the incident. The initial report shall use the latest Form-CM501,
Incident/Accident Report, and Form-CM502, Near Miss Report, as provided by the Authority. At a
minimum, the complete written report shall include the following:
• Location, date, and time of the incident
• Description of the operation being performed
• Outline of the sequence of events leading to
the incident
• All personnel involved with the operation and
incident, and witnesses and associated
statements
• Corrective measures to prevent recurrence
A serious injury or incident may require a formal
incident review (root cause analysis) and written
report to be submitted by the CM, at the discretion of
the Authority. The incident review and investigation
shall be completed within five working days or seven
calendar days of the incident, and a written incident
report submitted to the Authority within 10 calendar
days of the incident.
Form-CM501 Incident/Accident Report
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At a minimum, the complete formal incident report shall include the following details, in addition to the
comprehensive investigation information:
• Action taken for the welfare of the injured person
• Status report of the injured
• Causation factors leading to the incident
• Root cause
• Contributing causes
• Detailed recovery plan identifying corrective measures and implementation of each to prevent
recurrence
• Actions to enhance safety awareness
The Authority defines a serious incident to include, but not be limited to, an injury or illness to one or
more employees occurring in the place of employment or in connection with any employment, which
requires in-patient hospitalization for a period in excess of 24 hours for other than medical observation,
or in which an employee suffers the loss of any member of the body, or suffers any serious degree of
physical disfigurement, or property damage that causes disruption of operations, delay of work
schedule, serious injury, third-party or other property damage, or emergency services.
3.9 OSHA Site Visit
In the instance of an OSHA Compliance Officer (CO) arriving at the project site without advance notice,
the CM shall assure that all project employees are aware of the necessary actions to take. This shall be
included in the employee and project site orientations for all project personnel.
Upon their arrival, the CO shall identify themselves and present credentials. The CM, Contractor, or
subcontractor employee who has initial contact with the CO shall politely request that they “stand by”
to allow the employee to notify their supervisor. At this point, the employee shall follow their matrix of
authority and each successive person will do the same. The CM shall assure that all required project
personnel are notified, including the Authority. Upon notification, the designated and required
responsible management persons and employee representatives from the Authority, CM, Contractor,
and subcontractors will meet with the CO and begin the opening conference. Refer to CCR, Title 8,
Chapter 3.2, Subchapter 1, and 29 CFR 1903 for OSHA Inspection procedures.
Prior to any field inspections, the designated persons shall inform the CO of all project-required PPE. The
designated persons shall also assure that they bring the same equipment the OSHA CO brings on any
field inspections that are conducted. If the CO writes a note, the designated representatives shall make
the same comment on their notes. If the CO takes photos or videos of any condition or action, the
designated representative shall take the same photo or video.
Any observations of unsafe acts and conditions or reasonable requests made by the CO shall be
corrected immediately by the Contractor.
The CM will be responsible for providing a written report to the Authority summarizing the OSHA site
visit, findings, and corrective actions, along with resolution of any outstanding items.
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4 Safety Training Requirements

Cal/OSHA regulations require specific training in certain circumstances. Based on the scope of work, the
CM shall assure that all project personnel, including the CM, subconsultants, Contractor, and
subcontractors performing operations in these circumstances have received adequate training in
accordance with applicable regulations. Documentation of training for each employee should include
their name or other identifier, training dates, type of training, and names of the instructors. All
documentation shall be maintained and made available to the Authority for review and auditing
purposes.
4.1 Project Safety Orientation
The CM shall assure that a comprehensive site-specific orientation that focuses on health and safety
hazards is conducted for all CM project personnel and all other persons, including, without limitation,
the employees, agents, and licensees of the Authority who may be involved. The CM shall assure that a
project employee familiar with the potential hazards on the project and who has received orientation
escorts guests, visitors, suppliers, vendors, and invitees.
At a minimum, orientation topics shall include the following:
• PSP overview
• First aid kit and eye wash station locations
• Heat-related illness
• Material Safety Data Sheet (MSDS) information location
• Fall protection information
• Safety roles and responsibilities, including names of personnel responsible
• Project requirements/rules and disciplinary policies
• Designated smoking, eating, and parking areas
• Fire protection and prevention, including hot work permitting
• Security/site control requirements
• Applicable Cal/OSHA Chapter 4 Regulations and others as required
• Authority and CM requirements
• Site description and maps
• Emergency/evacuation plans
• Medical Emergency Plan
• Emergency phone numbers
• Reporting incidents and unsafe conditions
• Site Specific hazards - safety, health, and other hazards at the site
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• General site safety and health procedures - work practices by which a worker can minimize risk
from hazards
• Review of all activities on site and related AHAs
• Safe use of engineering controls and equipment on site
• Proper use of PPE
• Hazard communication
• Good housekeeping practices
• Drug free workplace and substance abuse testing
• PSP overview
All new employees on the project, including new hires and transfers, must attend the orientation on
their first day and sign an acknowledgment form indicating they attended and understood the
orientation. Any employee who is unsure of any information presented in the orientation must request
clarification. Employees who do not participate in the safety orientation or refuse to sign the
acknowledgment shall not work on the site. The CM shall provide a hard hat sticker, orientation card, or
something similar to identify employees who have received the safety orientation. The CM shall
maintain copies of all forms and keep them on file for the duration of the project. The time and location
of orientations and all documentation shall be made available to the Authority for attendance and
auditing purposes. A sample Safety Orientation and Safety Orientation Acknowledgement form are
provided in Attachment B of this procedure.
4.2 Activity Hazards Analysis Training
The CM shall assure that after an AHA is complete and submitted to the Authority for review, the
responsible Contractor supervisor conducts a training session with all employees involved with the
upcoming task. The training may be informal and at the site where the task is performed. Employees
should be given an opportunity to provide input regarding task steps, hazards identified, and
appropriate control measures. All personnel involved in the operation must attend the training and sign
the AHA acknowledging their understanding of the operation and associated hazards and controls. All
new employees introduced to the operation shall receive training on the AHA. A copy of the AHA shall
be maintained at the location of the activity for employees to review as necessary. As conditions and
hazards change for the specific task, the AHA shall be modified or the Daily Safety Planner can be used
to document training on any of the changes.
All signed AHAs and associated Daily Safety Planners shall be maintained and made available to the
Authority for review and auditing purposes.
4.3 Railroad Work and Safety Training
The scope of work for the project may require cooperation with the Burlington Northern Santa Fe
(BNSF) Railway Company and the Southern California Regional Rail Authority (SCRRA), also known as
Metrolink. The CM shall assure that all work is coordinated with BNSF and Metrolink and full compliance
is achieved with the Construction and Maintenance Agreements (C&M Agreements) and Contract
Documents. During the performance of certain work, the Railroads will provide flagmen. The CM shall
assure the appropriate Railroads are notified a minimum of 30 days prior to the operation requiring
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flagmen in accordance with the corresponding C&M Agreement. The CM shall also assure that the
appropriate Railroads and the Authority are notified a minimum of 30 days prior to commencing any
work on the Railroads’ property or near their tracks in accordance with the corresponding C&M
Agreement.
The CM shall assure that pre-construction and pre-mobilization meetings, AHAs, daily huddles, and all
other applicable risk mitigation tools are conducted prior to work being performed on the Railroads’
property or near their tracks. The CM shall also assure that the appropriate Railroad, Authority,
Contractor, utility company, and other required representatives are invited to the meetings and any
applicable training sessions. All required Railroad-specific Safety Plans shall be developed and presented
for review and acceptance to the CM a minimum of 20 days prior to the date that the plan is required to
be submitted to the Railroad. If any request from the Railroad or Authority differs from this time period,
the more stringent time period shall govern.
The CM shall assure that all PPE requirements are complied with when project personnel are in the
Railroad work window. The PPE shall meet all applicable Railroad, Cal/OSHA regulations, and ANSI
specifications. Refer to the C&M Agreements and the corresponding Web site to gain additional data
and contact information.
• http://www.contractororientation.com/(BNSF)
• http://www.metrolinktrains.com/(Metrolink)
The CM shall assure that all training requirements are completed prior to any personnel accessing the
Railroads’ right-of-way to perform any project-related work. Employees shall have appropriate
documentation on their person indicating they have received the required railroad training (i.e., hard
hat sticker, certification card, or similar). All documentation shall be maintained and made available to
the Authority for review and auditing purposes. Personnel trained and authorized to work in railroad
rights-of-way shall be included in the training log.
4.3.1 Flagging (Other than Railroad Right-of-Way Flaggers)
Flaggers for railroad work will be provided by the Railroads upon request by the Contractor or Authority
depending on the Contract language.
In some cases, the scope of work for the project may require Contractor flaggers to be used at non-
railroad right-of-way locations on the construction site where barricades and warning signs cannot
control the movement of traffic. Unless otherwise noted in the Contract Documents, the CM shall assure
that the deployment of flaggers is in accordance with the 2010 edition of the Caltrans Department of
Transportation publication California Manual on Uniform Traffic Control Devices, also called the
California MUTCD 2010, and CCR, Title 8, Section 1599.
The CM shall also assure that the Contractor’s flaggers are trained, provided with necessary equipment
in good repair, and fitted with PPE and garments in accordance with CCR, Title 8, Section 1599 and
ANSI/ISEA 107-2004 Standard for High Visibility Apparel and Headwear, or the most current edition.
Documentation of training for each employee should include their name or other identifier, training
dates, type of training, and name of the instructors. All documentation shall be maintained and made
available to the Authority for review and auditing purposes.
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5 Reporting
5.1 Emergencies
To accurately measure performance and comply with the Authority and Title 8 CCR Section 1512
requirements, the CM, contractors, and subcontractors shall have an emergency communications
system in place. This system shall include procedures to contact the appropriate emergency services
group, internal notifications, and Authority project personnel.
The emergency communications system shall be in place and distributed to all parties involved with the
project prior to any work being performed on the site.
5.2 Metrics
The CM shall include safety metrics in the monthly report to the Authority. The CM shall establish a
measurement system to provide indicators of project safety performance, including, but not limited to,
the following metrics:
• Consecutive days without a recordable injury
• Consecutive days without a days-away-from-work incident
• Total OSHA recordable injuries and illnesses segregated by medical treatment cases
o Recordable cases
o Restricted workday cases, including number of restricted days
o Lost workday cases, including number of lost work days
• Recordable incident rate
• Days away from work incident rate
• Number of employees on the project
• Hours worked by each firm associated with the project (month, year-to-date, project
cumulative)
• Training performed and number of attendees
• Number of safety meetings conducted and total attendees
• Number of documented inspections performed
• Number of AHAs conducted and total attendees
5.3 Incident Reporting
Employees involved in or witnessing an injury, incident, or near miss must immediately report it to the
responsible supervisor or foreman, who in turn will immediately relay the report to the appropriate
person in their chain of command to initiate the investigation procedure. The CM shall immediately
(within 30 minutes of knowledge) notify the Authority, or designated representative, of any of the
following incidents including the CM, Contractor, subcontractors, vendors, visitors, or members of the
general public that arise from the contracted construction activity:
• Damage to Authority projects or property or incidents involving third-party property damage
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• Reportable and/or recordable injuries as defined by OSHA or other medical emergencies

• Incidents impacting the environment, i.e. hazardous material spills or releases, fires, or
explosions on Authority projects or property
The CM will assure that written incident reports are prepared and submitted to the Authority within the
required time periods. Prior to submittal to the Authority, the CM will review the reports to assure that
all applicable information is included, accurate, and complete.
The CM shall assure that the nearest District Office of the Division of Occupational Safety and Health is
immediately notified, by telephone or telegraph, of any serious injury, illness, or death of an employee
occurring in the place of employment or in connection with any employment. This shall be performed in
accordance with CCR, Title 8, Sections 330 and 342. The Authority shall be notified as stated above.
6 Medical Requirements and Workers Compensation

The CM shall assure that the following medical requirements have been established for the CM,
contractors, and subcontractors associated with the project.
6.1 Substance Abuse Tests
The CM shall establish and implement an alcohol and drug program that complies with 41 U.S.C.
sections 701-707, (the Drug Free Workplace Act of 1988).
The CM shall assure that pre-employment, post incident, reasonable suspicion, and random drug and
alcohol screenings are performed in accordance with local union agreements, CM and contractor
Contract Documents, and state requirements. The CM shall maintain copies of all substance abuse tests
and keep them on file for the duration of the project. All documentation shall be made available to the
Authority for auditing purposes.
6.2 Medical Services and Panel of Physicians
The CM shall assure that the CM, contractors, and subcontractors each establish a panel of medical
providers for the project and select medical facilities to treat work-related injuries and illnesses. The
respective PSPs and SCSPs shall include the facility name, location (including map and driving directions),
and contact information. This information shall also be made available to all respective project
employees and posted on the safety bulletin board.
6.3 Emergency Medical Response
The CM shall assure that the CM, Contractors, and subcontractors on each project display posters with
emergency telephone numbers and locations (including map and driving directions) of emergency
facilities in visible locations throughout the project area including, but not limited to, the safety bulletin
board. The following information shall be provided:
• Hospital name, location, and phone number
• Physician name, location, and phone number
• Police department name, location, and number (non-emergency and 911 for emergency)
• Fire department name, location, and number (non-emergency and 911 for emergency)
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• Emergency medical services name, location, and number (non-emergency and 911 for
emergency)
6.4 Workers Compensation Program
This project does not participate in an owner-controlled insurance program; therefore, the CM,
Contractors, and subcontractors must each establish their individual workers compensation carrier. If a
workers’ compensation loss occurs, each firm will handle their own communication with their respective
carrier.
6.5 Medical Surveillance and Medical Monitoring
The CM shall assure that all CM, Contractor, and subcontractors engaged in project activities with
potential health hazards that result in exposures at or above OSHA permissible exposure limits
implement the necessary medical surveillance and monitoring for personnel. The monitoring programs
may include, but are not limited to, the following:
• Asbestos
• Heat stress
• Lead
• Noise
• Silica
• Respiratory protection
• Discovery of other hazardous materials
These shall be performed in accordance with all applicable regulatory requirements including, but not
limited to, CCR, Title 8, Sections 1521, 1529, 1530, 1531, 1530.1, 1532.1, 1538, 3395, 5097, 5144, and
5155.
The CM shall also assure that project-specific health and safety programs are prepared for these topics
and other project-related activities that require written programs.
7 Other Safety Requirements

