Construction Manual March 2009

Table of Contents i

TABLE OF CONTENTS

Section Page

CHAPTER 1 – INTRODUCTION .................................................................................1-1

1.1 Purpose and Use of the Manual ................................................................................................1-1

1.2 Abbreviations and Definitions ...................................................................................................1-2

1.3 Delegations of Authority ............................................................................................................1-4

1.3.1 Chief of Contracting Office (COCO)..........................................................................1-4

1.3.2 Contracting Officer.....................................................................................................1-4

1.3.3 Contracting Officer’s Technical Representative (COTR) ..........................................1-5

1.4 Responsibilities of the Project Engineer..................................................................................1-6

1.4.1 General......................................................................................................................1-6

1.4.2 Project Documents ....................................................................................................1-6

1.4.3 Plan of Operations.....................................................................................................1-6

1.4.4 Project Stakeout ........................................................................................................1-6

1.4.5 Inspection ..................................................................................................................1-7

1.4.6 Measurement and Payment ......................................................................................1-7

1.4.7 Changes ....................................................................................................................1-8

1.4.8 Personnel...................................................................................................................1-8

1.4.9 Equipment..................................................................................................................1-8

1.4.10 Records and Reports.................................................................................................1-8

1.4.11 Project Costs .............................................................................................................1-8

1.5 Relations with the Contractor..................................................................................................1-10

1.6 Relations with Cooperating and Other Agencies ..................................................................1-12

1.6.1 General....................................................................................................................1-12

1.6.2 Forest Service .........................................................................................................1-12

1.6.3 National Park Service ..............................................................................................1-13

1.6.4 Indian Reservation Roads (IRR) Program...............................................................1-13

1.6.5 Fish and Wildlife Service .........................................................................................1-13

1.6.6 Other Federal Cooperating Agencies......................................................................1-14

1.6.7 Other Cooperating Agencies ...................................................................................1-14

1.6.8 Regulatory Agencies ...............................................................................................1-15

1.7 Relations with the Public..........................................................................................................1-16

1.8 Media Relations.........................................................................................................................1-17

CHAPTER 2 – PRECONSTRUCTION.........................................................................2-1

2.1 General.........................................................................................................................................2-1

2.2 Field Office...................................................................................................................................2-2

2.3 Preconstruction Conference......................................................................................................2-3

2.4 Claims and Disputes...................................................................................................................2-5
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2.5 Partnering with the Construction Contractor ..........................................................................2-9

2.5.1 Background ...............................................................................................................2-9

2.5.2 Policy for Partnering ................................................................................................2-11

2.5.3 Formal Partnering....................................................................................................2-11

2.5.4 Informal Partnering ..................................................................................................2-14

2.5.5 Emphasis is on Attitude ...........................................................................................2-14

2.5.6 Follow-up Evaluations and Measurement ...............................................................2-14

2.6 Notice to Proceed......................................................................................................................2-15

CHAPTER 3 – SAFETY...............................................................................................3-1

3.1 General.........................................................................................................................................3-1

3.2 Government Responsibility for Safety of FLH Personnel.......................................................3-2

3.2.1 Personal protective Equipment .................................................................................3-2

3.2.2 Project Engineer Safety REsponsibilities ..................................................................3-2

3.2.3 Operating Government Vehicles ...............................................................................3-2

3.3 Accidents .....................................................................................................................................3-4

3.3.1 Accidents Involving Government Vehicles ................................................................3-4

3.3.2 Personal or property accidents..................................................................................3-5

3.3.3 Occupational Accident Report...................................................................................3-5

3.3.4 Accident/Injury Compensation Forms .......................................................................3-6

3.3.5 Contractor Accidents .................................................................................................3-7

3.4 Construction Safety....................................................................................................................3-9

3.4.1 General......................................................................................................................3-9

3.4.2 FLH Safety Responsibilities Prior to Start of Construction........................................3-9

3.4.3 FLH Safety Responsibilities During Construction Operations.................................3-12

3.4.4 High Risk Situations ................................................................................................3-16

CHAPTER 4 – LEGAL AND ENVIRONMENTAL COMPLIANCE...............................4-1

4.1 General.........................................................................................................................................4-1

4.2 Laws to be Observed..................................................................................................................4-2

4.3 Permits and Responsibilities.....................................................................................................4-3

4.3.1 Materials Sources and Easements............................................................................4-3

4.3.2 Load Limits ................................................................................................................4-3

4.3.3 Bulletin Board ............................................................................................................4-4

4.3.4 NPDES Permits .........................................................................................................4-4

4.4 Protection and Restoration of Property and Landscape ........................................................4-7

4.4.1 General......................................................................................................................4-7

4.4.2 Trespassing ...............................................................................................................4-7

4.4.3 Forest, Park, and Public Lands Protection ................................................................4-7

4.4.4 Fire Prevention and Control.......................................................................................4-8

4.4.5 Pits and Quarries.......................................................................................................4-9
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4.5 Contractor’s Responsibility for Work .....................................................................................4-10

4.6 Utilities .......................................................................................................................................4-11

4.6.1 Government-Owned Utilities....................................................................................4-11

4.6.2 Privately-Owned Utilities..........................................................................................4-11

4.7 Encroachments on Highway Right-of-Way ............................................................................4-13

CHAPTER 5 – CONSTRUCTION SCHEDULE AND PROGRESS .............................5-1

5.1 General.........................................................................................................................................5-1

5.2 Construction Schedules.............................................................................................................5-2

5.2.1 General Requirements ..............................................................................................5-2

5.2.2 Limitations on Completing Work................................................................................5-2

5.2.3 Construction Schedule Format..................................................................................5-2

5.2.4 Schedule Updates .....................................................................................................5-9

5.3 Limitation of Operations...........................................................................................................5-11

5.4 Contract Time ............................................................................................................................5-12

5.4.1 Failure to Complete Work Within the Time Allowed................................................5-12

5.4.2 Methods of Adjusting Time Allowance ....................................................................5-12

5.4.3 Consideration of Time Adjustments ........................................................................5-13

5.5 Work Suspensions and Stop Orders ......................................................................................5-14

5.5.1 Definitions ................................................................................................................5-14

5.5.2 Suspension of Contractor Operations .....................................................................5-14

5.5.3 Stoppage of Contractor Operations.........................................................................5-15

5.5.4 Content of Suspensions and Stop Orders...............................................................5-16

5.5.5 Content of Resumption Orders................................................................................5-19

CHAPTER 6 – SURVEYING AND STAKING..............................................................6-1

6.1 General.........................................................................................................................................6-1

6.2 Verification of Staking Information ...........................................................................................6-2

6.3 Verification of Survey Control in the Field ...............................................................................6-3

6.4 Establishing and Referencing Centerline and/or Other Roadway Control ...........................6-4

6.5 Permanent Monuments ..............................................................................................................6-5

6.6 Bridges.........................................................................................................................................6-6

6.7 Retaining Walls ...........................................................................................................................6-7

6.8 Slope Stakes................................................................................................................................6-8
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6.9 Fine Grade Control Stakes.......................................................................................................6-11

6.10 Sight Levels ...............................................................................................................................6-12

CHAPTER 7 – QUALITY CONTROL/QUALITY ASSURANCE .................................7-1

7.1 General.........................................................................................................................................7-1

7.2 Character of Workers and Adequacy of Equipment................................................................7-2

7.3 Contractor Quality Control Plan (CQCP) ..................................................................................7-3

7.3.1 General......................................................................................................................7-3

7.3.2 Development of a CQCP...........................................................................................7-6

7.3.3 Acceptance of the CQCP ........................................................................................7-11

7.3.4 Contract Administration ...........................................................................................7-14

7.4 Record and Report Preparation...............................................................................................7-16

7.4.1 General....................................................................................................................7-16

7.4.2 Project Diaries and Inspector’s Daily Reports (IDRs) .............................................7-16

7.4.3 Photographs ............................................................................................................7-18

7.5 Contract Inspectors ..................................................................................................................7-22

7.5.1 General....................................................................................................................7-22

7.5.2 Contract Inspection Contract (CIC) .........................................................................7-22

7.5.3 Task Orders.............................................................................................................7-22

7.5.4 CI Duties ..................................................................................................................7-23

7.5.5 Project Engineer Duties...........................................................................................7-24

7.5.6 CI Time and Attendance..........................................................................................7-24

7.5.7 CI Invoices...............................................................................................................7-26

7.5.8 CI Performance and/or Conduct..............................................................................7-26

7.5.9 CI and Government Furnished Equipment..............................................................7-27

7.5.10 CI Releases and Transfers......................................................................................7-27

CHAPTER 8 – PROJECT ADMINISTRATION ............................................................8-1

8.1 General.........................................................................................................................................8-1

8.2 Labor Requirements ...................................................................................................................8-2

8.3 Equal Employment Opportunity Requirements.......................................................................8-4

8.3.1 Nondiscrimination ......................................................................................................8-4

8.3.2 Affirmative Action.......................................................................................................8-4