7.1 Hazard Communication
The CM shall comply with, and assure the Contractor’s compliance with, CCR Title 8, Section 5194,
Hazard Communication Standard. Prior to use on Authority property and/or project work areas, the
Contractor shall provide copies of MSDS for all chemical products used, if any.
All chemicals including paint, solvents, detergents, and similar substances shall comply with South Coast
Air Quality Management District (SCAQMD) rules 103, 1113, and 1171.
The CM shall not permit any hazardous substances to be brought onto or stored at the project site or
used in the construction of the work, except for specified materials and commonly used construction
materials for which there are no reasonable substitutes. All such materials shall be handled in
accordance with all manufacturers’ guidelines, warnings, and recommendations, and in full compliance
with all applicable laws. All notices required to be given, in accordance with applicable laws with respect
to such materials, shall be given by the CM.
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The CM shall assure that no intentional release or disposal of hazardous substances occurs at the project
site or into the soil, drains, surface or ground water, or air. For Contract Document purposes,
“hazardous substance” means any substance or material that has been determined, or during the time
of performance of the work is determined, to be capable of posing a risk of injury to health, safety,
property, or the environment by any federal, state, or local governmental authority.
In the event of equipment dripping oil or fluids causing contamination of soils or damage to finished
surfaces, the CM shall assure that a protective cover of heavy gauge, flame resistant, oil proof sheeting
is provided between the equipment and the earth or pavement so that no oil or grease contacts the
surface. This requirement is applicable to existing, finished, and unfinished areas.
In the instance of a spill or release, the CM shall assure that any soil contaminated by solvents, oils, or
any other substance, which may be harmful to plant life or the environment, is disposed of in
containers, removed from the site, and replaced with soil of equal quality prior to contamination.
In addition to written hazard communication programs including training, labeling, hazardous inventory
lists, MSDS, all other requirements of CCR, Title 8, Section 5194, and discussed in these procedures, the
CM shall also assure that MSDSs for all hazardous materials on site are submitted to the CM within 10
days after NTP. If any change in operations occurs or it is determined later that a material needs to be
used that an MSDS has not been previously submitted for, the CM shall assure the new information is
submitted to the CM and the Authority a minimum of 10 days prior to the material being used and
associated activity being performed.
7.2 Aerially Deposited Lead
The scope of work for the project may require the excavation, transportation, disposal, placement, and
handling of soils containing aerially deposited lead (ADL). ADL is defined as lead deposited within the
unpaved areas of the project right-of-way, primarily due to vehicle emissions. Materials with total levels
of lead greater than the total threshold limit concentration or solubility levels, as established by the
California Waste Extraction Test, and greater than the solubility threshold limit concentration
established by the CCRs shall be considered hazardous pursuant to the CCRs.
The CM shall assure that a project- and task-specific Site Health and Safety Plan is prepared to prevent
or minimize exposure to potentially hazardous levels of lead. The plan shall be submitted for review and
acceptance to the Authority at least 15 days prior to beginning any work in areas containing ADL. The
CM’s attention is directed to the CCRs and the Occupational Safety and Health Guidance Manual
published by the National Institute of Occupational Safety and Health, OSHA, and the U.S.
Environmental Protection Agency for elements of the project and the task-specific Site Health and Safety
Plan. At a minimum, the plan shall contain, but is not limited to, the following:
• Identification of key personnel for the project
• AHAs for work assignments
• Summary of risk assessment
• Air monitoring plan
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• PPE (i.e., protective clothing, respiratory protection, etc.)

• Delineation of work zones on site
• Decontamination procedures
• General safe work practices
• Security measures
• Emergency response plans
• Worker training
The Site Health and Safety Plan shall also use monitoring and exposure standards based on CSOs of the
CCRs and, at a minimum, shall also contain the following additional elements:
• Description of activities
• Specific means employed to achieve compliance
• Report of the technology considered
• Schedule for implementation of the program
• Work practice program
• Administrative control schedule
• Description of arrangements for information transfer between all project stakeholders
concerning potential exposure to lead and other relevant information
The plan shall be approved by a Certified Industrial Hygienist before submittal to the Authority. The CM
shall assure that the excavation, transportation, placement, and handling of soils containing ADL result
in no visible dust. A water truck shall be available at all times while performing earthwork, excavation, or
grubbing activities in work areas containing ADL at hazardous levels.
Excavation, reuse, and disposal of material with ADL shall be in accordance with all rules and regulations
of agencies including, but not limited to, the following:
• U.S. Department of Transportation (USDOT)
• U.S. Environmental Protection Agency (USEPA)
• California Department of Health Services (DHS)
• California Environmental Protection Agency (Cal EPA)
• Department of Toxic Substances Control (DTSC)
• Regional Water Quality Control Board (RWQCB)
• South Coast Air Quality Management District (SCAQMD)
• California Division of Occupational Safety and Health Administration (Cal/OSHA)
Prior to performing work in any areas containing lead, the CM shall assure that all personnel, including
the Authority and its consultants, complete a safety training program provided by the CM. The training
shall meet all requirements of the CCRs. The CM shall provide all PPE, training, and medical surveillance
Section V - Safety
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Management Safety
required by the Site Health and Safety Plan to all personnel, including the Authority and its consultants.
dates, type of training, and names of the instructors. All documentation shall be maintained and made
7.3 Hazardous Substances
The scope of work for the project may include areas where the presence of asbestos or other hazardous
substances are not shown on the plans or indicated in the project specifications. If a material is
encountered and is reasonably believed to be asbestos or a hazardous substance as defined in the CCR,
and the asbestos or hazardous substance has not been rendered harmless, the CM shall immediately
cease work in the affected area and report the unanticipated condition to the Authority in writing. Work
may continue in unaffected areas reasonably believed to be safe.
At the direction of the Authority and in accordance with the California Health and Safety Code, the CM
shall assure that a Department of Toxic Substances Control certified waste hauler transports hazardous
waste to an approved waste disposal facility. All waste profiling and manifesting shall conform to the
requirements of the Health and Safety Code.
In the event that underground tanks, vaults, or hazardous materials, not indicated to be removed, are
encountered during prosecution of the work, the CM shall immediately, and before disturbing such
conditions, notify the Authority in writing of the discovery.
If an investigation by the Authority determines the conditions to involve asbestos or hazardous waste
materials, as defined in the Health and Safety Code, and is required to be removed by the Authority, the
CM, if directed by the Authority, shall assure it is transported to a Class I, II, or III disposal site in
accordance with the provisions of existing law.
The CM shall assure that asbestos-competent persons receive any training in accordance with CCR, Title
8, Section 1529 and other requirements for identification of potential asbestos-containing materials.
7.4 Fall Protection
The CM shall assure that 100 percent fall protection is used when an employee is exposed to a fall
greater than 6 feet above a lower level. The CM shall assure that all fall protection equipment and fall
protection systems are designed, installed, and/or used in accordance with CCR, Title 8 standard railing
and personal fall protection regulations, engineering requirements, and/or manufacturers’ instruction
manuals. The CM shall assure that personal fall arrest equipment and systems are inspected, by the
user, prior to each use and periodically, by a competent person, in accordance with the manufacturers’
requirements. Competent person fall protection inspection documentation shall be maintained in the
project files and made available to the Authority for review and auditing purposes. All personal fall
protection equipment (i.e., harnesses, lanyards) shall meet OSHA requirements and be designed by a
certified fall protection manufacturer. All personal fall protection systems (i.e., horizontal lifeline
systems, anchorage connectors) shall meet OSHA requirements and be designed by a certified fall
protection manufacturer or a registered professional engineer licensed in the State of California.
Section V - Safety
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Management Safety
The CM shall assure that a written fall protection plan and erection and dismantling plan, meeting CCR,
Title 8 regulations for scaffold erectors, is submitted to the CM at least 10 days prior to the start of
scaffold erection activities.
dates, type of training, and name of the instructors. The training shall include, but is not limited to, the
proper use, installation, operation, maintenance, inspection, and limitations of the equipment and
systems. All documentation shall be maintained and made available to the Authority for review and
auditing purposes.
7.5 Excavation/Trenching
The CM shall assure that all excavations and trenching operations comply with CCR, Title 8, Sections
1539 through 1541.1 and Authority requirements. For all excavations 5 feet or more in depth, a detailed
plan showing the design and details of the protective systems shall be submitted to the CM. The
detailed plan shall include any tabulated data and design calculations used in the preparation of the
plan. Detailed plans of protective systems for which the CSOs require design by a registered Professional
Engineer shall be prepared and signed by a registered Civil Engineer in the State of California. It shall
include soil classification, soil properties, and soil design calculations that demonstrate adequate
stability of the protective system, and any other design calculations used in the preparation of the plan.
No plan shall allow the use of a protective system less effective than that required by the CSOs.
Excavations shall not begin until the detailed plans have been reviewed and accepted by the CM.
If the detailed plan includes designs of protective systems developed only from the allowable
configurations and slopes, or Appendices contained in the CSOs, the plan shall be submitted to the CM
and the Authority at least seven days prior to excavation. If the detailed plan includes designs of
protective systems developed from tabulated data, or designs for which design by a registered
Professional Engineer is required, the plan shall be submitted to the CM at least 21 days prior to
excavation.
The CM shall consider all excavations to be class “C” soil, unless documented testing in accordance with
CCR, Title 8, Section 1541.1 supports a class “B” soil classification and is confirmed and stamped by a
California registered Professional Engineer. In no case will excavations be classified as class “A” soil.
Excavations 20 feet or greater in depth shall be engineered and a plan stamped by a California
registered Professional Engineer.
7.6 Traffic Control and Worker/Public/Pedestrian Protection
The CM shall assure that traffic control practices, devices, and equipment conform to engineered plans
designed in accordance with the 2010 edition of the Caltrans Department of Transportation publication
California Manual on Uniform Traffic Control Devices, also called the California MUTCD 2010, the 2010
edition of the California Sign Specification, the 2004 edition English version of the FHWA Standard
Highway Signs book with Interim Releases for New and Revised Signs as posted on the FHWA Web site
(http://mutcd.fhwa.dot.gov/shsm_interim/index.htm), CCR, Title 8, Section 1598, and all Contract
Documents.
Roadway excavations and the construction of embankments shall be conducted in such a manner as to
provide a reasonably smooth and even surface satisfactory for use by public traffic at all times. Sufficient
fill at culverts and bridges to permit traffic to cross shall be placed in advance of other grading
operations. At the discretion of the Authority, roadway cuts shall be excavated in lifts, embankments
Section V - Safety
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Management Safety
constructed part width at a time, and construction alternated from one side to the other and traffic
routed over the side opposite the one under construction to provide protection and safety for the
traveling public.
The CM shall assure that any operation that creates a condition hazardous to the public is corrected
immediately using fences, temporary railing, barricades, lights, signs, or other devices to prevent
accidents, damage, or injury to the public. Temporary railing (Type K) shall be installed between a lane
open to public traffic and an excavation, obstacle, or storage area in accordance with the Contract
Documents. Suspended loads or equipment shall not be moved or positioned over public traffic or
pedestrians.
The CM shall assure that pedestrian access facilities are provided through construction areas within the
right-of-way as specified in the Contract Documents. The surface shall be skid-resistant and free of
irregularities. Hand railings shall be provided on each side of the walkway, as necessary, to protect
pedestrian traffic from hazards due to construction operations. Protective overhead covering shall be
provided, as necessary, to assure protection from falling objects and drip from overhead structures.
Railing shall be constructed of wood, S4S (surfaced on four sides), and shall be painted white. All railings,
overhead covers, and walkways shall be maintained in good condition and shall be kept clear of
obstructions.
7.7 Construction Access/Egress
The CM shall assure that a Contractor-submitted plan, signed by a professional Civil Engineer registered
in the State of California, is prepared depicting construction access and egress points to work areas. The
plan shall include associated barricades, crash cushions, temporary railing, signs, and other devices
required to prevent accidents, damage, and injury to the public. The plan shall be submitted to the
Authority for review and acceptance.
The CM shall assure that the Contractor has all construction equipment, personnel, vehicles, and
deliveries enter into and egress from these work areas through the existing public right-of-way and in
the direction of traffic flow. The work areas shall be secured from public access. All trucks or other
mobile equipment, which leaves a roadway lane that is open to public traffic to enter a construction
area, shall turn on their warning beacons and slow down gradually in advance of the location of the
turnoff to give following public traffic an opportunity to slow down. Vehicles, whether empty or loaded,
shall in all cases yield to public traffic when leaving a work area and entering a roadway carrying public
traffic. All movements of workmen and construction equipment on or across lanes open to public traffic
shall be performed in a manner that will not endanger the public.
7.8 Project Parking/Driving
The CM shall assure that all project vehicles park in designated construction parking areas only. All
project vehicles shall be identified by company name and/or logo and comply with established traffic
routes, construction access/egress plans, and posted traffic signs. Only company vehicles covered by the
submitted certificate of insurance shall be authorized to access onto Authority-controlled construction
work areas. All other vehicles shall be considered personal vehicles and are required to park in
designated employee parking areas only. No two-wheeled motorized vehicles are allowed on the project
other than in designated employee parking areas.
Section V - Safety
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Management Safety
The CM shall assure that all workers transported to the work site in a project vehicle ride only in an
approved manufactured vehicle seat and use the accompanying seat belt. Riding in the back of a pick-up
truck and similar unapproved methods of transportation is strictly forbidden on Authority projects.
The CM shall assure that all operators of equipment and vehicles obey all posted signs. The maximum
speed limit on all construction sites is 10 mph; however, based on congestion in areas, the speed limit
may be slower and deliberate enough to prevent or control dust. Vehicles are not allowed to remain
overnight or over the weekend without advanced written permission of the CM. The CM shall withdraw
project driving privileges of any person observed driving recklessly, or other non-conformance of these
instructions.
The CM should assure that the Contractor maintains all parking areas to comply with dust control
requirements.
7.9 Aerial Lifts/Scissor Lifts
The CM shall assure that all aerial work platform operators, both CM and Contractor/subcontractor, are
trained and authorized to operate the type of lift they are using. The operator shall have appropriate
documentation on their person indicating proof of training. All documentation shall be maintained and
made available to the Authority for review and auditing purposes.
Operators shall perform documented daily inspections of the equipment they are using and maintain
the inspection form on the aerial work platform while in use. Inspection forms shall be collected from
each lift on a periodic basis, be maintained in the project files, and made available to the Authority for
review and auditing purposes. All other requirements shall be in compliance with CCR, Title 8, Sections
3646 and 3648 and manufacturers’ operation manuals.
7.10 Scaffolding
The CM shall assure that a proper scaffold inspection and tagging system is maintained by the
Contractor that identifies compliance status (i.e., green tag = safe, yellow tag = modified and fall
protection required, red = do not use). This or a similar system shall be in place on the project and all
employees will be trained on the requirements. The CM shall assure that all scaffolds are in compliance
with CCR, Title 8 scaffolding requirements as well as manufacturers’ user manuals.
7.11 Illumination
The CM shall assure that illumination during construction activities, as provided by the Contractor for its
operations, meets the minimum requirements of CCR, Title 8, Section 1523. In accordance with the
Authority, night work is considered 15 minutes before sunset through 15 minutes after sunrise. The CM
shall assure that nighttime construction work lighting is placed in such a manner as to provide adequate
illumination for the activity; however, it shall also minimize glare to workers and not adversely affect
oncoming motorists or the occupants of private property. Illumination hazards and placement of work
lighting shall be addressed in task-associated AHAs. Upon the request of the Authority, the CM shall
submit an illumination safety plan for review.
7.12 Equipment/Vehicles/Tools
The CM shall assure that only qualified and authorized persons are permitted to operate equipment and
tools. The CM shall also assure that all requirements of the California Motor Vehicle Code are complied
Section V - Safety
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Management Safety
with for construction equipment and vehicles used on public streets and highways, including loading
restrictions.
All project equipment and vehicles shall be inspected at the beginning of each shift, or prior to use, in
accordance with the applicable CSOs and manufacturers’ requirements. Any defect affecting safe
performance shall be corrected before the equipment, tool, or vehicle is placed into service. Each
operator’s documented daily inspections of heavy equipment and vehicles shall be maintained on the
equipment while in use. Inspection forms shall be collected from each piece of equipment on a periodic
basis and maintained in the project files and made available to the Authority for review and auditing
purposes. The CM should assure this is a requirement of the Contractor’s Site Health and Safety Plan.
7.13 Abrasive Blasting
The CM shall assure that abrasive blasting operations performed by the Contractor comply with South
Coast Air Quality Management District (SCAQMD) Rule 1140, CCR, Title 8, Sections 1530.1, 5141, 5144,
5155, and all other applicable regulations. Prior to abrasive blasting operations, the CM shall assure that
an AHA is provided in accordance with these procedures.
7.14 Crane Operation
In addition to crane operator qualifications, inspections, maintenance, and other requirements of CCR,
Title 8, Subchapter 7, the CM shall assure that copies of the operator’s certifications and annual and
quadrennial certifications of all cranes are submitted to the CM and the Authority a minimum of five
days prior to crane arrival on site. Operator certifications shall be issued by the National Commission for
the Certification of Crane Operators, as outlined in the CCR.
The CM shall assure that the Contractor’s Site Health and Safety Plan includes crane operators or other
qualified personnel who perform a documented daily inspection of the crane being used and maintain
the inspection form on the equipment, while in use. Inspection forms shall be collected from each crane
on a periodic basis and shall be maintained in the project files and made available to the Authority for
review and auditing purposes. All other requirements shall be in compliance with CCR, Title 8, and the
manufacturers’ operation manuals.
The CM shall assure that a rigging plan is developed by the Contractor, by a qualified person, for all lifts.
The rigging plans shall be submitted to the CM and the Authority no later than 10 working days prior to
the scheduled crane activity. The CM shall assure that all critical lifts have an engineered plan designed
by a registered Professional Engineer licensed in the State of California. A critical lift includes, but is not
limited to, the following:
• Any lift location that could result in the boom or load falling into a hazardous area in the event
of a mishap, including energized electrical wiring and equipment, gas manifolds, and operating
machinery
• Lifts equal to or greater than 10 tons
• Lifts equal to or greater than 75 percent of the rated capacity
• Lifts over occupied buildings, railways, or public roadways
• The use of multiple cranes for one lift
• Lift and transit of load greater than 75 percent of the rated capacity for the track crawler crane
Section V - Safety
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Management Safety
• Blind lifts (out of the view of the operator)