8.3.3 Reports ......................................................................................................................8-4

8.4 Correspondence..........................................................................................................................8-6

8.5 Working Drawings.......................................................................................................................8-7

8.6 Project Status Reports ...............................................................................................................8-8
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8.7 Opening of Sections of Project to Traffic.................................................................................8-9

8.8 Subcontracting..........................................................................................................................8-10

8.8.1 General....................................................................................................................8-10

8.8.2 Percent Subcontracted ............................................................................................8-11

8.8.3 Materials Supply Subcontracts................................................................................8-11

8.8.4 Small and Small Disadvantaged Business Concerns .............................................8-12

8.8.5 Miller Act..................................................................................................................8-12

CHAPTER 9 – MEASUREMENT AND PAYMENT......................................................9-1

9.1 General.........................................................................................................................................9-1

9.2 Pay Notes and Computations ....................................................................................................9-2

9.2.1 General......................................................................................................................9-2

9.2.2 Computations and Supporting Documents................................................................9-2

9.3 Probables and Construction Engineering Costs.....................................................................9-4

9.4 Measurement of Quantities........................................................................................................9-5

9.4.1 General......................................................................................................................9-5

9.4.2 Quantity Significant Figures.......................................................................................9-6

9.4.3 Computation of Earthwork Quantities........................................................................9-7

9.4.4 Measurement of Materials (Weight Basis) ................................................................9-8

9.5 Progress Payments...................................................................................................................9-11

9.5.1 General Requirements ............................................................................................9-11

9.5.2 Prompt Payment......................................................................................................9-11

9.5.3 Government’s Receiving Report Generated from the Progress Payment Report ..9-12

9.5.4 Contractor Invoices..................................................................................................9-14

9.5.5 Subcontractor Work and Payments.........................................................................9-17

9.5.6 Preparatory Work and Stockpiled Materials ............................................................9-21

9.5.7 Adjustments to Contractor’s Invoice........................................................................9-23

9.5.8 Retainage and Liquidated Damages for Poor Progress..........................................9-23

9.5.9 Pre-Final Payment...................................................................................................9-24

CHAPTER 10 – MAJOR CONSTRUCTION PROCESSES.......................................10-1

10.1 Introduction ...............................................................................................................................10-1

10.2 Clearing and Grubbing .............................................................................................................10-2

10.2.1 Clearing and Grubbing ............................................................................................10-2

10.2.2 Removal of Structures and Obstructions.................................................................10-4

10.2.3 Excavation and Embankment..................................................................................10-5

10.2.4 Soil Erosion Control...............................................................................................10-16

10.2.5 Structural Excavation.............................................................................................10-17

10.2.6 Watering ................................................................................................................10-18

10.2.7 Finishing Roadbed.................................................................................................10-19

10.3 Aggregate Base and Subbase Courses................................................................................10-20
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10.3.1 Aggregate Base and Subbase Courses ................................................................10-20

10.3.2 Dust Palliatives ......................................................................................................10-25

10.4 Asphalt Construction..............................................................................................................10-27

10.4.1 Hot Asphalt Concrete Pavement ...........................................................................10-27

10.4.2 Open-Graded Asphalt Friction Course ..................................................................10-42

10.4.3 Open-Graded Emulsified Asphalt Pavement (OGEAP) ........................................10-43

10.4.4 Dense-Graded Emulsified Asphalt Pavement .......................................................10-48

10.4.5 Single or Multi-Course Asphalt Surface Treatments .............................................10-49

10.4.6 Minor Asphalt Concrete .........................................................................................10-53

10.5 Concrete and Structures ........................................................................................................10-54

10.5.1 Portland Cement Concrete....................................................................................10-54

10.5.2 Concrete Structures...............................................................................................10-57

10.5.3 Prestressed Concrete............................................................................................10-80

10.5.4 Reinforcing Steel ...................................................................................................10-82

10.5.5 Piling......................................................................................................................10-86

10.5.6 Steel Structures .....................................................................................................10-92

10.5.7 Painting of Structures ............................................................................................10-95

10.5.8 Rehabilitation of Concrete Structures....................................................................10-98

10.6 Miscellaneous Construction ................................................................................................10-101

10.6.1 Drainage Structures.............................................................................................10-101

10.6.2 Guardrail and Concrete Barriers .........................................................................10-103

10.6.3 Fence...................................................................................................................10-104

10.6.4 Curb, Gutter, Waterways and Sidewalk ..............................................................10-106

10.6.5 Signing, Delineators, and Striping .......................................................................10-110

10.6.6 Slope Protection ..................................................................................................10-112

10.6.7 Landscaping ........................................................................................................10-114

10.6.8 Maintenance of Traffic .........................................................................................10-116

CHAPTER 11 – MATERIALS ....................................................................................11-1

11.1 General.......................................................................................................................................11-1

11.2 Source Approval .......................................................................................................................11-2

11.2.1 General....................................................................................................................11-2

11.2.2 Government Provided Sources ...............................................................................11-2

11.2.3 Contractor-Located Sources ...................................................................................11-3

11.3 Material Production...................................................................................................................11-4

11.3.1 Number of Samples to Submit for Verification Testing ...........................................11-4

11.3.2 Material Not Meeting Contract Requirements .........................................................11-4

11.3.3 Pay Factor Projections ............................................................................................11-5

11.4 Material Storage ........................................................................................................................11-6

11.5 Sampling and Testing...............................................................................................................11-7

11.5.1 Records and Reports of Materials...........................................................................11-7

11.6 Acceptance ................................................................................................................................11-8
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11.6.1 Determining Acceptance .........................................................................................11-8

11.6.2 Non-Conforming Material or Work.........................................................................11-10

CHAPTER 12 – PROJECT CLOSEOUT ...................................................................12-1

12.1 General.......................................................................................................................................12-1

12.2 Contractor Performance Evaluation .......................................................................................12-2

12.3 Final Construction Report........................................................................................................12-5

12.4 As-Constructed Plans...............................................................................................................12-6

12.5 Disposition of Records.............................................................................................................12-9

12.6 Feedback..................................................................................................................................12-10

12.6.1 Forms of Feedback................................................................................................12-10

12.6.2 Feedback Report ...................................................................................................12-10

12.7 Final Payment..........................................................................................................................12-12

12.7.1 General..................................................................................................................12-12

12.7.2 Final Payment Designations..................................................................................12-12

12.7.3 Final Progress Payment Report ............................................................................12-13

12.7.4 Final Voucher ........................................................................................................12-13

12.7.5 Contractor’s (Claims) Release...............................................................................12-17

12.7.6 Letters of Acceptance by Cooperating Agencies ..................................................12-21

12.7.7 Letter of Acceptance by FLH.................................................................................12-21

12.7.8 Final Voucher Assembly........................................................................................12-23

12.7.9 Payment of Claims ................................................................................................12-23

CHAPTER 13 – CONTRACT MODIFICATION..........................................................13-1

13.1 Overview ....................................................................................................................................13-1

13.2 Authority ....................................................................................................................................13-2

13.2.1 Administrative/Technical Concurrences ..................................................................13-2

13.3 Types of Contract Modifications .............................................................................................13-3

13.3.1 Bilateral Contract Modifications (Supplemental Agreements).................................13-3

13.3.2 Unilateral Contract Modifications (Change Orders) ................................................13-3

13.4 Contract Clauses.......................................................................................................................13-7

13.4.1 FAR Clause 52.243-4, Changes .............................................................................13-7

13.4.2 FAR Clause 52.249-10, Default ..............................................................................13-7

13.4.3 FAR Clause 52.236-2, Differing Site Conditions .....................................................13-7

13.4.4 FAR Clause 52.242-14, Suspension of Work..........................................................13-8

13.4.5 FAR Clause 52.211-18, Variation in Estimated Quantity (VEQ) .............................13-8

13.5 Time Extensions in Contract Modifications ...........................................................................13-9

13.5.1 Compensable Delays ..............................................................................................13-9
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13.5.2 Excusable Delays ....................................................................................................13-9

13.6 Contract Modification Process ..............................................................................................13-12

13.6.1 Identify the Need for a Contract Modification ........................................................13-14

13.6.2 Coordinate with FHWA and External Agencies.....................................................13-14

13.6.3 Identify Scope of Work ..........................................................................................13-16

13.6.4 Request Contractor to Prepare a Proposal ...........................................................13-17

13.6.5 Prepare an Independent Government Estimate....................................................13-17

13.6.6 Complete a Procurement Request (PR)................................................................13-27

13.6.7 Determine if Cost and Pricing Data are Required .................................................13-28

13.6.8 Analyze the Contractor’s Proposal ........................................................................13-28

13.6.9 Accept the Contractor’s Proposal or Perform Additional Fact Finding..................13-31

13.6.10 Prepare a Negotiation Memorandum ....................................................................13-31

13.6.11 Negotiate with the Contractor................................................................................13-32

13.6.12 Complete the Negotiation Memorandum...............................................................13-32

13.6.13 Amend the PR .......................................................................................................13-32

13.6.14 Determine What Type of Contract Modification to Issue.......................................13-33

13.6.15 Prepare the Contract Modification.........................................................................13-33

13.6.16 Send the Contract Modification to the Contractor for Signature............................13-34

13.6.17 Review, Approve, and Distribute Contract Modication..........................................13-34

CHAPTER 14 – REFERENCES ................................................................................14-1
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List of Exhibits ix

LIST OF EXHIBITS

Exhibit Page

Exhibit 2.4-A Preventative Measures for Claims ............................................................................2-7

Exhibit 2.4-B Example Acknowledgment of Receipt of Claim.........................................................2-8

Exhibit 2.5-A What is Partnering? .................................................................................................2-10

Exhibit 2.5-B Example Project Charter .........................................................................................2-13

Exhibit 2.6-A Example Notice to Proceed.....................................................................................2-16

Exhibit 2.6-B SF 1442, Solicitation, Offer, and Award ..................................................................2-17

Exhibit 3.3-A Work Zone Accident Report ......................................................................................3-8

Exhibit 3.4-A Example Approval Letter of Contractor’s Safety Plan .............................................3-11

Exhibit 3.4-B Example Notification of a Safety Deficiency............................................................3-14

Exhibit 3.4-C Example Notification of Chronic Deficiencies..........................................................3-15

Exhibit 3.4-D Summary of OSHA Trenching and Excavation Requirements................................3-17

Exhibit 5.2-A Example Bar Chart Schedule ....................................................................................5-4

Exhibit 5.2-B Example Critical Path Method (CPM) Schedule........................................................5-7

Exhibit 5.5-A Example Stop Order................................................................................................5-17

Exhibit 5.5-B Example Suspension Letter.....................................................................................5-18

Exhibit 6.8-A Example Slope Stake and Reference Stake Markings and Notes ..........................6-10

Exhibit 6.10-A Sight Levels .............................................................................................................6-13

Exhibit 7.3-A Outline of CQCP Requirements per FP-03, Subsection 153.02 ...............................7-5

Exhibit 7.3-B Example CQCP Acceptance Letter .........................................................................7-12

Exhibit 7.4-A Inspector’s Daily Report ..........................................................................................7-20

Exhibit 7.5-A Example Contract Inspection Time Sheet – Receiving Report ...............................7-25

Exhibit 8.2-A Contractor Payroll Checklist ......................................................................................8-3

Exhibit 9.5-A Example Project Engineer’s Receiving Report........................................................9-13

Exhibit 9.5-B Example Contractor’s Invoice..................................................................................9-15

Exhibit 9.5-C Example Prompt Payment Letter ............................................................................9-19

Exhibit 9.5-D Guidelines for Nonpayment Complaints from Subcontractors ................................9-20

Exhibit 9.5-E Guidelines for Percentage Payments for Partially Complete Work.........................9-22

Exhibit 10.5-A Allowable Bearing on Sandy Soils.........................................................................10-60

Exhibit 10.5-B Allowable Bearing on Clayey Soils........................................................................10-62

Exhibit 10.5-C Checklist for Falsework Inspection........................................................................10-67

Exhibit 10.5-D Report of Field Changes to Falsework/Formwork .................................................10-70

Exhibit 10.5-E Evaporation Rates in Hot Weather........................................................................10-76

Exhibit 10.5-F Identification Marks - ASTM Standard Bars ..........................................................10-83

Exhibit 10.5-G ASTM Standard Reinforcing Bars .........................................................................10-85

Exhibit 10.5-H Pile Driving Equipment Data Sheet .......................................................................10-88

Exhibit 10.5-I Pile Driving Record................................................................................................10-90

Exhibit 10.5-J ASTM Standard Structural Bolts ...........................................................................10-94

Exhibit 10.6-A Basic Checklist for Traffic Control .......................................................................10-119

Exhibit 12.2-A SF 1420, Performance Evaluation – Construction ..................................................12-3

Exhibit 12.6-A Feedback Report ...................................................................................................12-11

Exhibit 12.7-A Example Final Voucher – No Exceptions ..............................................................12-14

Exhibit 12.7-B Example Final Voucher – With Exception for Pending Dispute ............................12-15

Exhibit 12.7-C Example Final Voucher – With Exception for Plant Establishment.......................12-16

Exhibit 12.7-D Example Contractor’s Release – No Pending Dispute..........................................12-18

Exhibit 12.7-E Example Contractor’s Release – With Pending Dispute .......................................12-19

Exhibit 12.7-F Example Contractor’s Release – With Plant Establishment Exception.................12-20

Exhibit 12.7-G Example Letter of Final Acceptance......................................................................12-22

Exhibit 13.3-A SF 30, Amendment of Solicitation/Modification of Contract ....................................13-5

Exhibit 13.6-A Contract Modification Process...............................................................................13-13

Exhibit 13.6-B Contract Modification Database Report ................................................................13-35

Introduction March 2009

Table of Contents 1-i

Chapter 1 – INTRODUCTION

TABLE OF CONTENTS

Section Page

1.1 Purpose and Use of the Manual ................................................................................................1-1

1.2 Abbreviations and Definitions ...................................................................................................1-2

1.3 Delegations of Authority ............................................................................................................1-4

1.3.1 Chief of Contracting Office (COCO)..........................................................................1-4

1.3.2 Contracting Officer.....................................................................................................1-4

1.3.3 Contracting Officer’s Technical Representative (COTR) ..........................................1-5

1.4 Responsibilities of the Project Engineer..................................................................................1-6

1.4.1 General......................................................................................................................1-6

1.4.2 Project Documents ....................................................................................................1-6

1.4.3 Plan of Operations.....................................................................................................1-6

1.4.4 Project Stakeout ........................................................................................................1-6

1.4.5 Inspection ..................................................................................................................1-7

1.4.6 Measurement and Payment ......................................................................................1-7

1.4.7 Changes ....................................................................................................................1-8

1.4.8 Personnel...................................................................................................................1-8

1.4.9 Equipment..................................................................................................................1-8

1.4.10 Records and Reports.................................................................................................1-8

1.4.11 Project Costs .............................................................................................................1-8

1.5 Relations with the Contractor..................................................................................................1-10

1.6 Relations with Cooperating and Other Agencies ..................................................................1-12

1.6.1 General....................................................................................................................1-12

1.6.2 Forest Service .........................................................................................................1-12

1.6.3 National Park Service ..............................................................................................1-13

1.6.4 Indian Reservation Roads (IRR) Program...............................................................1-13

1.6.5 Fish and Wildlife Service .........................................................................................1-13

1.6.6 Other Federal Cooperating Agencies......................................................................1-14

1.6.7 Other Cooperating Agencies ...................................................................................1-14

1.6.8 Regulatory Agencies ...............................................................................................1-15

1.7 Relations with the Public..........................................................................................................1-16

1.8 Media Relations.........................................................................................................................1-17

Introduction March 2009

Purpose and Use of the Manual 1-1

CHAPTER 1

INTRODUCTION

1.1 PURPOSE AND USE OF THE MANUAL

This manual describes the process field personnel are to generally follow when administering 

construction contracts for Federal Lands Highways (FLH).

It is stressed that this manual is a guide, not a compilation of mandatory instructions. Unless 

the language is explicitly mandatory, such as that related to regulatory requirements, operations 

personnel are expected to be innovative and to apply their own reasoning to unique project 

situations. Those unique situations may sometimes lead to conclusions and actions contrary to 

what is written in this manual; all actions, however, must fall within the constraints of Division

policies, procedures, and delegations.

The manual does not contain detailed discussions of every technical area of construction 

engineering. To effectively carry out their responsibilities, users will find it necessary to also 

refer to other sources of information, such as the FLH Field Materials Manual, the Manual on 

Uniform Traffic Control Devices (MUTCD), individual Division construction manuals, various 

AASHTO and ASTM publications, Federal Regulations, and construction industry standards.

It should also be noted that although this manual has been written in part to clarify contract 

requirements and may at times specifically refer to such requirements, the guidance provided 

does not replace, modify, or supersede any contract provisions, including the specifications, 

special provisions, and plans.

This manual has been updated as an electronic version to in part improve the timeliness and 

ease of updates as methods, materials, policies, procedures, specifications and technologies 

change in the construction field. 
Introduction March 2009

1-2 Abbreviations and Definitions

1.2 ABBREVIATIONS AND DEFINITIONS

Section 101 of the Standard Specifications includes the intent and meaning of abbreviations and 

terms commonly used in connection with highway construction projects administered by FLH. 

FLH personnel that prepare contract documents, reports, and correspondence should be 

familiar with these terms and abbreviations and use them correctly. 

The terms cited in the Standard Specifications, as well as other terms, which are defined or 

explained as follows, will be used frequently in this manual.

Contracting Officer (CO) - The Agency representative having full authority to execute and 

administer the contract on behalf of the Government, or a warranted delegate of that official who 

has been delegated some of that authority, e.g. contract administration.