• Lifts near power lines
The Authority strictly prohibits the pick and carry of loads with rubber-tired cranes. Tandem lifts (two or
more cranes) shall require a lift plan from the crane company stamped by a California registered
Professional Engineer, a detailed written AHA, and a lift plan review meeting that includes the CM,
Safety Officer, crane operator, Contractor, and any other entities having claim in the tandem lift.
Written lift plans and review meetings shall be completed a minimum of 10 working days prior to the
scheduled operation.
7.15 Steel Erection
The CM shall assure that all Contractor erection activities comply with CCR, Title 8, Section 1710 and
other applicable regulations. In addition, the CM shall assure that erection planning and AHAs
incorporate installation methods using aerial devices (man-lifts) and elevated work platforms (scissor
lifts), where applicable, to minimize fall hazards of climbing steel. The detailed written AHA shall identify
installation methods, equipment, and control methods to minimize potential fall hazards. Fall protection
systems shall be designed and implemented and all employees shall be required to use them. A dual or
double-legged lanyard, or equivalent, that provides 100 percent fall protection shall be used for
employee protection. The CM shall assure that no employee walks the steel without 100 percent fall
protection, when greater than 6 feet above a lower level.
The CM shall assure that a safe means of access is provided to the level being worked. Climbing and
sliding down columns are not considered safe access and are strictly prohibited by the Authority.
7.16 Utility Protection
The CM shall assure that all utilities not to be shut down or relocated, in accordance with the Contract
Documents, are properly identified and protected to assure the safety and health of workers and the
public, as well as the protection of the utility company property. The CM shall coordinate with the
corresponding utility company, prior to commencement of work, to determine the available measures
to protect the applicable utility. At no time shall access to utilities, by its owner, be hindered by
construction activities. The CM shall assure that the voltages of all overhead conductors is determined,
prior to commencement of work, and the corresponding minimum clearances comply with CCR, Title 8,
Section 2946. However, a minimum safe radial distance of 11 feet of clearance to overhead conductors
shall be maintained at all times during construction and 15 feet of clearance on windy days. These
distances will allow for sufficient horizontal swing clearance.
Section V - Safety
Page 28 of 28
Construction Attachment A Section V
Management Competent Person Activities Safety
Competent Person Form

The competent person and supervisor/manager shall submit the completed form for approval by the
CM. Included in this attachment is a listing of safety and health requirements and some of the various
qualifications required.

Page 1 of 3
Competent Person Activities
This is list of activities that may require the need for a Competent Person to perform a work activity.
This list may not be complete or accurate for activities required by each project; therefore the
Contractor should provide an inclusive list along with the Site Health and Safety Plan for review and
approval by the CM.
Written
Competent/ Plan and
Safety and Health OSHA EM 385-1-1 Qualified Training AHA
Requirement Regulation Regulation Person Required Required
General Safety and Health 1926.20 01.A Yes Yes Yes
Safety Training 1926.21 01.B.01 Yes Yes Yes
Confined Spaces 1926.21, 1910.147 06.01 Yes Yes Yes
Confined Space Permit System See above 06.01 Yes Yes Yes
First Aid and Medical 1926.23, 50 03.A Yes Yes Yes
Fire Protection and 1926.24, 150-155, 09.A Yes Yes Yes
Prevention 352
Personal Protective 1926.28, 95-98, 05.A Yes Yes Yes
Equipment 100-107
Noise Exposure 1926.52 05.C Yes Yes Yes
Radiation Protection 1926.53, 54 06. E&F; Yes Yes Yes
28.A.02
Gases, Vapors, Dusts and 1926.1926.55 Yes Yes Yes
Mists
Ventilation 1926.57, 353 Recommend Yes Yes
Hazard Communication 1926.59 1.B.06 Yes Yes Yes
Process Safety Management 1926.64 Yes Yes Yes
1910.119
Hazardous Waste Operations 1926.65 28.A Yes Yes Yes
and Emergency Response 1910.120
Rigging 1926.251 15.A Yes Yes Yes
Waste Disposal 1926.252 14.D Yes Yes Yes
Gas Welding and Cutting 1926.350 10.A Recommend Yes Yes
Arc Welding 1926.351 10.E Recommend Yes Yes
Electrical 1926.400-415 11.E Yes Yes Yes
General Electrical 1926.416 11.A Yes Yes Yes
Lockout Tagout 1926.417, 12.A Yes Yes Yes
1910.147
Lockout Tagout Permit System See above 12.A Yes Yes Yes

Page 2 of 3
Written
Competent/ Plan and
Safety and Health OSHA EM 385-1-1 Qualified Training AHA
Requirement Regulation Regulation Person Required Required
Maintenance of Electrical 1926.431 11A Yes Yes Yes
Equipment
Environmental Deterioration 1926.432 Yes Yes Yes
of Electrical Equipment
Scaffolding 1926.450-454 22.A Yes Yes Yes
Aerial Lifts 1926.453 22.J and K Yes Yes Yes
Fall Protection 1926.500-503 21.A Yes Yes Yes
Cranes, Derricks, Hoists, 1926.550 16.A Yes Yes Yes
Elevators and Conveyors
Motor Vehicles, Mechanized 1926.600-603 18.A Yes Yes Yes
Equipment
Powered Industrial Trucks 1910.178 Yes Yes Yes
(forklifts)
Marine Operations and 1926.606 16.F Yes Yes Yes
Equipment
Excavations 1926.650-652 25.A Yes Yes Yes
Excavation Permit N/A N/A Yes Yes Yes
Concrete and Masonry 1926.700-706 27.A Yes Yes Yes
Construction
Steel Erection 1926.750-761 and Yes Yes Yes
SENRAC
Underground Construction 1926.800 26.A Yes Yes Yes
Caissons 1926.801 26.H Yes Yes Yes
Cofferdams 1926.802 Yes Yes Yes
Compressed Air 1926.803 26.I Yes Yes Yes
Demolition 1926.850-860 23.A Yes Yes Yes
inclusive
Power Transmission and 1926.950-960 11.H Yes Yes Yes
Distribution inclusive
Stairways and Ladders Scope 1926.1050 21.A N/A Yes Yes
Stairway/Ladder 1926.1051 Yes Yes Yes
Stairways 1926.1052 21.E Recommend Yes N/A
Ladders 1926.1053 21.D Yes Yes Yes
Ladder/Stair Training 1926.1060 Yes Yes Yes
Line Breaking 1910.119 / 1926.54 Yes Yes Yes
IIPP/SSPP Cal 3203 Cal 3203 Yes Yes Yes

Page 3 of 3
Construction
Management
Procedures
Construction Attachment B Section V
Management Safety Orientation Safety Procedure
Safety Orientation
The CM shall assure all new employees, including new hires and transfers, must attend the project
safety orientation on their first day and sign the safety orientation acknowledgment form. Any
employee who is unsure of any information presented in the orientation must request clarification. The
CM shall assure Employees who do not participate in the project safety orientation or refuse to sign the
acknowledgment form shall not travel or work on the project site.
The following is a basic example of a safety orientation and acknowledgement form.
1.1 Introduction
Welcome to the Project. By now you are aware that safety is a core value. As a new employee at our
[facility/project], the following information will help ensure a safe work environment.
1.2 Project/Office Safety Plan
You will receive your own copy of the project/office safety plan. You are responsible for periodically
reviewing this plan and staying familiar with all project and office safety procedures.
Phone Numbers:
Emergency/Security _____________
Facility Safety Rep ______________
Facilities _______________
Nurse _______________
Note (if applicable): Do not call 9-1-1 directly. Call these project professionals first.
1.3 Rights and Responsibilities
You have the right to a safe and healthful workplace and to voice your concerns about safety issues at
work. Detailed worker safety rights are posted on the safety bulletin board and are available from the
Occupational Safety and Health Administration (OSHA). Your responsibility is to work safely and to
report unsafe acts and conditions. If you see an imminent threat to life, you must take any measures
necessary to keep yourself and others out of harm’s way until help arrives or the hazard can be
controlled.

Page 1 of 4
1.4 Emergency Response Team and Plan
To handle emergencies such as: earthquakes, fires, explosions, and the like during normal working
hours, we have developed the following plan: discuss plan.
1.5 Good Housekeeping
Good housekeeping prevents accidents. A clean, orderly workplace helps create a safer and more
productive environment. Here are a few basics of good housekeeping:
• Always replace office supplies and equipment after you use them
• Stack materials neatly
• Wipe up any spills immediately. Call facilities for assistance if necessary.
• Keep cabinet doors and drawers closed.
• Turn off all electrical equipment in your area when you leave for the day.
1.6 Work Area Evaluations for Hazards
Your work area should be free of hazards. You are the first and best line of defense against most
common hazards. Here are a few hazards to watch for:
• Overloaded electrical outlets

• Unsteady cabinets or shelves
• Slippery surfaces or trip hazards such as torn carpet or ragged linoleum.
• Improper workstation ergonomics like improper seating, lighting, and video display terminal
positioning that can cause neck, shoulder, back, wrist, and eye discomfort.
• Keep tops of office furniture clear, drawers closed, and secure heavy furniture and
equipment in earthquake prone areas.
1.7 Reporting Unsafe Work Conditions
When hazards are identified, unsafe work conditions can be quickly mitigated. Report safety concerns to
your supervisor, safety personnel, or other appropriate manner so corrective action can be taken.
Employees are encouraged to report unsafe or unhealthful situations to their supervisor or safety
representative.