As this term is used in the Standard Specifications, it also includes the COTR (see below) 

operating within his/her delegated authority.

Contracting Officer’s Technical Representative (COTR) - The FLH employee or employees 

having onsite support authority on behalf of the CO as provided in Division delegations. For 

construction contracts, this person is normally the Project Engineer. 

Construction Operations Engineer (COE) - The immediate supervisor of the Project Engineer 

who may also be a warranted CO with limited contract administration delegations with respect to 

construction contracts. 

Construction Engineer (CE) - The immediate supervisor of the COE who may also be a 

warranted CO with delegations for most contract administration functions.

Denver Service Center (DSC) - The organization in the National Park Service which provides 

technical, administrative and funds management liaison between FLH and other Park Service 

organizational entities.

Director of Project Delivery - The immediate supervisor of the CE who may be a warranted 

CO.

Division Engineer (DE) - The immediate supervisor of the Director of Project Delivery, and the 

person in charge of one of the FLH Divisions who may be a warranted CO.

Division Office or Division - The FLH Division with jurisdiction for the project. References to 

Federal-Aid Division Offices will be specified.

Federal Acquisition Regulation (FAR) - The uniform Federal Government-wide procurement

regulations found in the Code of Federal Regulations (CFR) at 48 CFR, Chapter 1. Some parts 

will be made contract clauses. Others will be furnished separately to the Project Engineer, 

depending on need.

FLH Field Materials Manual - A companion to this manual giving FLH test methods as well as 

policies and procedures for monitoring materials and materials-related functions on construction 

contracts.
Introduction March 2009

Abbreviations and Definitions 1-3

Legal Counsel – Provides advice on the existence or interpretation of laws and regulations for 

the Division.

Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) - The 

industry standard for design and utilization of standard traffic control devices.

Project Engineer - The authorized representative of the CO who is delegated the responsibility 

for quality assurance, inspection, payment, and otherwise representing the interests of the 

Government onsite.
Introduction March 2009

1-4 Delegations of Authority

1.3 DELEGATIONS OF AUTHORITY

The CO holds full authority for executing and administering FLH construction contracts. The CO 

delegates and assigns specific authorities and responsibilities to lower level COs and to 

COTRs, including the Project Engineer. The Project Engineer cannot formally redelegate 

authority or responsibility. Therefore, all inspectors and other subordinates act on behalf of the 

Project Engineer with apparent authority limited by the Project Engineer’s supervision.

The Contractor must be informed of the authority of FLH personnel, including the Project 

Engineer, for administering the contract. This is properly done with a delegation of authority 

letter from the CO. Questions of authority should be addressed at the preconstruction 

conference (see Section 2.3 of this manual for more information). Normally, the Contractor 

provides a description of the authorities of his or her representative at the site. Authority to 

agree to contract modifications and otherwise agree to contract changes is of particular 

importance for efficient contract administration.

1.3.1 CHIEF OF CONTRACTING OFFICE (COCO)

The Chief of Contracting Office (COCO) is the FLH Program Administrator, Federal Lands 

Highway Office, Washington, DC.

The Chief of Contracting Office (COCO) for FLH is the FLH Associate Administrator, Federal 

Lands Highway Office, Washington, DC. FLH Division Engineers are considered COCOs within 

their respective offices. The COCO establishes contracting activities and delegates authorities 

as described in TAM 1201.603. The COCO is delegated his authority from the Head of 

Contracting Activity (HCA) at the position of FHWA Executive Director.

1.3.2 CONTRACTING OFFICER

Each FLH office has a head CO. This person has various contracting responsibilities including 

awarding and administering contracts, terminating contracts, and executing final settlements of 

contracts. The CO responsibilities are delegated to the CE, COE and Project Engineer, through 

the Delegation of Authority Letter. Authority for the CE and COE is predicated on the employee 

having a Contracting Officer Warrant issued by the COCO. Many CO functions are typically 

delegated to different Division personnel depending on their nature. However, expending 

additional contract funds or changing a contract are not delegable, and therefore must be 

authorized by a CO. The COE may be a CO with respect to most contract modifications, but 

may not be a CO with respect to major contract awards or settling claims.

From FAR 43.102:

(a) Only Contracting Officers acting within the scope of their authority are 

empowered to execute contract modifications on behalf of the Government. 

Other Government personnel shall not

(1) Execute contract modifications;

(2) Act in such a manner as to cause the contractor to believe that they have 

authority to bind the Government; or
Introduction March 2009

Delegations of Authority 1-5

(3) Direct or encourage the contractor to perform work that should be the 

subject of a contract modification.

From FAR 43.202:

Change orders shall be issued by the contracting officer except when authority is 

delegated to an administrative contracting officer.

And from FAR 2.101:

The term [CO] includes certain authorized representatives [delegant] of the 

contracting officer acting within the limits of their authority as delegated by the 

contracting officer.

FAR, Subparts 42.2 and 42.3, prescribe the policies and procedures for the CO’s assignment of 

contract administration responsibilities to a delegant, such as the CE, Claims Specialist, COE, 

and Project Engineer.

1.3.3 CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COTR)

The TAR, Subpart 1242.70, authorizes the FLH to designate a COTR to be the onsite contact 

person for the contract and to generally verify that the work performed meets the requirements 

of the contract. That person is generally the Project Engineer. The Project Engineer may be 

delegated support and verification functions, but not functions specifically reserved for COs.

In FLH, the Project Engineer is usually a subordinate of a CO (typically the COE) and therefore 

may be delegated certain functions in assisting the CO in fulfilling his/her functions. An example 

might be in facilitating the negotiation of a contract modification. However, the Project Engineer 

is not delegated the authority to commit the Government as a CO.
Introduction March 2009

1 Responsibilities of the Project Engineer -6

1.4 RESPONSIBILITIES OF THE PROJECT ENGINEER

1.4.1 GENERAL

The Project Engineer should conduct all activities in accordance with assigned authority in a 

manner that will be in the best interest of, and will reflect well upon, the Government.

1.4.2 PROJECT DOCUMENTS

The Project Engineer should carefully analyze the contract documents and supplementary 

reference material. This includes, but is not limited to: the plans, specifications, special contract 

requirements, FAR references, geotechnical reports, permits, and all other relevant documents 

and references. The Project Engineer should also examine the entire area of the proposed 

construction and compare existing field conditions with those shown on the plans. Any 

significant differences should be reported immediately to the COE. The Project Engineer must 

investigate any Contractor reported errors or omissions in the contract documents, and notify 

the COE of complete details. 

1.4.3 PLAN OF OPERATIONS

The Project Engineer should become fully acquainted with the Contractor’s plan of operations, 

planned progress schedule, and other submittals, such as its safety, erosion control, quality 

control, and traffic control plans. This information should be obtained at the preconstruction 

conference or prior to the start of work. It is often helpful to set up a submittal log to track 

submittals, approvals, and pending approvals. Such a log, jointly reviewed by the Project 

Engineer and the Contractor, can help avoid surprises and disputes.

The Project Engineer should keep current with all changes in the Contractor’s plans, and report 

all significant changes to the COE. All changes in the Contractor’s plan of operations must be 

included on the construction schedule updates. See Section 5.2.4 for further details.

Except as specified in the contract, the Project Engineer should not dictate the Contractor’s 

sequence of operations. When the progress of work is unsatisfactory based on the accepted 

construction schedule, the Project Engineer should evaluate the situation and consult with the 

COE.

1.4.4 PROJECT STAKEOUT

Section 152 of the contract will define the Government’s and Contractor’s responsibility for 

survey and staking. 

When the Government is responsible for staking, the Project Engineer should make every effort 

to keep construction staking activities well in advance of construction operations so the 

Contractor’s work is not delayed by the Government. 

When the contract provides for staking work by the Contractor, the Project Engineer should 

develop and follow a systematic method to monitor and document the Contractor’s staking 
Introduction March 2009

Responsibilities of the Project Engineer 1-7

process. In this case, staking work is the responsibility of the Contractor. It is not an acceptable 

solution for the Government to continuously monitor or perform the Contractor’s staking activity. 

The Project Engineer has the authority to demand competence and quality under the contract. 

Corrective measures are to be made by the Contractor’s forces.

The contract specifies staking standards or tolerances, but not necessarily the slope and grade 

tolerances controlled by that staking. This means construction is to be consistent with the 

Standards of the Industry, which should be discussed and agreed upon by the Contractor and 

the Project Engineer prior to the start of work. 

See Chapter 6 for more information on construction staking.

1.4.5 INSPECTION

It is the responsibility of the Project Engineer to verify and document that the project is 

constructed in reasonably close conformity with the plans and specifications, and in compliance 

with the terms of the Contract. The Project Engineer must therefore conduct periodic inspection 

and testing as the Contractor completes each phase or element of the work. Continuous or fulltime inspection should be avoided whenever possible as it tends to result in FLH taking over the 

Contractor’s quality control responsibilities. However, if certain work is of such criticality or will 

be obscured by subsequent construction, continuous inspection may be necessary.