Page 2 of 4
1.8 Bloodborne Pathogens
Only employees trained to the bloodborne pathogen rules and equipped with proper protective
equipment should provide first aid when blood or bodily fluids are involved. Contact your supervisor or
emergency services if such conditions exist.
1.9 Office Emergencies
• Alarm looks like: [Flashing lights or] _____________

• Alarm sounds like: [Whoop, whoop, whoop or] _________________
In the event of an emergency evacuation, safe refuge locations outside the building/work site are as
follows:
Every employee must know what to do and how to obtain assistance during an emergency. In the in the
event of an earthquake, fire, bomb threat, medical incident, hazardous materials spill, elevator
malfunction, security incident, power failure, or evacuation, contact your supervisor or emergency
services at ________.
In an earthquake [include natural disasters common to the locale], means of taking shelter may include:
1. In the office
a) Take cover under a desk or table and hang on. Protect your head, neck and eyes.
b) In a hallway, drop to the ground with your back against the wall
c) Avoid glass partitions, windows, and any unsecured office equipment.
2. In an elevator
a) Drop to the floor and grab the guardrail.
b) When possible, exit the elevator and join other floor occupants.
3. Outside
a) Move away from buildings to avoid falling debris and electrical wires.
4. In a parking structure
a) If outside, stay away from parked cars.
b) If inside a car, remain there until it is safe to exit, then proceed to assigned
evacuation area.
1.10 Substance Abuse Testing
All project employees are subject to substance abuse testing to help ensure a safe workplace.

Page 3 of 4
1.11 Supervisor Responsibilities
Supervisors must inform employees of the following information during the orientation:
• Location of primary and secondary emergency exits

• Route from the office to the nearest emergency exit
• Location and operation of nearby fire alarms
• Location of emergency supplies and fire extinguishers
A safe and healthful workplace is one of our highest priorities. We are committed to being safety
conscious.
1.12 Safety Orientation Acknowledgment Form
All project employees must attend the project safety orientation on their first day and sign an
acknowledgment form indicating they attended and understood the project safety orientation.

Page 4 of 4
Construction Attachment C Section V
Management Office Safety Inspections Safety Procedure
Office Safety Inspections

The CM is responsible for developing an office safety inspection form based upon the site specific
element and issues for their project. This office safety inspection form should be included in the project
safety plan and updated as conditions or issues arise. The following is an example of an inspection form
that can be adapted by the CM for each project.
Question
General Work Environment
Are all workstations, cubicles, and offices clean and orderly?
Are work surfaces kept dry or appropriate means taken to ensure that the surfaces are slip-
resistant?
Are all spilled materials or liquids cleaned up immediately?
Are warning signs available when items are spilled?
Is combustible scrap, debris, and waste stored safely and removed from the office?
Are coffee pots turned off at night?
Is accumulated combustible dust routinely removed from elevated surfaces, including the overhead
structure of buildings?
Walkways
Are aisles and passageways kept clear?
Are aisles and walkways marked as appropriate?
Is there safe clearance for walking in aisles where motorized or mechanical equipment is operating?
Are spilled materials cleaned up immediately?
Are materials or equipment stored in such a way they will not interfere with the walkway?
Are changes of direction or elevations readily identifiable?
Where stairs or stairways exit directly into any area where vehicles may be operated, are adequate
barriers and warnings provided to prevent employees stepping into the path of traffic?
Exiting or Egress
Are all exits marked with an exit sign and illuminated by a reliable light source?
Are the directions to exits, when not immediately apparent, marked with visible signs?
Are doors, passageways or stairways, that are neither exits nor access to exits and which could be
mistaken for exits, appropriately marked NOT AN EXIT, TO BASEMENT, STOREROOM, and the like?
Are exit signs provided with the word EXIT in lettering at least 5 inches high and the stroke of the
lettering at least 1/2 inch wide?
Are exit doors side-hinged?
Are all exits kept free of obstructions?
Are there sufficient exits to permit prompt escape in case of emergency?
Attachment C - Office Safety Inspections

Page 1 of 4
Question
Are special precautions taken to protect employees during building maintenance, construction, and
repair operations?
Is the number of exits from each floor of a building, and the number of exits from the building itself,
appropriate for the building occupancy load?
Where exiting is through frameless glass doors, glass exit doors, storm doors, and are such doors
fully tempered and meet the safety requirements for human impact?
Exit Doors
Are doors that are required to serve as exits designed and constructed so that the way of exit travel
is obvious and direct?
Are windows that could be mistaken for exit doors made inaccessible by means of barriers or
railings?
Can exit doors be opened from the direction of exit travel without the use of a key or any special
knowledge or effort, when the building is occupied?
Is a revolving, sliding, or overhead door prohibited from serving as a required exit door?
Where panic hardware is installed on a required exit door, does it allow the door to open by
applying a force of 15 pounds or less in the direction of the exit traffic?
Where exit doors open directly onto any street, alley or other area where vehicles may be
operated, are adequate barriers and warnings provided to prevent employees stepping into the
path of traffic?
Are doors that swing in both directions and are located between rooms where there is frequent
traffic provided with viewing panels in each door?
Portable Ladders
Are all ladders maintained in good condition, joints between steps and side rails tight, all hardware
and fittings securely attached, and moveable parts operating freely without binding or undue play?
Are non-slip safety feet provided on each ladder?
Are non-slip safety feet provided on each metal or rung ladder?
Are ladder rungs and steps free of grease and oil?
It is prohibited to place a ladder in front of doors opening toward the ladder except when the door
is blocked open, locked or guarded.
It is prohibited to place ladders on boxes, barrels, or other unstable bases to obtain additional
height.
Are employees instructed to face the ladder when ascending or descending?
Are employees prohibited from using ladders that are broken, missing steps, rungs, or cleats,
broken side rails or other faulty equipment?
Are employees instructed not to use the top two steps of ordinary stepladders as a step?
When a portable rung ladder is used to gain access to elevated platforms and roofs, does the ladder
always extend at least 3 feet above the elevated surface?
Is it required that when portable rung or cleat type ladders are used the base is so placed that

Page 2 of 4
Question
slipping will not occur, or it is lashed or otherwise held in place?
Are portable metal ladders legibly marked with signs reading CAUTION, Do Not Use Around
Electrical Equipment, or equivalent wording?
Environmental Controls
Are all work areas properly illuminated?
Is employee exposure to chemicals in the workplace kept within acceptable levels?
Can a less harmful method or product be used?
Is the work area’s ventilation system appropriate for the work being performed?
Are restrooms and washrooms kept clean and sanitary?
Is equipment producing ultra-violet radiation properly shielded?
Fire Protection
Do you have a fire prevention plan?
Does your plan describe the type of fire protection equipment and/or systems?
Have you established practices and procedures to control potential fire hazards and ignition
sources?
Are employees aware of the fire hazards of the material and processes to which they are exposed?
Is your local fire department well acquainted with your facilities, location, and specific hazards?
If you have a fire alarm system, is it tested at least annually?
If you have a fire alarm system, is it certified as required?
If you have interior standpipes and valves, are they inspected regularly?
If you have outside private fire hydrants, are they flushed at least once a year and on a routine
preventive maintenance schedule?
Are fire doors and shutters in good operating condition?
Are fire doors and shutters unobstructed and protected against obstructions, including their
counterweights?
Are fire door and shutter fusible links in place?
Are automatic sprinkler system water control valves, air and water pressures checked
weekly/periodically as required?
Is maintenance of automatic sprinkler system assigned to responsible persons or to a sprinkler
contractor?
Are sprinkler heads protected by metal guards, when exposed to physical damage?
Is proper clearance maintained below sprinkler heads?
Are portable fire extinguishers provided in adequate number and type?
Are fire extinguishers mounted in readily accessible locations?
Are fire extinguishers recharged regularly and noted on the inspection tag?
Are employees periodically instructed in the use of extinguishers and fire protection procedures?
Electrical
Are all employees required to report as soon as practicable any obvious hazard to life or property

Page 3 of 4
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observed in connection with electrical equipment or lines?
Are employees instructed to make preliminary inspections and/or appropriate tests to determine
what conditions exist before starting work on electrical equipment or lines?
Are electrical appliances such as vacuum cleaners, polishers, and vending machines grounded?
Do extension cords being used have a grounding conductor?
Are multiple plug adapters prohibited?
Are all energized parts of electrical circuits and equipment guarded against accidental contact by
approved cabinets or enclosures?
Is sufficient access and working space provided and maintained about all electrical equipment to
permit ready and safe operations and maintenance?
Are electrical enclosures such as switches, receptacles, junction boxes, etc., provided with tight-
fitting covers or plates?
Transporting Employees
Do employees who operate vehicles on public thoroughfares have valid operator’s licenses?
When seven or more employees are regularly transported in a van, bus or truck, is the operator’s
license appropriate for the class of vehicle being driven?
Is each van, bus, or truck used regularly to transport employees equipped with adequate seating?
Are seat belt requirements enforced by the driver?
Emergency Action Plan
Are you required to have an emergency action plan? Does is comply with OSHA?
Have emergency escape procedures and routes been developed and communicated to employees?
Do employees who remain to operate critical operations before they evacuate know the proper
procedures?
Is the employee alarm system that provides a warning for emergency action recognizable and
perceptible?
Are alarm systems properly maintained and tested regularly?
Is the emergency action plan reviewed and revised periodically?
Do employees know their responsibilities: For reporting emergencies? During an emergency?
Ergonomics
Can the work be performed without eyestrain or glare to the employees?
Does the task require prolonged raising of the arms?
Do the neck and shoulders have to be stooped to view the task?
Are there pressure points on any parts of the body (wrists, forearms, back of thighs)?
Can the work be done using the larger muscles of the body?
Can the work be done without twisting or overly bending the lower back?
Are computers positioned so that tasks can be performed comfortably?
Is all furniture adjusted, positioned, and arranged to minimize strain on all parts of the body?

Page 4 of 4
Construction Attachment D Section V
Management Site Safety Inspections Safety Procedure
Site Safety Inspections

The CM is responsible for developing a site safety inspection form based upon the site specific element
and issues for their project. This form can be developed in conjunction with the Contractor and included
in the project safety plan. It should be maintained and updated in the project safety plan as conditions
change or issues arise. The following is an example of an inspection form that can be adapted by the CM
for each project.
Question
General Work Environment
Are all worksites clean and orderly?
Are work surfaces kept dry or appropriate means taken to ensure that the surfaces are slip-resistant?
Are all spilled materials or liquids cleaned up immediately?
Is combustible scrap, debris, and waste stored safely and removed from the worksite promptly?
Is accumulated combustible dust routinely removed from elevated surfaces, including the overhead structure
of buildings?
Is combustible dust cleaned with a vacuum system to prevent the dust from going into suspension?
Is metallic or conductive dust prevented from entering or accumulation on or around electrical enclosures or
equipment?
Are covered metal waste cans used for oily and paint-soaked waste?
Are all oil- and gas-fired devices equipped with flame failure controls to prevent the flow of fuel if pilots or
main burners are not working?
Are paint spray booths, dip tanks, and similar equipment cleaned regularly?
Are the minimum number of toilets and washing facilities provided?
Are all toilets and washing facilities clean and sanitary?
Are all work areas adequately illuminated?
Are pits and floor openings covered or otherwise guarded?
Personal Protective Equipment and Clothing
Are protective goggles or face shields provided and worn where there is any danger of flying particles or
corrosive materials?
Are approved safety glasses required to be worn at all times in areas where there is a risk of eye injuries such
as punctures, abrasions, contusions or burns?
Are employees who need corrective lenses (glasses or contacts lenses) in working environments with harmful
exposures, required to wear only approved safety glasses, protective goggles, or use other medically
approved precautionary procedures?
Are protective gloves, aprons, shields, or other means provided against cuts, corrosive liquids, and chemicals?
Are hard hats provided and worn where danger of falling objects exists?
Are hard hats inspected periodically for damage to the shell and suspension system?
Is appropriate foot protection required where there is the risk of foot injuries from hot, corrosive, poisonous
substances, falling objects, and crushing or penetrating actions?

Page 1 of 23
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Are approved respirators provided for regular or emergency use where needed?
Is all protective equipment maintained in a sanitary condition and ready for use?
Are eye wash facilities and a quick drench shower available within the work area where employees are
exposed to injurious corrosive materials?
Where special equipment is needed for electrical workers, is it available?
When lunches are eaten on the premises, are they eaten in areas where there is no exposure to toxic
materials or other health hazards?
Is protection against the effects of occupational noise exposure provided when sound levels exceed those of
the OSHA noise standard?
Portable Ladders
Are aisles and passageways kept clear?
Are aisles and walkways marked as appropriate?
Are wet surfaces covered with non-slip materials?
Are holes in the floor, sidewalk, or other walking surface repaired properly, covered, or otherwise made safe?
Is safe clearance provided for walking in aisles where motorized or mechanical handling equipment is
operating?
Are spilled materials cleaned up immediately?
Are materials or equipment stored in so that PSP projectiles do not interfere with the walkway?
Are changes of direction or elevations readily identifiable?
Are aisles or walkways that pass near moving or operating machinery, welding operations or similar
operations arranged so employees will not be subjected to potential hazards?
Is adequate headroom provided for the entire length of any aisle or walkway?
Are standard guardrails provided wherever aisle or walkway surfaces are elevated more than 30 inches above
any adjacent floor or the ground?
Are bridges provided over conveyors and similar hazards?
Floor and Wall Openings
Are floor openings guarded by a cover, guardrail, or equivalent on all sides (except at entrance to stairways or
ladders)?
Are toeboards installed around the edges of a permanent floor opening (where persons may pass below the
opening)?
Are skylight screens of such construction and mounting that they will withstand a load of at least 200
pounds?
Is the glass in windows, doors, glass walls that are subject to human impact, of sufficient thickness and type
for the condition of use?
Are grates or similar type covers over floor openings such as floor drains, of such design that foot traffic or
rolling equipment will not be affected by the grate spacing?
Are unused portions of service pits and pits not actually in use either covered or protected by guardrails or
equivalent?
Are manhole covers, trench covers and similar covers, plus their supports, designed to carry a truck rear axle
load of at least 20,000 pounds when located in roadways and subject to vehicle traffic?
Are floor or wall openings in fire resistive construction provided with doors or covers compatible with the fire
rating of the structure and provided with self-closing feature when appropriate?

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Question
Stairs and Stairways
Are standard stair rails or handrails on all stairways having four or more risers?
Are all stairways at least 22 inches wide?
Do stairs have at least a 6-foot-6-inch overhead clearance?
Do stairs angle no more than 50 and no less than 30 degrees?
Are stairs of hollow-pan-type treads and landings filled to noising level with solid material?
Are step risers on stairs uniform from top to bottom, with no riser spacing greater than 7½ inches?
Are steps on stairs and stairways designed or provided with a surface that renders them slip resistant?
Are stairway handrails located between 30 and 34 inches above the leading edge of stair treads?
Do stairway handrails have at least 1½ inches of clearance between the handrails and the wall or surface they
are mounted on?
Are stairway handrails capable of withstanding a load of 200 pounds, applied in any direction?
Where stairs or stairways exit directly into any area where vehicles may be operated, are adequate barriers
and warnings provided to prevent employees stepping into the path of traffic?
Do stairway landings have a dimension measured in the direction of travel, at least equal to width of the
stairway?
Is the vertical distance between stairway landings limited to 12 feet or less?
Elevated Surfaces
Are signs posted, when appropriate, showing the elevated surface load capacity?
Are surfaces elevated more than 30 inches above the floor or ground provided with standard guardrails?
Are all elevated surfaces (beneath which people or machinery could be exposed to falling objects) provided
with standard 4-inch toe boards?
Is a permanent means of access and egress provided to elevated storage and work surfaces?
Is required headroom provided where necessary?
Is material on elevated surfaces piled, stacked, or racked in a manner to prevent it from tipping, falling,
collapsing, rolling, or spreading?
Are dock boards or bridge plates used when transferring materials between docks and trucks or rail cars?
Exiting or Egress
Are all exits marked with an exit sign and illuminated by a reliable light source?
Are the directions to exits, when not immediately apparent, marked with visible signs?
Are doors, passageways or stairways, that are neither exits nor access to exits and which could be mistaken
for exits, appropriately marked NOT AN EXIT, TO BASEMENT, STOREROOM, etc.?
Are exit signs provided with the word EXIT in lettering at least 5 inches high and the stroke of the lettering at
least ½ inch wide?
Are exit doors side-hinged?
Are all exits kept free of obstructions?
Are at least two means of egress provided from elevated platforms, pits or rooms where the absence of a
second exit would increase the risk of injury from hot, poisonous, corrosive, suffocating, flammable, or
explosive substances?
Are there sufficient exits to permit prompt escape in case of emergency?
Are special precautions taken to protect employees during construction and repair operations?
Is the number of exits from each floor of a building, and the number of exits from the building itself,

Page 3 of 23
Question
appropriate for the building occupancy load?
Are exit stairways which are required to be separated from other parts of a building enclosed by at least two-
hour fire-resistive construction in buildings more than four stories in height, and not less than one-hour fire
resistive construction elsewhere?
When ramps are used as part of required exiting from a building, is the ramp slope limited to 1 foot vertical
and 12 feet horizontal?
Where exiting will be through frameless glass doors, glass exit doors, storm doors, and such are the doors
fully tempered and meet the safety requirements for human impact?
Exit Doors
Are doors that are required to serve as exits designed and constructed so that the way of exit travel is
obvious and direct?
Are windows that could be mistaken for exit doors, made inaccessible by means of barriers or railings?
Can exit doors be opened from the direction of exit travel without the use of a key or any special knowledge
or effort, when the building is occupied?
Is a revolving, sliding, or overhead door prohibited from serving as a required exit door?
Where panic hardware is installed on a required exit door, will it allow the door to open by applying a force of
15 pounds or less in the direction of the exit traffic?
Are doors on cold storage rooms provided with an inside release mechanism that will release the latch and
open the door even if it is padlocked or otherwise locked on the outside?
Where exit doors open directly onto any street, alley or other area where vehicles may be operated, are
adequate barriers and warnings provided to prevent employees stepping into the path of traffic?
Are doors that swing in both directions and are located between rooms where there is frequent traffic,
provided with viewing panels in each door?
Portable Ladders
Are all ladders maintained in good condition, joints between steps and side rails tight, all hardware and
fittings securely attached, and moveable parts operating freely without binding or undue play?
Are non-slip safety feet provided on each ladder?
Are non-slip safety feet provided on each metal or rung ladder?
Are ladder rungs and steps free of grease and oil?
Is it prohibited to place a ladder in front of doors opening toward the ladder except when the door is blocked
open, locked or guarded?
Is it prohibited to place ladders on boxes, barrels, or other unstable bases to obtain additional height?
Are employees instructed to face the ladder when ascending or descending?
Are employees prohibited from using ladders that are broken, missing steps, rungs, or cleats, broken side rails
or other faulty equipment?
Are employees instructed not to use the top 2 steps of ordinary stepladders as a step?
When portable rung ladders are used to gain access to elevated platforms, roofs, and the like does the ladder
always extend at least 3 feet above the elevated surface?
Is it required that when portable rung or cleat type ladders are used the base is so placed that slipping will
not occur, or it is lashed or otherwise held in place?
Are portable metal ladders legibly marked with signs reading "CAUTION" "Do Not Use Around Electrical
Equipment" or equivalent wording?

Page 4 of 23
Question
Are employees prohibited from using ladders as guys, braces, skids, gin poles, or for other than their intended
purposes?
Are employees instructed to only adjust extension ladders while standing at a base (not while standing on the
ladder or from a position above the ladder)?
Are metal ladders inspected for damage?
Are the rungs of ladders uniformly spaced at 12 inches, center to center?
Hand Tools and Equipment
Are all tools and equipment (both company and employee-owned) used by employees at their workplace in
good condition?
Are hand tools such as chisels, punches, which develop mushroomed heads during use, reconditioned or
replaced as necessary?
Are broken or fractured handles on hammers, axes, and similar equipment replaced promptly?
Are worn or bent wrenches replaced regularly?
Are appropriate handles used on files and similar tools?
Are employees made aware of the hazards caused by faulty or improperly used hand tools?
Are appropriate safety glasses, face shields, and similar equipment used while using hand tools or equipment
that might produce flying materials or be subject to breakage?
Are jacks checked periodically to ensure that they are in good operating condition?
Are tool handles wedged tightly in the head of all tools?
Are tool cutting edges kept PSP so the tool will move smoothly without binding or skipping?
Are tools stored in dry, secure location where they won't be tampered with?
Is eye and face protection used when driving hardened or tempered spuds or nails?
Portable (Power Operated) Tools and Equipment
Are grinders, saws, and similar equipment provided with appropriate safety guards?
Are power tools used with the correct shield, guard or attachment recommended by the manufacturer?
Are portable circular saws equipped with guards above and below the base shoe?
Are circular saw guards checked to ensure that they are not wedged up, thus leaving the lower portion of the
blade unguarded?
Are rotating or moving parts of equipment guarded to prevent physical contact?
Are all cord-connected, electrically operated tools and equipment effectively grounded or of the approved
double insulated type?
Are effective guards in place over belts, pulleys, chains, and sprockets, on equipment such as concrete
mixers, air compressors, and the like?
Are portable fans provided with full guards or screens having openings 1/2 inch or less?
Is hoisting equipment available and used for lifting heavy objects, and are hoist ratings and characteristics
appropriate for the task?
Are ground-fault circuit interrupters provided on all temporary electrical 15 and 20 ampere circuits, used
during periods of construction?
Are pneumatic and hydraulic hoses on power-operated tools checked regularly for deterioration or damage?
Abrasive Wheel Equipment Grinders
Is the work rest used and kept adjusted to within 1/8 inch of the wheel?
Is the adjustable tongue on the top side of the grinder used and kept adjusted to within 1/4 inch of the

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Question
wheel?
Do side guards cover the spindle, nut, and flange and 75 percent of the wheel diameter?
Are bench and pedestal grinders permanently mounted?
Are goggles or face shields always worn when grinding?
Is the maximum RPM rating of each abrasive wheel compatible with the RPM rating of the grinder motor?
Are fixed or permanently mounted grinders connected to their electrical supply system with metallic conduit
or other permanent wiring method?
Does each grinder have an individual on and off control switch?
Is each electrically operated grinder effectively grounded?
Before new abrasive wheels are mounted, are they visually inspected and ring tested?
Are dust collectors and powered exhausts provided on grinders used in operations that produce large
amounts of dust?
Are splashguards mounted on grinders that use coolant, to prevent the coolant reaching employees?
Is cleanliness maintained around grinder?
Powder Actuated Tools
Are employees who operate powder-actuated tools trained in their use and carry a valid operator's card?
Do the powder-actuated tools being used have written approval of the Division of Occupational Safety and
Health?
Is each powder-actuated tool stored in its own locked container when not being used?
Is a sign at least 7" by 10" with bold type reading "POWDER-ACTUATED TOOL IN USE" conspicuously posted
when the tool is being used?
Are powder-actuated tools left unloaded until they are actually ready to be used?
Are powder-actuated tools inspected for obstructions or defects each day before use?
Do powder-actuated tools operators have and use appropriate personal protective equipment such as hard
hats, safety goggles, safety shoes, and ear protectors?
Machine Guarding
Is there a training program to instruct employees on safe methods of machine operation?
Is there adequate supervision to ensure that employees are following safe machine operating procedures?
Is there a regular program of safety inspection of machinery and equipment?
Is all machinery and equipment kept clean and properly maintained?
Is sufficient clearance provided around and between machines to allow for safe operations, set up and
servicing, material handling and waste removal?
Is equipment and machinery securely placed and anchored, when necessary to prevent tipping or other
movement that could result in personal injury?
Is there a power shut-off switch within reach of the operator's position at each machine?
Can electric power to each machine be locked out for maintenance, repair, or security?
Are the noncurrent-carrying metal parts of electrically operated machines bonded and grounded?
Are foot-operated switches guarded or arranged to prevent accidental actuation by personnel or falling
objects?
Are manually operated valves and switches controlling the operation of equipment and machines clearly
identified and readily accessible?
Are all emergency stop buttons colored red?

Page 6 of 23
Question
Are all pulleys and belts that are within 7 feet of the floor or working level properly guarded?
Are all moving chains and gears properly guarded?
Are splashguards mounted on machines that use coolant, to prevent the coolant from reaching employees?
Are methods provided to protect the operator and other employees in the machine area from hazards
created at the point of operation, ingoing nip points, rotating parts, flying chips, and sparks?
Are machinery guards secure and so arranged that they do not offer a hazard in their use?
If special hand tools are used for placing and removing material, do they protect the operator's hands?
Are revolving drums, barrels, and containers required to be guarded by an enclosure that is interlocked with
the drive mechanism, so that revolution cannot occur unless the guard enclosure is in place, so guarded?
Do arbors and mandrels have firm and secure bearings and are they free from play?
Are provisions made to prevent machines from automatically starting when power is restored after a power
failure or shutdown?
Are machines constructed so as to be free from excessive vibration when the largest size tool is mounted and
run at full speed?
If machinery is cleaned with compressed air, is air pressure controlled and personal protective equipment or
other safeguards used to protect operators and other workers from eye and body injury?
Are fan blades protected with a guard having openings no larger than 1/2 inch, when operating within 7 feet
of the floor?
Are saws used for ripping, equipped with anti-kick back devices and spreaders?
Are radial arm saws so arranged that the cutting head will gently return to the back of the table when
released?
Lockout Blockout Procedures
Is all machinery or equipment capable of movement, required to be de-energized or disengaged and blocked
or locked out during cleaning, servicing, adjusting or setting up operations, whenever required?
Is the locking-out of control circuits in lieu of locking-out main power disconnects prohibited?
Are all equipment control valve handles provided with a means for locking-out?
Does the lockout procedure require that stored energy (i.e. mechanical, hydraulic, air,) be released or blocked
before equipment is locked-out for repairs?
Are appropriate employees provided with individually keyed personal safety locks?
Are employees required to keep personal control of their key(s) while they have safety locks in use?
Is it required that employees check the safety of the lock out by attempting a start up after making sure no
one is exposed?
Where the power disconnecting means for equipment does not also disconnect the electrical control circuit:
Are the appropriate electrical enclosures identified?
Is a mean provide to ensure that the control circuit can also be disconnected and locked out?
Welding, Cutting, and Brazing
Are only authorized and trained personnel permitted to use welding, cutting, or brazing equipment?
Do all operators have a copy of the appropriate operating instructions and are they directed to follow them?
Are compressed gas cylinders regularly examined for obvious signs of defects, deep rusting, or leakage?
Is care used in handling and storage of cylinders, safety valves, relief valves, and the like, to prevent damage?
Are precautions taken to prevent the mixture of air or oxygen with flammable gases, except at a burner or in
a standard torch?