Unless otherwise provided for in the plans or specifications, construction methods and sources 

of materials are the Contractor’s option. However, the Project Engineer has the authority to 

reject both unsatisfactory workmanship and materials. The Project Engineer may suggest 

methods of improving workmanship and sources of better materials. However, it should always 

be clear that these are just suggestions, and that the decision is up to the Contractor. In the 

event the Contractor’s methods continue to produce unsatisfactory work, and the Contractor will 

not accept suggestions, the Project Engineer should discuss with the COE the possibility of 

ordered changes or stoppage of nonconforming work

When rejecting work for either unsatisfactory materials or workmanship, the Project Engineer 

should document and photograph the cause for rejection, if appropriate, and identify the 

Contract provision or specification being violated.

See Chapter 7 for additional information on the inspection responsibilities of the Project 

Engineer.

1.4.6 MEASUREMENT AND PAYMENT

The Project Engineer is responsible for measuring quantities on the project, making 

computations, and receiving reports to validate Contractor invoices. Clear and fair standards as 

to how quantities are measured, as well as prompt submission of receiving reports, will 

contribute to good Project Engineer/Contractor relations. Instructions for measurement and 

payment are contained in Chapter 9.
Introduction March 2009

1 Responsibilities of the Project Engineer -8

1.4.7 CHANGES

The Project Engineer should try to anticipate necessary changes in design or specifications as 

early as possible. When changes are anticipated, the Project Engineer should notify the COE 

immediately. Instructions for preparation of contract modifications are contained in Chapter 13.

1.4.8 PERSONNEL

The Project Engineer is responsible for all official activities of the project and consultant 

inspection staff. As discussed Section 3.2, the Project Engineer is responsible for the safety of 

the staff while they are on duty, and may prescribe appropriate dress and methods for the work 

they perform. The Project Engineer should instruct Government personnel in the performance 

of their assigned tasks and assist in training them for more advanced assignments. The Project 

Engineer should strive to support any prescribed training program and recommend additional 

training when appropriate.

Project Engineers should consult their respective Division’s operation manuals and the 

employee handbook, Your Job in the Federal Highway Administration, for guidance relative to 

personnel questions or problems. Consultation with the COE or the Personnel Office may be 

appropriate.

1.4.9 EQUIPMENT

The Project Engineer is responsible for all Government equipment on the project, and for the 

protection and preservation of all rented or leased property and equipment. Proper precautions 

should be taken to prevent loss by fire or theft. The Project Engineer must instruct personnel in 

the care of vehicles and equipment, and make personal inspections of such property to ensure 

proper maintenance. The Project Engineer should promptly report all damaged or otherwise 

unsatisfactory equipment to the proper authorities and make recommendations for repair or 

replacement. Unsafe equipment must not be used or operated. Additional instructions for the 

handling of equipment matters will be prescribed by the Division.

1.4.10 RECORDS AND REPORTS

The Project Engineer is responsible for preparing and maintaining all records kept on the 

project. Electronic project files should be backed up on a regular basis and stored offsite to 

protect against hard drive failures and other catastrophes. Instructions covering records and 

reports are contained in several chapters within this manual.

The Contractor is responsible for maintaining records required by the contract. The Contractor 

must provide access to, or in some cases copies of, such records to the Project Engineer within 

specific time frames.

1.4.11 PROJECT COSTS

The keeping of official project cost records is a function of the accounting units of the Divisions. 

However, the Project Engineer should have access to sufficient cost records to be able to 
Introduction March 2009

Responsibilities of the Project Engineer 1-9

estimate the total accrued costs of both construction and construction engineering at any given 

time. As the work progresses, the Project Engineer must monitor how these costs relate to the 

work completed and amount of work remaining to be done, taking into consideration any 

necessary changes.

The Project Engineer should carefully examine anticipated overruns and underruns, and keep 

the COE informed. Refer to Section 9.3 for additional instructions on project cost reporting.
Introduction March 2009

1 Relations with the Contractor -10

1.5 RELATIONS WITH THE CONTRACTOR

FLH personnel engaged in a construction project must remember they are at all times 

representatives of the Government and, as such, must conduct themselves in a courteous and 

business-like manner.

Integrity on the part of all employees is essential. The acceptance of most gifts and favors from 

Contractors and others doing business with FLH is strictly forbidden. Federal law and 

regulations prohibit the acceptance of (1) unsolicited gifts with a market value of more than $20 

($10 for designated procurement officials) per occasion, (2) gifts of any value aggregating to 

more than $50 in a calendar year, and (3) gifts of any value that are solicited, or which are 

associated with an expectation, stated or implied, of a return favor. It is FLH policy that 

acceptance of any gift or favor, regardless of value, that might give the appearance of 

impropriety is unacceptable. Gifts should therefore be avoided except in situations where 

refusing a small gift (such as a calendar intended as a promotional item) would embarrass 

either or both parties.

Employees must never place themselves under obligation to the Contractor, as this would 

impair their ability to effectively represent the Government, and might create a condition where 

more serious improprieties could occur. Offers of gifts, or other actions on the part of the 

Contractor or its representatives that could be construed as an attempt to influence the actions 

of an FLH employee, should be immediately reported to the COE. Other offers of gifts should 

also be reported to the COE, who will advise as to a polite refusal.

Inspectors should maintain a fair and impartial attitude without undue display of emotions, and 

should not engage in arguments with members of the Contractor’s organization. If 

disagreements cannot be settled in a reasonable time with mutual satisfaction, the matter 

should be referred to the Project Engineer. FLH project personnel do not have the authority to 

alter or waive the provisions of the contract, to issue instructions contrary to the plans and 

specifications, or to act as foreman for the Contractor. They do have authority to reject 

noncomplying materials and work, and to suspend work that is being performed in apparent 

noncompliance, or in a manner that creates unfunded liability to the Government, until the 

matter is referred to a higher authority.

All nonroutine orders to the Contractor are to be given by the Project Engineer to the 

Contractor’s superintendent on the project, unless circumstances make it necessary to 

communicate with lower level personnel. Such orders should be confirmed with the 

superintendent as soon as possible. Orders that alter the contract or create additional liability to 

the Government must be in writing and must be executed (signed) in accordance with prevailing 

construction contract administration delegations. Except for certain minor orders, this means a 

warranted CO.

Discussions concerning the Contractor’s organization, equipment, methods, and/or efficiency, 

should be limited to those undertaken by the Project Engineer with appropriate representatives 

of the Contractor.

It is recommended that the Project Engineer hold regularly scheduled meetings with the 

Contractor’s superintendent to discuss the Contractor’s plan, schedule of work, and problems 

arising on the project. The Project Engineer should record the substance of such discussions in 

the project diary or in meeting minutes. See Section 2.5, Partnering with the Construction 

Contractor.
Introduction March 2009

Relations with the Contractor 1-11

At the conclusion of the project, the Contractor will be asked to complete a Quality Improvement 

Survey. This survey allows the Contractor to identify problem areas in our design, payment, 

and contract administration processes. Periodically our processes are reviewed using this 

feedback.
Introduction March 2009

1-12 Relations with Cooperating and Other Agencies

1.6 RELATIONS WITH COOPERATING AND OTHER AGENCIES

1.6.1 GENERAL

As soon as possible after assignment to the project, the Project Engineer should become 

acquainted with the local State, County, Forest Service, National Park Service, Fish and Wildlife 

Service, Tribal and/or other interested officials, and discuss phases of the work pertinent to 

them.

It should be emphasized to these officials that contact with the Contractor on contract issues 

should be exclusively through the Project Engineer. However, this should not preclude them 

from dealing directly with the Contractor on non-contract issues, such as overweight permits, 

pollution regulations, speed enforcement, and similar matters.

Local officials should also be advised of limitations in our ability to add to, or change contract 

work; and that such requests should be in writing and will have to be cleared by all appropriate 

officials.

These issues should be discussed at the preconstruction conference (see Section 2.3) so the 

Contractor understands the relationship involved.

At the conclusion of construction, the cooperating agency and other third party entities involved 

in the project will be asked to complete a Completed Project Survey providing feedback on the 

quality of the project and our delivery of the construction. See Appendix 1A.1 for a blank survey 

form.

1.6.2 FOREST SERVICE

The U.S. Forest Service is one of the tri-agency group charged with overall administration of the 

Forest Highway Program. Therefore, Forest Service officials have legitimate interest beyond 

the immediate relationship of the project and its National Forest environs.

During project development, most of FLH’s contact with the Forest Service will be through the 

Regional Forester’s Office (including the Regional Engineer). During construction, the Project 

Engineer should be careful to avoid taking actions, making changes, or making informal 

agreements with local officials that are inconsistent with previous agreements, unless such 

issues are adequately coordinated with the Forest Service representative.