Page 7 of 23
Question
Are only approved apparatus (torches, regulators, pressure-reducing valves, acetylene generators, manifolds)
used?
Are cylinders kept away from sources of heat?
Is it prohibited to use cylinders as rollers or supports?
Are empty cylinders appropriately marked their valves closed and valve-protection caps on?
Are signs reading: DANGER NO-SMOKING, MATCHES, OR OPEN LIGHTS, or the equivalent posted?
Are cylinders, cylinder valves, couplings, regulators, hoses, and apparatus kept free of oily or greasy
substances?
Is care taken not to drop or strike cylinders?
Unless secured on special trucks, are regulators removed and valve-protection caps put in place before
moving cylinders?
Do cylinders without fixed hand wheels have keys, handles, or non-adjustable wrenches on stem valves when
in service?
Are liquefied gases stored and shipped valve-end up with valve covers in place?
Are employees instructed to never crack a fuel-gas cylinder valve near sources of ignition?
Before a regulator is removed, is the valve closed and gas released form the regulator?
Is red used to identify the acetylene (and other fuel-gas) hose, green for oxygen hose, and black for inert gas
and air hose?
Are pressure-reducing regulators used only for the gas and pressures for which they are intended?
Is open circuit (No Load) voltage of arc welding and cutting machines as low as possible and not in excess of
the recommended limits?
Under wet conditions, are automatic controls for reducing no-load voltage used?
Is grounding of the machine frame and safety ground connections of portable machines checked periodically?
Are electrodes removed from the holders when not in use?
Is it required that electric power to the welder be shut off when no one is in attendance?
Is suitable fire extinguishing equipment available for immediate use?
Is the welder forbidden to coil or loop welding electrode cable around his body?
Are wet machines thoroughly dried and tested before being used?
Are work and electrode lead cables frequently inspected for wear and damage, and replaced when needed?
Do means for connecting cables' lengths have adequate insulation?
When the object to be welded cannot be moved and fire hazards cannot be removed, are shields used to
confine heat, sparks, and slag?
Are firewatchers assigned when welding or cutting is performed, in locations where a serious fire might
develop?
Are combustible floors kept wet, covered by damp sand, or protected by fire-resistant shields?
When floors are wet down, are personnel protected from possible electrical shock?
When welding is done on metal walls, are precautions taken to protect combustibles on the other side?
Before hot work is begun, are used drums, barrels, tanks, and other containers so thoroughly cleaned that no
substances remain that could explode, ignite, or produce toxic vapors?
Is it required that eye protection helmets, hand shields and goggles meet appropriate standards?
Are employees exposed to the hazards created by welding, cutting, or bracing operations protected with
personal protective equipment and clothing?

Page 8 of 23
Question
Is a check made for adequate ventilation in and where welding or cutting is preformed?
When working in confined places are environmental monitoring tests taken and means provided for quick
removal of welders in case of an emergency?
Compressors and Compressed Air
Are compressors equipped with pressure relief valves, and pressure gauges?
Are compressor air intakes installed and equipped to ensure that only clean uncontaminated air enters the
compressor?
Are air filters installed on the compressor intake?
Are compressors operated and lubricated in accordance with the manufacturer's recommendations?
Are safety devices on compressed air systems checked frequently?
Before any repair work is done on the pressure system of a compressor, is the pressure bled off and the
system locked-out?
Are signs posted to warn of the automatic starting feature of the compressors?
Is the belt drive system totally enclosed to provide protection for the front, back, top, and sides?
Is it strictly prohibited to direct compressed air towards a person?
Are employees prohibited from using highly compressed air for cleaning purposes?
If compressed air is used for cleaning off clothing, is the pressure reduced to less than 10 psi?
When using compressed air for cleaning, do employees use personal protective equipment?
Are safety chains or other suitable locking devices used at couplings of high pressure hose lines where a
connection failure would create a hazard?
Before compressed air is used to empty containers of liquid, is the safe working pressure of the container
checked?
When compressed air is used with abrasive blast cleaning equipment, is the operating valve a type that must
be held open manually?
When compressed air is used to inflate auto tires, is a clip-on chuck and an inline regulator preset to 40 psi
required?
Is it prohibited to use compressed air to clean up or move combustible dust if such action could cause the
dust to be suspended in the air and cause a fire or explosion hazard?
Compressed Air Receivers
Is every receiver equipped with a pressure gauge and with one or more automatic, spring-loaded safety
valves?
Is the total relieving capacity of the safety valve capable of preventing pressure in the receiver from
exceeding the maximum allowable working pressure of the receiver by more than 10 percent?
Is every air receiver provided with a drainpipe and valve at the lowest point for the removal of accumulated
oil and water?
Are compressed air receivers periodically drained of moisture and oil?
Are all safety valves tested frequently and at regular intervals to determine whether they are in good
operating condition?
Is there a current operating permit issued by the Division of Occupational Safety and Health?
Is the inlet of air receivers and piping systems kept free of accumulated oil and carbonaceous materials?
Compressed Gas and Cylinders
Are cylinders with a water weight capacity over 30 pounds equipped with means for connecting a valve

Page 9 of 23
Question
protector device, or with a collar or recess to protect the valve?
Are cylinders legibly marked to clearly identify the gas contained?
Are compressed gas cylinders stored in areas, which are protected from external heat sources such as flame
impingement, intense radiant heat, electric arcs, or high temperature lines?
Are cylinders located or stored in areas where they will not be damaged by passing or falling objects, or
subject to tampering by unauthorized persons?
Are cylinders stored or transported in a manner to prevent them creating a hazard by tipping, falling or
rolling?
Are cylinders containing liquefied fuel gas, stored or transported in a position so that the safety relief device
is always in direct contact with the vapor space in the cylinder?
Are valve protectors always placed on cylinders when the cylinders are not in use or connected for use?
Are all valves closed off before a cylinder is moved, when the cylinder is empty, and at the completion of each
job?
Are low pressure fuel-gas cylinders checked periodically for corrosion, general distortion, cracks, or any other
defect that might indicate a weakness or render it unfit for service?
Does the periodic check of low pressure fuel-gas cylinders include a close inspection of the cylinders' bottom?
Hoist and Auxiliary Equipment
Is each overhead electric hoist equipped with a limit device to stop the hook travel at its highest and lowest
point of safe travel?
Will each hoist automatically stop and hold any load up to 125 percent of its rated load, if its actuating force
is removed?
Is the rated load of each hoist legibly marked and visible to the operator?
Are stops provided at the safe limits of travel for trolley hoist?
Are the controls of hoists plainly marked to indicate the direction of travel or motion?
Is each cage-controlled hoist equipped with an effective warning device?
Are close-fitting guards or other suitable devices installed on hoist to ensure that hoist ropes will be
maintained in the sheave groves?
Are all hoist chains or ropes of sufficient length to handle the full range of movement for the application
while still maintaining two full wraps on the drum at all times?
Are nip points or contact points between hoist ropes and sheaves which are permanently located within 7
feet of the floor, ground or working platform, guarded?
Is it prohibited to use chains or rope slings that are kinked or twisted?
Is it prohibited to use the hoist rope or chain wrapped around the load as a substitute, for a sling?
Is the operator instructed to avoid carrying loads over people?
Are only employees who have been trained in the proper use of hoists allowed to operate them?
Industrial Trucks – Forklifts
Are only trained personnel allowed to operate industrial trucks?
Is substantial overhead protective equipment provided on high lift rider equipment?
Are the required lift truck operating rules posted and enforced?
Is directional lighting provided on each industrial truck that operates in an area with less than 2 foot candles
per square foot of general lighting?
Does each industrial truck have a warning horn, whistle, gong or other device which can be clearly heard

Page 10 of 23
Question
above the normal noise in the areas where operated?
Are the brakes on each industrial truck capable of bringing the vehicle to a complete and safe stop when fully
loaded?
Will the industrial truck's parking brake effectively prevent the vehicle from moving when unattended?
Are industrial trucks operating in areas where flammable gases or vapors, or combustible dust or ignitable
fibers may be present in the atmosphere, approved for such locations?
Are motorized hand and hand/rider trucks so designed that the brakes are applied, and power to the drive
motor shuts off when the operator releases his/her grip on the device that controls the travel?
Are industrial trucks with internal combustion engine operated in buildings or enclosed areas, carefully
checked to ensure such operations do not cause harmful concentration of dangerous gases or fumes?
Spraying Operations
Is adequate ventilation ensured before spray operations are started?
Is mechanical ventilation provided when spraying operation is done in enclosed areas?
When mechanical ventilation is provided during spraying operations, is it so arranged that it will not circulate
the contaminated air?
Is the spray area free of hot surfaces?
Is the spray area at least 20 feet from flames, sparks, operating electrical motors, and other ignition sources?
Are portable lamps used to illuminate spray areas suitable for use in a hazardous location?
Is approved respiratory equipment provided and used when appropriate during spraying operations?
Do solvents used for cleaning have a flash point of 100E F or more?
Are fire control sprinkler heads kept clean?
Are "NO SMOKING" signs posted in spray areas, paint rooms, paint booths, and paint storage areas?
Is the spray area kept clean of combustible residue?
Are spray booths constructed of metal, masonry, or other substantial noncombustible material?
Are spray booth floors and baffles noncombustible and easily cleaned?
Is infrared drying apparatus kept out of the spray area during spraying operations?
Is the spray booth completely ventilated before using the drying apparatus?
Is the electric drying apparatus properly grounded?
Are lighting fixtures for spray booths located outside of the booth and the interior lighted through sealed
clear panels?
Are the electric motors for exhaust fans placed outside booths or ducts?
Are belts and pulleys inside the booth fully enclosed?
Do ducts have access doors to allow cleaning?
Do all drying spaces have adequate ventilation?
Entering Confined Spaces
Are confined spaces thoroughly emptied of any corrosive or hazardous substances, such as acids or caustics,
before entry?
Before entry, are all lines to a confined space, containing inert, toxic, flammable, or corrosive materials valved
off and blanked or disconnected and separated?
Is it required that all impellers, agitators, or other moving equipment inside confined spaces be locked-out if
they present a hazard?
Is either natural or mechanical ventilation provided prior to confined space entry?

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Question
Before entry, are appropriate atmospheric tests performed to check for oxygen deficiency, toxic substance,
and explosive concentrations in the confined space before entry?
Is adequate illumination provided for the work to be performed in the confined space?
Is the atmosphere inside the confined space frequently tested or continuously monitor during conduct of
work?
Is there an assigned safety standby employee outside of the confined space, whose sole responsibility is to
watch the work in progress, sound an alarm if necessary, and render assistance?
Is the standby employee or other employees prohibited from entering the confined space without lifelines
and respiratory equipment if there are any questions as to the cause of an emergency?
In addition to the standby employee, is there at least one other trained rescuer in the vicinity?
Are all rescuers appropriately trained and using approved, recently inspected equipment?
Does all rescue equipment allow for lifting employees vertically from a top opening?
Are there trained personnel in First Aid and CPR immediately available?
Is there an effective communication system in place whenever respiratory equipment is used and the
employee in the confined space is out of sight of the standby person?
Is approved respiratory equipment required if the atmosphere inside the confined space cannot be made
acceptable?
Is all portable electrical equipment used inside confined spaces either grounded and insulated, or equipped
with ground fault protection?
Before gas welding or burning is started in a confined space, are hoses checked for leaks, compressed gas
bottles forbidden inside of the confined space, torches lighted only outside of the confined area and the
confined area tested for an explosive atmosphere each time before a lighted torch is to be taken into the
confined space?
If employees will be using oxygen-consuming equipment such as salamanders, torches, furnaces, in a
confined space, is sufficient air provided to ensure combustion without reducing the oxygen concentration of
the atmosphere below 19.5 percent by volume?
Whenever combustion-type equipment is used in confined space, are provisions made to ensure the exhaust
gases are vented outside of the enclosure?
Is each confined space checked for decaying vegetation or animal matter, which may produce methane,
hydrogen sulfide, etc?
Is the confined space checked for possible industrial waste, which could contain toxic properties?
If the confined space is below the ground and near areas where motor vehicles will be operating, is it possible
for vehicle exhaust or carbon monoxide to enter the space?
Environmental Controls
Are all work areas properly illuminated?
Are employees instructed in proper first aid and other emergency procedures?
Are hazardous substances identified which may cause harm by inhalation, ingestion, skin absorption, or
contact?
Are employees aware of the hazards involved with the various chemicals they may be exposed to in their
work environment, such as ammonia, chlorine, epoxies, and caustics?
Is employee exposure to chemicals in the workplace kept within acceptable levels?
Can a less harmful method or product be used?

Page 12 of 23
Question
Is the work area's ventilation system appropriate for the work being performed?
Are spray painting operations done in spray rooms or booths equipped with an appropriate exhaust system?
Is employee exposure to welding fumes controlled by ventilation, use of respirators, exposure time, or other
means?
Are welders and other workers nearby provided with flash shields during welding operations?
If forklifts and other vehicles are used in buildings or other enclosed areas, are the carbon monoxide levels
kept below maximum acceptable concentration?
Has there been a determination that noise levels in the facilities are within acceptable levels?
Are steps being taken to use engineering controls to reduce excessive noise levels?
Are proper precautions being taken when handling asbestos and other fibrous materials?
Are caution labels and signs used to warn of asbestos?
Are wet methods used, when practicable, to prevent the emission of airborne asbestos fibers, silica dust and
similar hazardous materials?
Is vacuuming with appropriate equipment used whenever possible rather than blowing or sweeping dust?
Are grinders, saws, and other machines that produce reparable dusts vented to an industrial collector or
central exhaust system?
Are all local exhaust ventilation systems designed and operating properly such as airflow and volume
necessary for the application? Are the ducts free of obstructions or the belts slipping?
Is personal protective equipment provided, used, and maintained wherever required?
Are there written standard operating procedures for the selection and use of respirators where needed?
Are restrooms and washrooms kept clean and sanitary?
Is all water provided for drinking, washing, and cooking potable?
Are all outlets for water not suitable for drinking clearly identified?
Are employees' physical capacities assessed before being assigned to jobs requiring heavy work?
Are employees instructed in the proper manner of lifting heavy objects?
Where heat is a problem, have all fixed work areas been provided with spot cooling or air conditioning?
Are employees screened before assignment to areas of high heat to determine if their health condition might
make them more susceptible to having an adverse reaction?
Are employees working on streets and roadways where they are exposed to the hazards of traffic, required to
wear bright colored (traffic orange) warning vest?
Are exhaust stacks and air intakes located that contaminated air will not be re-circulated within a building or
other enclosed area?
Is equipment producing ultra-violet radiation properly shielded?
Flammable and Combustible Materials
Are combustible scrap, debris, and waste materials (i.e. oily rags) stored in covered metal receptacles and
removed from the worksite promptly?
Is proper storage practiced to minimize the risk of fire including spontaneous combustion?
Are approved containers and tanks used for the storage and handling of flammable and combustible liquids?
Are all connections on drums and combustible liquid piping, vapor and liquid tight?
Are all flammable liquids kept in closed containers when not in use (e.g. parts cleaning tanks, pans)?
Are bulk drums of flammable liquids grounded and bonded to containers during dispensing?
Do storage rooms for flammable and combustible liquids have explosion-proof lights?

Page 13 of 23
Question
Do storage rooms for flammable and combustible liquids have mechanical or gravity ventilation?
Is liquefied petroleum gas stored, handled, and used in accordance with safe practices and standards?
Are liquefied petroleum storage tanks guarded to prevent damage from vehicles?
Are all solvent wastes and flammable liquids kept in fire-resistant covered containers until they are removed
from the worksite?
Is vacuuming used whenever possible rather than blowing or sweeping combustible dust?
Are fire separators placed between containers of combustibles or flammables, when stacked one upon
another, to ensure their support and stability?
Are fuel gas cylinders and oxygen cylinders separated by distance, fire resistant barriers or other means while
in storage?
Are fire extinguishers selected and provided for the types of materials in areas where they are to be used?
Class A: Ordinary combustible material fires.
Class B: Flammable liquid, gas or grease fires.
Class C: Energized-electrical equipment fires.
If a Halon 1301 fire extinguisher is used, can employees evacuate within the specified time for that
extinguisher?
Are appropriate fire extinguishers mounted within 75 feet of outside areas containing flammable liquids, and
within 10 feet of any inside storage area for such materials?
Is the transfer/withdrawal of flammable or combustible liquids performed by trained personnel?
Are fire extinguishers mounted so that employees do not have to travel more than 75 feet for a class "A" fire
or 50 feet for a class "B" fire?
Are employees trained in the use of fire extinguishers?
Are extinguishers free from obstructions or blockage?
Are all extinguishers serviced, maintained, and tagged at intervals not to exceed one year?
Are all extinguishers fully charged and in their designated places?
Is a record maintained of required monthly checks of extinguishers?
Where sprinkler systems are permanently installed, are the nozzle heads directed or arranged so that water
will not be sprayed into operating electrical switchboards and equipment?
Are "NO SMOKING" signs posted where appropriate in areas where flammable or combustible materials are
used or stored?
Are "NO SMOKING" signs posted on liquefied petroleum gas tanks?
Are "NO SMOKING" rules enforced in areas involving storage and use of flammable materials?
Are safety cans used for dispensing flammable or combustible liquids at a point of use?
Are all spills of flammable or combustible liquids cleaned up promptly?
Are storage tanks adequately vented to prevent the development of excessive vacuum or pressure as a result
of filling, emptying, or atmosphere temperature changes?
Are storage tanks equipped with emergency venting that will relieve excessive internal pressure caused by
fire exposure?
Are spare portable or butane tanks, which are sued by industrial trucks stored in accord with regulations?
Fire Protection Plan
Do you have a fire prevention plan?
Does your plan describe the type of fire protection equipment and/or systems?

Page 14 of 23
Question
Have you established practices and procedures to control potential fire hazards and ignition sources?
Are employees aware of the fire hazards of the material and processes to which they are exposed?
Is your local fire department well acquainted with your facilities, location, and specific hazards?
If you have a fire alarm system, is it tested at least annually?
If you have a fire alarm system, is it certified as required?
If you have interior standpipes and valves, are they inspected regularly?
If you have outside private fire hydrants, are they flushed at least once a year and on a routine preventive
maintenance schedule?
Are fire doors and shutters in good operating condition?
Are fire doors and shutters unobstructed and protected against obstructions, including their counterweights?
Are fire door and shutter fusible links in place?
Are automatic sprinkler system water control valves, air and water pressures checked weekly/periodically as
required?
Is maintenance of automatic sprinkler system assigned to responsible persons or to a sprinkler contractor?
Are sprinkler heads protected by metal guards, when exposed to physical damage?
Is proper clearance maintained below sprinkler heads?
Are portable fire extinguishers provided in adequate number and type?
Are fire extinguishers mounted in readily accessible locations?
Are fire extinguishers recharged regularly and noted on the inspection tag?
Are employees periodically instructed in the use of extinguishers and fire protection procedures?
Hazardous Chemical Exposures
Are employees trained in the safe handling practices of hazardous chemicals such as acids, caustics, and the
like?
Are employees aware of the potential hazards involving various chemicals stored or used in the workplace--
such as acids, bases, caustics, epoxies, and phenols?
Is employee exposure to chemicals kept within acceptable levels?
Are eye wash fountains and safety showers provided in areas where corrosive chemicals are handled?
Are all containers, such as vats and storage tanks labeled as to their contents--e.g. "CAUSTICS"?
Are all employees required to use personal protective clothing and equipment when handling chemicals (i.e.
gloves, eye protection, and respirators)?
Are flammable or toxic chemicals kept in closed containers when not in use?
Are chemical piping systems clearly marked as to their content?
Where corrosive liquids are frequently handled in open containers or drawn from storage vessels or
pipelines, are adequate means readily available for neutralizing or disposing of spills or overflows properly
and safely?
Have standard operating procedures been established and are they being followed when cleaning up
chemical spills?
Where needed for emergency use, are respirators stored in a convenient, clean, and sanitary location?
Are respirators intended for emergency use adequate for the various uses for which they may be needed?
Are employees prohibited from eating in areas where hazardous chemicals are present?
Is personal protective equipment provided, used and maintained whenever necessary?

Page 15 of 23
Question
Are there written standard operating procedures for the selection and use of respirators where needed?
If you have a respirator protection program, are your employees instructed on the correct usage and
limitations of the respirators?
Are the respirators NIOSH approved for this particular application?
Are they regularly inspected and cleaned sanitized and maintained?
If hazardous substances are used in your processes, do you have a medical or biological monitoring system in
operation?
Are you familiar with the Threshold Limit Values or Permissible Exposure Limits of airborne contaminants and
physical agents used in your workplace?
Have control procedures been instituted for hazardous materials, where appropriate, such as respirators,
ventilation systems, handling practices, and the like?
Whenever possible, are hazardous substances handled in properly designed and exhausted booths or similar
locations?
Do you use general dilution or local exhaust ventilation systems to control dusts, vapors, gases, fumes,
smoke, solvents or mists which may be generated in your workplace?
Is ventilation equipment provided for removal of contaminants from such operations as production grinding,
buffing, spray painting, and/or vapor decreasing, and is it operating properly?
Do employees complain about dizziness, headaches, nausea, irritation, or other factors of discomfort when
they use solvents or other chemicals?
Is there a dermatitis problem--do employees complain about skin dryness, irritation, or sensitization?
Have you considered the use of an industrial hygienist or environmental health specialist to evaluate your
operation?
If internal combustion engines are used, is carbon monoxide kept within acceptable levels?
Is vacuuming used, rather than blowing or sweeping dusts whenever possible for clean up?
Are materials that emit toxic asphyxiant, suffocating, or anesthetic fumes stored in remote or isolated
locations when not in use?
Hazard Communication
Is there a list of hazardous substances used in your workplace?
Is there a written hazard communication program dealing with material safety data sheets (MSDS) labeling,
and employee training?
Who is responsible for MSDSs, container labeling, and employee training?
Is each container for a hazardous substance (i.e. vats, bottles, storage tanks,) labeled with product identity
and a hazard warning (communication of the specific health hazards and physical hazards)?
Is there a Material Safety Data Sheet readily available for each hazardous substance used?
How will you inform other employers whose employees share the same work area where the hazardous
substances are used?
Is there an employee training program for hazardous substances?
Does this program include:
• An explanation of what an MSDS is and how to use and obtain one?
• MSDS contents for each hazardous substance or class of substances?
• Explanation of "Right to Know"?
• Identification of where employees can see the employer's written hazard communication program

Page 16 of 23
Question
and where hazardous substances are present in their work area?
• The physical and health hazards of substances in the work area, how to detect their presence, and
specific protective measures to be used? Details of the hazard communication program, including
how to use the labeling system and MSDSs?
• How employees will be informed of hazards of non-routine tasks, and hazards of unlabeled pipes?
Electrical
Are your workplace electricians familiar with the OSHA Electrical Safety Orders?
Do you specify compliance with OSHA for all contract electrical work?
Are all employees required to report as soon as practicable any obvious hazard to life or property observed in
connection with electrical equipment or lines?
Are employees instructed to make preliminary inspections and/or appropriate tests to determine what
conditions exist before starting work on electrical equipment or lines?
When electrical equipment or lines are to be serviced, maintained or adjusted, are necessary switches
opened, locked-out and tagged whenever possible?
Are portable electrical tools and equipment grounded or of the double insulated type?
Are electrical appliances such as vacuum cleaners, polishers, and vending machines grounded?
Do extension cords being used have a grounding conductor?
Are multiple plug adapters prohibited?
Are ground-fault circuit interrupters installed on each temporary 15 or 20 ampere, 120 volt AC circuit at
locations where construction, demolition, modifications, alterations, or excavations are being performed?
Are all temporary circuits protected by suitable disconnecting switches or plug connectors at the junction
with permanent wiring?
Is exposed wiring and cords with frayed or deteriorated insulation repaired or replaced promptly?
Are flexible cords and cables free of splices or taps?
Are clamps or other securing means provided on flexible cords or cables at plugs, receptacles, tools, and
equipment and is the cord jacket securely held in place?
Are all cord, cable, and raceway connections intact and secure?
In wet or damp locations, are electrical tools and equipment appropriate for the use or location or otherwise
protected?
Is the location of electrical power lines and cables (overhead, underground, under floor, other side of walls)
determined before digging, drilling or similar work is begun?
Are metal measuring tapes, ropes, hand lines or similar devices with metallic thread woven into the fabric
prohibited where they could come in contact with energized parts of equipment or circuit conductors?
Is the use of metal ladders prohibited in area where the ladder or the person using the ladder could come in
contact with energized parts of equipment, fixtures, or circuit conductors?
Are all disconnecting switches and circuit breakers labeled to indicate their use or equipment served?
Are disconnecting means always opened before fuses are replaced?
Do all interior wiring systems include provisions for grounding metal parts of electrical raceways, equipment,
and enclosures?
Are all electrical raceways and enclosures securely fastened in place?
Are all energized parts of electrical circuits and equipment guarded against accidental contact by approved

Page 17 of 23
Question
cabinets or enclosures?
Is sufficient access and working space provided and maintained about all electrical equipment to permit
ready and safe operations and maintenance?
Are all unused openings (including conduit knockouts) in electrical enclosures and fittings closed with
appropriate covers, plugs or plates?
Are electrical enclosures such as switches, receptacles, junction boxes, etc., provided with tight-fitting covers
or plates?
Are disconnecting switches for electrical motors in excess of two horsepower, capable of opening the circuit
when the motor is in a stalled condition, without exploding? (Switches must be horsepower rated equal to or
in excess of the motor hp rating).
Is low voltage protection provided in the control device of motors driving machines or equipment, which
could cause probably injury from inadvertent starting?
Is each motor disconnecting switch or circuit breaker located within sight of the motor control device?
Is each motor located within sight of its controller or the controller disconnecting means capable of being
locked in the open position or is a separate disconnecting means installed in the circuit within sight of the
motor?
Is the controller for each motor in excess of two horsepower, rated in horsepower equal to or in excess of the
rating of the motor is serves?
Are employees who regularly work on or around energized electrical equipment or lines instructed in the
cardiopulmonary resuscitation (CPR) methods?
Are employees prohibited from working alone on energized lines or equipment over 600 volts?
Noise
Are there areas in the workplace where continuous noise levels exceed 85 dBA? (To determine maximum
allowable levels for intermittent or impact noise, see 29 CFR 1910 and 1926)
Are noise levels being measured using a sound level meter or an octave band analyzer and records being
kept?
Have you tried isolating noisy machinery from the rest of your operation?
Have engineering controls been used to reduce excessive noise levels?
Where engineering controls are determined not feasible, are PPE or administrative controls (i.e. worker
rotation) being used to minimize individual employee exposure to noise?
Is there an ongoing preventive health program to educate employees in safe levels of noise and exposure,
effects of noise on their health, and use of personal protection?
Is the training repeated annually for employees exposed to continuous noise above 85 dBA?
Have work areas where noise levels make voice communication between employees difficult been identified
and posted?
Is approved hearing protective equipment (noise attenuating devices) available to every employee working in
areas where continuous noise levels exceed 85 dBA?
If you use ear protectors, are employees properly fitted and instructed in their use and care?
Are employees exposed to continuous noise above 85 dBA given periodic audiometric testing to ensure that
you have an effective hearing protection system?
Fueling
Is it prohibited to fuel an internal combustion engine with a flammable liquid while the engine is running?