During the construction of a Forest Highway project, the Project Engineer should maintain close 

liaison with the Forest Service representative assigned to the project. The representative and 

his/her staff may be most interested in the following: 

 erosion control, 

 landscape preservation, 

 prevention of fires and damage outside the right-of-way, 

 sources of borrow and aggregates, 

 other matters pertaining to land use, and the 

 preparation and disposal of merchantable timber.
Introduction March 2009

Relations with Cooperating and Other Agencies 1-13

In addition to visits by the assigned Forest Service representative, the project may also be 

visited by the Forest Supervisor, Forest Engineer, Regional Engineer, and Regional Forester. 

Generally speaking, however, these officials should be encouraged to channel all requests or 

requirements through a single contact official designated by the Forest Service for the project.

The Project Engineer should take immediate action on all appropriate Forest Service requests 

that are within the scope of the contract. Requests or instructions that are not of an emergency 

nature and that would necessitate a contract modification should be in writing and referred to 

the COE. Requests or instructions that are of an emergency nature must be acted on promptly, 

and the COE should be notified as soon as possible thereafter.

1.6.3 NATIONAL PARK SERVICE

Because the National Park Service (NPS) normally owns the highway right-of-way and adjacent 

property, and is responsible for maintenance and operation after construction, it maintains an 

active interest in all phases of FLH Park Service projects. Under normal conditions, the Park 

Service is represented on the project by a designated liaison from the Denver Service Center 

(DSC) or a person designated in the project agreement. However, the Project Engineer should 

also develop a good working relationship with the Park Superintendent, local Park Rangers, and 

maintenance personnel.

Park Service requests or instructions are to be coordinated through the designated NPS liaison. 

If conflicting instructions or changes become a problem, the COE should be advised so that 

coordination above the project level can be improved.

1.6.4 INDIAN RESERVATION ROADS (IRR) PROGRAM

The Project Engineer and the COE should obtain training in American Indian Culture prior to 

attending project meetings. An IRR project will normally be performed on highway right-of-way 

owned by the Bureau of Indian Affairs (BIA), Tribes, or State, county, or local agencies. The 

relationship of the FLH to these agencies will vary, but coordination and communication with all 

will likely be required through the design and construction phases of a project. The Project 

Engineer should take immediate steps to establish a point of contact or primary liaison with 

each agency. Requests from the effected parties should be responded to immediately if within 

the scope of the work. For significant changes, approval should be obtained through the Tribal 

liaison and BIA Region before being acted upon.

In those cases where a tribe has entered into an agreement directly with the FHWA, coordinate 

with the FLH IRR Program Manager in Washington, DC.

1.6.5 FISH AND WILDLIFE SERVICE

Like the National Park Service (NPS), the Fish and Wild Life Service normally owns the highway 

right-of-way and adjacent property, and is responsible for maintenance and operation after 

construction. They maintain an active interest in all phases of FLH Refuge Roads projects. 

Under normal conditions, they are represented on the project by a designated FLHP coordinator 

from the Fish and Wildlife Regional office or a person designated in the project agreement. 
Introduction March 2009

1-14 Relations with Cooperating and Other Agencies

However, the Project Engineer should also develop a good working relationship with the Refuge 

Manager Park Superintendent and local maintenance personnel.

Fish and Wildlife requests or instructions are to be coordinated through the designated liaison. 

If conflicting instructions or changes become a problem, the COE should be advised so that 

coordination above the project level can be improved.

1.6.6 OTHER FEDERAL COOPERATING AGENCIES

Other Federal agencies with which FLH has an active relationship include the Department of 

Interior's Bureau of Land Management and the Department of Defense (DOD). The relationship 

of FLH to these agencies varies. Some are land owning agencies like the Park Service and 

have interest in all aspects of the project, including maintenance. Others, like DOD, have a 

stake in programming and funding as well as the operational functioning of the project, but the 

projects are usually destined to become a State or county highway with respect to maintenance. 

Therefore, a tri-agency relationship is created.

Whenever a construction project is undertaken for, or involving one of these agencies, the COE 

will make the Project Engineer aware of all necessary administrative information regarding our 

obligations to the agency, and furnish copies to the Project Engineer as appropriate. This 

documentation will usually include a Memorandum of Agreement (MOA) for the project.

1.6.7 OTHER COOPERATING AGENCIES

Except in National Parks and on National Parkways, the maintenance of roads constructed by 

FLH is generally performed by States or counties in accordance with a previously executed 

agreement. In such cases, the maintaining agency will be asked to inspect the project prior to 

assuming the maintenance obligation. It is therefore important to identify these officials early in 

the project and to maintain a good working relationship with them. Their interest in the project 

will mostly focus on the technical details and maintainability, rather than impact on the 

surrounding environment. They will also be interested in traffic control, and whether hauling 

might adversely impact adjacent roads. When changes are proposed that impact technical 

details, maintainability, and traffic operations, they should be coordinated with these officials. 

Their requests should be promptly honored if reasonable and within the Project Engineer’s 

authority. Other requests should be referred to the COE.

With respect to Forest Highways, the State highway department is another member of the triagency group (See Section 1.6.2) charged with overall administration of the Forest Highway 

program. With respect to other Public Lands highways, the Forest Service has less of a role in 

planning and setting priorities, but has an interest in the highway’s impact on the environment. 

The State may also have specific assigned responsibilities for local roads in the State 

regardless of whether or not they are on the State system. Therefore, even if the County is the 

maintaining agency for a particular project, the State may also have legitimate interest and 

should be consulted appropriately.

The acquisition of rights-of-way across private lands is generally a function of the cooperating 

agencies. In some instances, only a right-of-entry or easement for a construction project will 

have been obtained prior to construction. In such cases, the Project Engineer should cooperate 

fully with appraisers and other agents in their work of obtaining the actual right-of-way. The
Introduction March 2009

Relations with Cooperating and Other Agencies 1-15

Project Engineer must also be aware of the limitations (if any) of the right-of-entry and attempt 

to maintain good relations with the property owners during construction.

The Project Engineer should also be aware of any limitation in the Government’s authority to 

approve or agree to any work that would change the limit of construction with respect to 

available right-of-way. The COE should be consulted if any uncertainty develops.

1.6.8 REGULATORY AGENCIES

A number of Federal and State agencies have regulatory responsibilities that might result in 

their coming onto the project and interacting with the Contractor or FLH personnel. These 

agencies include those responsible for water pollution control, air pollution control, occupational 

safety, erosion control, storm water management, and protection of endangered species.

The involvement of these Federal and State regulatory agencies has increased in recent years 

as a result of changes in Federal regulations requiring compliance with all local and State 

regulations. Most FLH permits allow these agencies the right to inspect the project and to 

review project records at any reasonable time.

In addition to diary notation, the COE should be notified of all visits and any anticipated further 

action. When regulatory agencies take issue with FLH’s compliance with permit or project 

agreements, the COE should be advised and will arrange for technical assistance from Division 

office specialists.

See Chapter 4 for more on this subject.
Introduction March 2009

1-16 Relations with the Public

1.7 RELATIONS WITH THE PUBLIC

FLH field personnel are in daily contact with, and under the critical eyes of our ultimate 

customer, the public. This might include adjacent property owners, daily commuters, residents 

of nearby communities, tourists, and groups with special environmental or other interests. For 

these and other reasons, it is essential that all employees strive to conduct themselves in a 

manner that will command respect and confidence.

In any community, information concerning highway improvement is of primary interest. From 

the standpoint of good public relations, it is important that information pertaining to FLH projects 

be made available as soon as possible, and that it be both accurate and complete.

On most Park Service and similar projects where there is a single, strong cooperating agency, 

all questions and requests from the public dealing with the project should be referred to and 

coordinated by a designated cooperating agency contact. Sometimes, especially on low profile 

projects, the cooperating agency(s) will defer to FLH for routine public interaction. If the COE 

advises that this is the case, the Project Engineer should become acquainted with heads of civic 

groups and other public entities to furnish such information of local interest as it is pertinent to 

the project to which they are assigned. Care must be exercised to avoid the release of 

information concerning controversial matters or items that might be misconstrued or 

misunderstood. Reference to any conflict or disagreement between FLH and the State, county, 

or another Federal agency should be avoided. For example, a statement such as the “the 

matter is being jointly studied” is preferred over “there is a conflict”.

When the Project Engineer is specifically assigned to be the focal point of public contacts and 

information, the following are some guides as to the kinds of information that could be of interest 

to the public, along with the actions to be taken to ensure timely releases that establish and 

maintain good public relations:

 Information concerning road closures, detours, speed restrictions, and other items related to 

public safety and of general interest to motorists should be given timely publicity. In some 

instances, sketch maps will be helpful in conveying such information.

 Refrain from stating opinions on local issues that have no connection with the project, or 

involve choices that are the prerogative of the local authorities.

 Questions directed to survey crew, construction engineering crew members, or contract 

inspectors should generally be referred to the Project Engineer for an answer.

 Requests for information pertaining to matters of recognized public interest that cannot be 

completely answered at the project level should be promptly referred to the COE.

FLH is very sensitive to the public’s opinion of our projects and the quality of the project delivery 

process. The Completed Project Survey is often requested from local officials attuned to local 

public opinion. The public often write their elected officials to provide input or to voice 

complaints related to our projects. It is important to respond professionally and to 

accommodate, if possible, public requests and input. 
Introduction March 2009

Media Relations 1-17

1.8 MEDIA RELATIONS

Requests from the media, such as from newspaper and magazine reporters or TV and radio 

news producers, are to be directed to the FHWA Office of Public Affairs. If the Project Engineer 

is to answer questions from the media, he must first be designated to do so by the FHWA Public 

Affairs officer, otherwise the only information that should be provided to reporters is the phone 

number or email addresses of FHWA’s Office of Public Affairs, as provided below.

FHWA Office of Public Affairs 202-366-0660

 Doug Hecox: doug.hecox@dot.gov

 Nancy Singer: nancy.singer@dot.gov

FHWA's Public Affairs office is always the first place reporters should be directed. This policy 

applies to everyone, from summer interns to the Administrator himself. The media is a

stakeholder of the FHWA's as much as any other part of the public, and good customer service 

demands we provide them a central contact point. In this way, FHWA is better able to respond 

to the many inquiries of the press and, by extension, the informational needs of the public.

Introduction (Appendix) March 2009

List of Appendices 1A-i

CHAPTER 1 – INTRODUCTION

LIST OF APPENDICES

1A.1 COMPLETED PROJECT SURVEY ..................................................................... 1

Introduction (Appendix) March 2009

Completed Project Survey 1A-1

1A.1 COMPLETED PROJECT SURVEY
Introduction (Appendix) March 2009

1A-2 Completed Project Survey
Introduction (Appendix) March 2009

Completed Project Survey 1A-3
Introduction (Appendix) March 2009

1A-4 Completed Project Survey
Introduction (Appendix) March 2009

Completed Project Survey 1A-5
Introduction (Appendix) March 2009

1A-6 Completed Project Survey
Introduction (Appendix) March 2009

Completed Project Survey 1A-7
Introduction (Appendix) March 2009

1A-8 Completed Project Survey
Preconstruction March 2009

Table of Contents 2-i

Chapter 2 – PRECONSTRUCTION

TABLE OF CONTENTS

Section Page

2.1 General.........................................................................................................................................2-1

2.2 Field Office...................................................................................................................................2-2

2.3 Preconstruction Conference......................................................................................................2-3

2.4 Claims and Disputes...................................................................................................................2-5

2.5 Partnering with the Construction Contractor ..........................................................................2-9

2.5.1 Background ...............................................................................................................2-9

2.5.2 Policy for Partnering ................................................................................................2-11

2.5.3 Formal Partnering....................................................................................................2-11

2.5.4 Informal Partnering ..................................................................................................2-14

2.5.5 Emphasis is on Attitude ...........................................................................................2-14

2.5.6 Follow-up Evaluations and Measurement ...............................................................2-14

2.6 Notice to Proceed......................................................................................................................2-15
Preconstruction March 2009

2-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 2.4-A Preventative Measures for Claims ............................................................................2-7

Exhibit 2.4-B Example Acknowledgment of Receipt of Claim.........................................................2-8

Exhibit 2.5-A What is Partnering? .................................................................................................2-10

Exhibit 2.5-B Example Project Charter .........................................................................................2-13

Exhibit 2.6-A Example Notice to Proceed.....................................................................................2-16

Exhibit 2.6-B SF 1442, Solicitation, Offer, and Award ..................................................................2-17
Preconstruction March 2009

General 2-1

CHAPTER 2

PRECONSTRUCTION

2.1 GENERAL

This chapter addresses preconstruction activities that will help ensure a smoother construction 

phase. Topics discussed include the following:

 Field Office Requirements

 Preconstruction conference requirements and considerations, including preparatory work, 

agenda topics, suggested attendees, and follow-up activities;

 Claims avoidance techniques;

 Partnering concepts, benefits, and processes; and 

 Issuance of the Notice to Proceed (NTP), including situations under which NTP may be 

delayed.
Preconstruction March 2009

2-2 Field Office

2.2 FIELD OFFICE

A field office will be established for every project. Facilities will be provided through a 

negotiated lease, Government or Contractor supplied trailer, or other office space as determined 

by the COE and the contract.

A sign shall be placed at the office facility, with the following wording:

OFFICE OF PROJECT ENGINEER

DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION
Preconstruction March 2009

Preconstruction Conference 2-3

2.3 PRECONSTRUCTION CONFERENCE

As soon as practical after the contract is awarded and before issuance of the Notice to Proceed 

(NTP), the COE or the Project Engineer will arrange a conference with the Contractor. FLH 

personnel in attendance will normally include the Project Engineer, the COE, and specialized 

personnel as needed. Representatives of Federal cooperating agencies, States, utility 

companies, and any other groups that will be significantly affected by the construction should 

also be invited. 

The COE will prepare and send to the Contractor, a meeting agenda and other information to 

assist in preparing for the conference. See Appendix 2A.1.1 for an example of a basic 

preconstruction conference agenda. This agenda should be augmented to reflect unique 

features of the contract and Division-specific issues. Appendix 2A.1.2 provides an example of a 

letter setting up the preconstruction conference.

The purpose of the conference is to discuss the following:

 project plans and specifications; 

 unusual conditions; 

 the Contractor’s plan and schedule of operation; 

 type and adequacy of equipment; 

 labor requirements (see Section 8.2); 

 equal employment opportunity requirement (see Section 8.3); 

 maintenance of traffic; 

 traffic control requirements; 

 the Contractor’s responsibilities for worksite safety, and accident prevention (see Section 

3.4); 

 material sources and testing requirements (see Chapter 11); 

 subcontracting requirements (see Section 8.8); 

 required submissions; 

 compliance requirements; 

 specific project related issues; and 

 any other pertinent items that will result in a better job understanding. 

The person conducting the conference (usually the Project Engineer or COE) should explain:

 the FLH contract administration process;

 the authority and responsibilities of FLH personnel;

 the relationship of FLH to the cooperating agency(s), emphasizing that FLH (and not any 

other entity) will issue all orders to the Contractor relating to the contract; and 

 the payment and invoice process, particularly the Contractor’s obligation to provide the 

required materials documentation, test reports, and certifications to support payment for the 

work in question (see Section 9.5).

Similarly, the Contractor’s representatives should explain its organization and identify its 

authorized representative for the project. See FAR Clause 52.236-6, Superintendence by the 

Contractor. If a representative is not identified at the conference, the Contractor must submit a 

written designation at a later date.
Preconstruction March 2009

2-4 Preconstruction Conference

A written report or minutes will be prepared by Project Engineer or COE for each 

preconstruction conference (see Appendix 2A.1.3). This report should consist of a summary of 

the discussions, with the conference agenda attached. The report of minutes will document the 

explanation of authority and duties of FLH personnel, and the Contractor’s explanation of its 

organization and designation of its authorized representative. One or more copies of that report 

or minutes should be provided to the Contractor and other major participants, along with a 

request that any omissions and perceived misrepresentations be documented in writing to FLH.
Preconstruction March 2009

Claims and Disputes 2-5

2.4 CLAIMS AND DISPUTES

In the course of construction, it is not uncommon for differences of opinion to arise between the 

Contractor and Project Engineer over interpretation of the contract provisions, or as to whether 

increased costs or time extensions are allowable for changes, differing site conditions, or 

delays. The Contractor may also express dissatisfaction or disagreement with contract 

modifications.

FLH endorses the philosophy of partnering to avoid and resolve contract disputes. See Section 

2.5 for additional information on partnering. Most differences can be resolved by negotiation 

that leads to appropriate contract modifications. Prompt action should be taken to resolve 

issues and to participate in making any equitable adjustments as necessary, giving full 

consideration to the terms of the contract.

The Project Engineer must keep the COE informed of issues as they arise. The COE will keep 

the legal office and higher level COs informed as necessary, and will advise the Project 

Engineer on appropriate actions in the meantime.

The Project Engineer should use the project diaries, Inspector’s Daily Reports, and all other

available records to document and evaluate issues. Photographs, if applicable, can be an 

important part of the documentation. See Section 7.4 for additional information on record 

keeping.

Because recorded information is invaluable in the event of a claim, and claims may occur on 

any project, the need for routine preparation and maintenance of records cannot be over 

emphasized. 

The Project Engineer must maintain a daily diary. Project diaries should contain sufficient 

factual information to reveal the nature of the Contractor’s complaint, the circumstances 

involved, and the substance of statements made by both parties. Both the project diaries and 

the Inspector’s Daily Reports should discuss the Contractor’s operations relative to the work in 

question. Descriptions of the equipment and materials that may be involved, construction 

progress or lack thereof, and similar information should be included. Any opinions or 

conclusions should be labeled as such, with their factual basis described. See Section 7.4.2.