Page 18 of 23
Question
Are fueling operations done in such a manner that likelihood of spillage will be minimal?
When spillage occurs during fueling operations, is the spilled fuel cleaned up completely, evaporated, or
other measures taken to control vapors before restarting the engine?
Are fuel tank caps replaced and secured before starting the engine?
In fueling operations is there always metal contact between the container and fuel tank?
Are fueling hoses of a type designed to handle the specific type of fuel?
Is it prohibited to handle or transfer gasoline in open containers?
Are open lights, open flames, or sparking or arcing equipment prohibited near fueling or transfer of fuel
operations?
Is smoking prohibited in the vicinity of fueling operations?
Are fueling operations prohibited in building or other enclosed areas that are not specifically ventilated for
this purpose?
Where fueling or transfer of fuel is done through a gravity flow system, are the nozzles of the self-closing
type?
Identification of Piping Systems
When nonpotable water is piped through a facility, are outlets or taps posted to alert employees that it is
unsafe and not to be used for drinking, washing, or other personal use?
When hazardous substances are transported through above ground piping, is each pipeline identified at
points where confusion could introduce hazards to employees?
When pipelines are identified by color painting, are all visible parts of the line so identified?
When pipelines are identified by color painted bands or tapes, are the bands or tapes located at reasonable
intervals and at each outlet, valve or connection?
When pipelines are identified by color, is the color code posted at all locations where confusion could
introduce hazards to employees?
When the contents of pipelines are identified by name or name abbreviation, is the information readily
visible on the pipe near each valve or outlet?
When pipelines carrying hazardous substances are identified by tags, are the tags constructed of durable
materials, the message carried clearly ad permanently distinguishable and are tags installed at each valve or
outlet?
When pipelines are heated by electricity, steam or other external source, are suitable warning signs or tags
placed at unions, valves, or other serviceable parts of the system?
Material Handling
Is there safe clearance for equipment through aisles and doorways?
Are aisle ways designated, permanently marked, and kept clear to allow unhindered passage?
Are motorized vehicles and mechanized equipment inspected daily or prior to use?
Are vehicles shut off and brakes set prior to loading or unloading?
Are containers or combustibles or flammables, when stacked while being moved, always separated by
dunnage sufficient to provide stability?
Are dock boards (bridge plates) used when loading or unloading operations are taking place between vehicles
and docks?
Are trucks and trailers secured from movement during loading and unloading operations?
Are dock plates and loading ramps constructed and maintained with sufficient strength to support imposed

Page 19 of 23
Question
loading?
Are hand trucks maintained in safe operating condition?
Are chutes equipped with sideboards of sufficient height to prevent the materials being handled from falling
off?
Are chutes and gravity roller sections firmly placed or secured to prevent displacement?
At the delivery end of rollers or chutes, are provisions made to brake the movement of the handled materials.
Are pallets usually inspected before being loaded or moved?
Are hooks with safety latches or other arrangements used when hoisting materials so that slings or load
attachments won't accidentally slip off the hoist hooks?
Are securing chains, ropes, chockers, or slings adequate for the job to be performed?
When hoisting material or equipment, are provisions made to ensure that no one will be passing under the
suspended loads?
Are Material Safety Data Sheets available to employees handling hazardous substances?
Transporting Employees and Materials
Do employees who operate vehicles on public thoroughfares have valid operator’s licenses?
When seven or more employees are regularly transported in a van, bus or truck, is the operator’s license
appropriate for the class of vehicle being driven?
Is each van, bus, or truck used regularly to transport employees, equipped with an adequate number of
seats?
When employees are transported by truck, are provision provided to prevent their falling from the vehicle?
Are vehicles used to transport employees, equipped with lamps, brakes, horns, mirrors, windshields, and turn
signals in good repair?
Are transport vehicles provided with handrails, steps, stirrups, or similar devices, so placed and arranged that
employees can safely mount or dismount?
Are employee transport vehicles equipped at all times with at least two reflective type flares?
Is a full charged fire extinguisher, in good condition, with at least 4 B:C rating maintained in each employee
transport vehicle?
When cutting tools with PSP edges are carried in passenger compartments of employee transport vehicles,
are they placed in closed boxes or containers that are secured in place?
Are employees prohibited from riding on top of any load, which can shift, topple, or otherwise become
unstable?
Control of Harmful Substances by Ventilation
Is the volume and velocity of air in each exhaust system sufficient to gather the dusts, fumes, mists, vapors or
gases to be controlled, and to convey them to a suitable point of disposal?
Are exhaust inlets, ducts and plenums designed, constructed, and supported to prevent collapse or failure of
any part of the system?
Are clean-out ports or doors provided at intervals not to exceed 12 feet in all horizontal runs of exhaust
ducts?
Where two or more different type of operations are being controlled through the same exhaust system, will
the combination of substances being controlled, constitute a fire, explosion or chemical reaction hazard in
the duct?
Is adequate makeup air provided to areas where exhaust systems are operating?

Page 20 of 23
Question
Is the intake for makeup air located so that only clean, fresh air, which is free of contaminates, will enter the
work environment?
Where two or more ventilation systems are serving a work area, is their operation such that one will not
offset the functions of the other?
Sanitizing Equipment and Clothing
Is personal protective clothing or equipment that employees are required to wear or use, of a type capable of
being easily cleaned and disinfected?
Are employees prohibited from interchanging personal protective clothing or equipment, unless it has been
properly cleaned?
Are machines and equipment, which processes, handle or apply materials that could be injurious to
employees, cleaned and/or decontaminated before being overhauled or placed in storage?
Are employees prohibited from smoking or eating in any area where contaminates are present that could be
injurious if ingested?
When employees are required to change from street clothing into protective clothing, is a clean change room
with separate storage facility for street and protective clothing provided?
Are employees required to shower and wash their hair as soon as possible after a known contact has
occurred with a carcinogen?
When equipment, materials, or other items are taken into or removed from a carcinogen regulated area, is it
done in a manner that will not contaminate non-regulated areas or the external environment?
Tire Inflation
Where tires are mounted and/or inflated on drop center wheels is a safe practice procedure posted and
enforced?
Where tires are mounted and/or inflated on wheels with split rims and/or retainer rings is a safe practice
procedure posted and enforced?
Does each tire inflation hose have a clip-on chuck with at least 24 inches of hose between the chuck and an
in-line hand valve and gauge?
Does the tire inflation control valve automatically shut off the airflow when the valve is released?
Is a tire restraining device such as a cage, rack, or other effective means used while inflating tires mounted on
split rims, or rims using retainer rings?
Are employees strictly forbidden from taking a position directly over or in front of a tire while it’s being
inflated?
Emergency Action Plan
Are you required to have an emergency action plan?
Does the emergency action plan comply with OSHA and NGSS requirements?
Have emergency escape procedures and routes been developed and communicated to all employers?
Do employees, who remain to operate critical plant operations before they evacuate, know the proper
procedures?
Is the employee alarm system that provides a warning for emergency action recognizable and perceptible
above ambient conditions?
Are alarm systems properly maintained and tested regularly?
Is the emergency action plan reviewed and revised periodically?
Do employees now their responsibilities:

Page 21 of 23
Question
For reporting emergencies?
During an emergency?
For conducting rescue and medical duties?
Infection Control
Are employees potentially exposed to infectious agents in body fluids?
Have occasions of potential occupational exposure been identified and documented?
Has a training and information program been provided for employees exposed to or potentially exposed to
blood and/or body fluids?
Have infection control procedures been instituted where appropriate, such as ventilation, universal
precautions, workplace practices, and personal protective equipment?
Are employees aware of specific workplace practices to follow when appropriate? (Hand washing, handling
PSP instruments, handling of laundry, disposal of contaminated materials, reusable equipment.)
Is personal protective equipment provided to employees, and in all appropriate locations?
Is the necessary equipment (i.e. mouthpieces, resuscitation bags, and other ventilation devices) provided for
administering mouth-to-mouth resuscitation on potentially infected patients?
Are facilities/equipment to comply with workplace practices available, such as hand-washing sinks, biohazard
tags and labels, needle containers, detergents/disinfectants to clean up spills?
Are all equipment and environmental and working surfaces cleaned and disinfected after contact with blood
or potentially infectious materials?
Is infectious waste placed in closable, leak proof containers, bags or puncture-resistant holders with proper
labels?
Has medical surveillance including HBV evaluation, antibody testing, and vaccination been made available to
potentially exposed employees?
Training on universal precautions?
Training on personal protective equipment?
Training on workplace practices, which should include blood drawing, room cleaning, laundry handling, clean
up of blood spills?
Training on needle stick exposure/management?
Hepatitis B vaccinations?
Ergonomics
Can the work be performed without eyestrain or glare to the employees?
Does the task require prolonged raising of the arms?
Do the neck and shoulders have to be stooped to view the task?
Are there pressure points on any parts of the body (wrists, forearms, back of thighs)?
Can the work be done using the larger muscles of the body?
Can the work be done without twisting or overly bending the lower back?
Are there sufficient rest breaks, in addition to the regular rest breaks, to relieve stress from repetitive-motion
tasks?
Are tools, instruments and machinery shaped, positioned, and handled so that tasks can be performed
comfortably?
Are all pieces of furniture adjusted, positioned, and arranged to minimize strain on all parts of the body?
Crane Checklist

Page 22 of 23
Question
Are the cranes visually inspected for defective components prior to the beginning of any work shift?
Are all electrically operated cranes effectively grounded?
Is a crane preventive maintenance program established?
Is the load chart clearly visible to the operator?
Are operating controls clearly identified?
Is a fire extinguisher provided at the operator's station?
Is the rated capacity visibly marked on each crane?
Is an audible warning device mounted on each crane?
Is sufficient illumination provided for the operator to perform the work safely?
Are cranes of such design, that the boom could fall over backward, equipped with boom stops?
Does each crane have a certificate indicating that required testing and examinations have been performed?
Are crane inspection and maintenance records maintained and available for inspection?

Page 23 of 23
Construction
Management
Procedures
Section VI
Standard Forms
Construction
Management
Procedures
Construction Section VI
Management Standard Forms
Table of Contents
Form – CM101 Contract Change Order
Form – CM102 Change Directive
Form – CM103 Request for Information
Form – CM104 Request for Flagging
Form – CM105 Request for Survey
Form – CM106 CCO Review Checklist
Form – CM107 Clarification Memo Form
Form – CM108 Project Site Review Checklist
Form – CM109 Corrective Action Form
Form – CM110 Payment Verification
Form – CM111 Labor Compliance Checklist
Form – CM112 Labor Standard and Prevailing Wage Requirement
Form – CM113 Certificate to Supervise Payment of Employees
Form – CM114 Payroll (WH 347)
Form – CM115 Owner Operator Listing and Compliance (CEM 2505)
Form – CM116 Fringe Benefit Statement
Form – CM117 Employers Monthly Report to Trustees
Form – CM118 Public Works Contract Award Information (DAS 140)
Form – CM119 Request for Dispatch of an Apprentice (DAS 142)
Form – CM120 Training Fund Contributions (CAC 2)
Form – CM121 Final Certificate Labor Compliance
Form – CM122 DBE Report Summary
Form – CM123 Employee Interview Labor Compliance
Form – CM124 Annual EEO Report (FHWA-1391)
Form – CM125 Request to Authorize Work
Form – CM126 Property Damage Info Form
Form – CM201 Document Control Audit Form
Form – CM401 Resident Engineer Daily Report
Form – CM402 Daily Inspection Report
Form – CM403 Non-Compliance Report
Form – CM404 Notice of Materials to be Used
Form – CM405 Materials Inspected and Released on Job
Form – CM406 Calculation Sheet
Form – CM407 Notice of Inspection, Testing or Material Sampling
Form – CM408 Materials on Hand
Form – CM501 Incident/Accident Report
Form – CM502 Near Miss Report
Form – CM503 Activity Hazards Analysis
Form – CM504 Competent Person
Section VI – Standard Forms

Construction Section VI
Management Standard Forms
Form – CM505 Notice of Safety and Health Violations

Form – CM506 Daily Safety Huddle Attendance
Form – CM507 Safety Orientation Acknowledgement
Form – CM508 Activity Hazards Analysis Training
Form – CM509 BNSF Form G
Form – CM510 Site Safety Review
Section VI – Standard Forms

Exhibit A OCTA Construction Manual Procedures PDF

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Exhibit A OCTA Construction Manual Procedures PDF

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Construction

This procedures manual has been developed to assist

December 21, 2012

Section I Contract Administration

Section II Document Control

Section III Project Close Out

Section IV Quality Assurance and Controls

Section VI Standard Forms

Acronym Term or Definition

Acronym Term or Definition

CONTRACTOR CM TEAM MEMBERS Construction

included to perform a review. The CM may return the RFI CM Able No CM Defers RFI

Attachment A: File Breakdown Structure

Section II – Document Controls

2 The Document Control System

Section II – Document Controls

Section II – Document Controls

2.1.3 Software Management and Backup

Section II – Document Controls

2.5 Filing System Audits

Section II – Document Controls

2.7 Confidential Items

Section II – Document Controls

Document Control Lead

3.1 Document Control Administrator Group

Section II – Document Controls

4 File Naming Protocols

Section II – Document Controls

Section II – Document Controls

Correspondence Type From and To Designations

Section II – Document Controls

Section II – Document Controls

Section II – Document Controls

5 File Breakdown System

6 Preparing Documents/Files for Document Control System

Section II – Document Controls

6.2 Distributing Project Documents

Routing Slip Example

FILE OCTA Job Key No. and Title

COPIES DISTRIBUTION DOCUMENT INFORMATION

JT -OCTA TYPE: SUBMITTAL TRANSMITTAL LETTER

AM - OCTA TRACK DOCUMENT: BIC:

JEG - OCTA NEW SUB PACKAGE

PB - OCTA PACKAGE NO:

JB - OCTA PACKAGE NAME:

XX - CON SUBMITTAL NO.

TYPE: L E T CCO COR COM SUB MM RPT_

FOR YOUR INFORMATION

REVIEW AND COMMENT

PER YOUR REQUEST

FOR YOUR APPROVAL

Section II – Document Controls

Section II – Document Controls

Section II – Document Controls

Section II – Document Controls

Section II – Document Controls

13. Complete the file stamp information with the Log #.

Section II – Document Controls

6.7 Contract Change Orders

Section II – Document Controls

7 Periodic Reporting Logs

Section II – Document Controls

SHAREPOINT CONTRACT MANAGER