If the Contractor indicates that it may file a claim, the Project Engineer should direct the 

Contractor’s attention to the Contract, particularly to those provisions dealing with disputes, 

changes, differing site conditions, suspension of work, contract time, and notice requirements, 

as applicable (see Section 13.4 for more information). FLH personnel should avoid letting 

personal opinions and the opinions or intentions of designers influence their response to a 

possible claim. What matters most are the specific provisions of the contract - what they say 

and how a reasonable bidder would interpret them. Exhibit 2.4-A provides some additional tips 

related to claims prevention.

Formal claims must be submitted to a delegated CO for decision. If in receipt of a claim, the 

Project Engineer must forward it to the COE or higher level CO for review as to legal sufficiency 

and acknowledgment. The COE will seek the advice of Legal Counsel and other specialists as 

necessary. An example acknowledgment of receipt of claim is shown in Exhibit 2.4-B.
Preconstruction March 2009

2-6 Claims and Disputes

See Chapter 13, Contract Modifications, for a discussion of the FAR clauses usually used as 

grounds for a dispute, and the specific notice and administrative requirements associated with 

those clauses.
Preconstruction March 2009

Claims and Disputes 2-7

Exhibit 2.4-A Preventative Measures for Claims

 Develop a thorough knowledge of plans and specifications.

 Read all relevant portions of the contract before answering questions or making decisions.

 Perform accurate and consistent timely inspections, testing and reporting.

 Strictly adhere to established testing procedures. 

 Accept nothing less, nor require anything more, than required by the contract.

 Ensure that all inspectors are properly instructed to apply consistent standards for the work 

being performed.

 Maintain professional and cooperative attitude with Contractor personnel.

 Be sympathetic to Contractor problems, complimentary when Contractor delivers 

exceptional quality.

 View project accomplishments as a team effort between Contractor and FLH personnel.

 Deal with the superintendent or at least the same people on the same issues all the time.

 Try to anticipate and recognize potential claim situations.

 Face problems including FLH mistakes, and seek fair and equitable resolutions.

 Track proposed CM to be sure those charged with making decisions know that the project is 

waiting for those decisions.

 Act promptly and decisively in dealing with problems. If you can’t resolve an issue, refer it to 

someone who can.

 Realize that communication is probably the most effective deterrent to claims – thorough 

documentation is the best defense.
Preconstruction March 2009

2-8 Claims and Disputes

Exhibit 2.4-B Example Acknowledgment of Receipt of Claim
Preconstruction March 2009

Partnering with the Construction Contractor 2-9

2.5 PARTNERING WITH THE CONSTRUCTION CONTRACTOR

2.5.1 BACKGROUND

State highway agencies, the Federal Highway Administration (FHWA), and in particular, the 

FHWA’s FLH program, have officially adopted the concept of partnering for administering 

construction contracts and improving internal agency and client relationships. The FLH 

definition of partnering is:

Partnering - A formal process of bringing teams from different organizations together where 

they cooperate to achieve separate but mutually beneficial objectives.

While the contract establishes the legal relationships, the partnering process attempts to 

establish working relationships among the parties (stakeholders) through a mutually-developed, 

formal strategy of commitment and communication. It attempts to create an environment where 

trust, continuous communication, and teamwork prevent disputes, foster a cooperative bond to 

everyone’s benefit, and facilitate the completion of a successful project.

The basic intent of partnering is to bring key managers of the project together to open channels 

of communication, set complimentary goals, and foster a climate in which issues can be openly 

raised, discussed, and jointly settled at the lowest practical level of responsibility. The goal of 

this concept is to create a cooperative team spirit, trust among team members, and a step-bystep joint issue identification and resolution process to minimize the number and 

contentiousness of disputes.

Making changes to the contract requirements or relaxation of the specifications are not a part of

the partnering process. However, when changes are appropriate to solve a problem or make 

the project run smoother, partnering is the forum that the stakeholders can use to recognize the 

need for the change and to quickly reach an equitable agreement.

See Exhibit 2.5-A, What is Partnering, an excerpt from the Corps of Engineers pamphlet, 

Partnering a Concept for Success.
Preconstruction March 2009

2 Partnering with the Construction Contractor -10

Exhibit 2.5-A What is Partnering?

What is Partnering?*

The Partnering concept goes back to the way people used to do business when a person's word was their 

bond and people accepted responsibility. Partnering is not a contract, but a recognition that every 

contract includes an implied covenant of good faith. 

While the contract establishes the legal relationships, the Partnering process attempts to establish 

working relationships among the parties (stakeholders) through a mutually-developed, formal strategy of 

commitment and communication. It attempts to create an environment where trust and teamwork prevent 

disputes, foster a cooperative bond to everyone's benefit, and facilitate the completion of a successful 

project. 

For the most effective results, stakeholders should conduct a Partnering workshop, ideally at the early 

stages of the contract. The sole agenda of the workshop is to establish and begin implementing the 

Partnering process. This forum produces the opportunity to initiate the key elements of Partnering. 

The key elements of Partnering are:

 Commitment - Commitment to Partnering must come from top management. The jointly-developed 

Partnership charter is not a contract, but a symbol of commitment. 

 Equity - All stakeholders' interests are considered in creating mutual goals, and there is commitment 

to satisfying each stakeholder's requirements for a successful project by utilizing win/win thinking. 

 Trust - Teamwork is not possible where there is cynicism about others' motives. Through the 

development of personal relationships and communication about each stakeholders risks and goals, 

there is better understanding. With understanding comes trust and with trust comes the possibility for 

a mutually beneficial relationship. 

 Development of Mutual Goals/Objectives - At a Partnering workshop the stakeholders identify all 

respective goals for the project in which their interests overlap. These jointly-developed and mutually 

agreed to goals may include achieving value engineering savings, meeting the financial goals of each 

party, limiting cost growth, limiting review periods for contract submittals, early completion, no lost 

time because of injuries, minimizing paperwork generated for the purpose of case building or 

posturing, no litigation, or other goals specific to the nature of the project. 

 Implementation - Stakeholders together develop strategies for implementing their mutual goals and 

the mechanisms for solving problems. 

 Continuous Evaluation - In order to ensure implementation, the stakeholders agree to a plan for 

periodic joint evaluation based on the mutually agreed to goals - to ensure the plan is proceeding as 

intended and that all stakeholders are carrying their share of the bad. 

 Timely Responsiveness - Timely communication and decision making not only save money, but 

also can keep a problem from growing into a dispute. In the Partnering workshop the stakeholders 

develop mechanisms for encouraging rapid issue resolution, including the escalation of unresolved 

issues to the next level of management. 

* Excerpt from USACE pamphlet: Partnering, A Concept for Success
Preconstruction March 2009

Partnering with the Construction Contractor 2-11

2.5.2 POLICY FOR PARTNERING

The following summarizes the policy guidance contained in the FLH Manual, Subsection 1-C-3, 

Partnering. A copy of this guidance is also provided as Appendix 2A.2.

 Partnering should be offered to the Contractor on a voluntary basis and not mandated.

 Formal partnering, using a trained facilitator, is to be offered to contractors on all major 

projects.

 Smaller or less complicated projects can be partnered on an informal or abbreviated basis.

 The development of a partnering agreement, or charter, signed by all the partners is 

suggested for all partnered projects (both formal and informal) to document the goals and 

objectives agreed upon.

 Key decision makers for FLH and the Contractor may be involved in partnering, as well as 

major subcontractors, the clients, and other regulatory agencies, such as the Corps of 

Engineers and the Fish and Wildlife Service, who have specific interest in the project.

 The use of a professional and experienced facilitator is recommended for all formal 

partnering.

 The cost of partnering should be shared equally by FLH and the Contractor. The progress 

payment system will include an item for formal partnering to allow FLH to compensate the 

Contractor for the Government’s share of the cost. If deemed appropriate by the COE, a 

partnering item may also be set up for informal partnering.

 As the partnered project develops, feedback and continuous evaluation of the partnering 

process and the project needs to be discussed and documented at the project level on a 

weekly basis or on the otherwise agreed upon meeting frequency. .

 A major objective of partnering is for the individuals at the project level to make timely 

decisions, work as a team, and resolve conflicts or issues to the extent possible. It is also 

important to have a clear and expeditious escalation procedure, so that conflicts that cannot 

be resolved at the project level may be escalated to the appropriate level as quickly as 

possible.

2.5.3 FORMAL PARTNERING

The contract will typically include an invitation to partner as part of the notice to bidders. Prior 

to, or during the preconstruction conference, the COE will determine from the Contractor if the 

project will be partnered. Jointly, they will agree upon the level of the partnering effort and on 

the location, tentative date, and participants for the partnering workshop.

Next, the COE, or Project Engineer, and the Contractor will determine who will facilitate the 

workshop. Generally, if the Contractor has a preference, FLH will honor that selection. Each 

Division has a list of acceptable facilitators and may offer to share the list with the Contractor. If 
Preconstruction March 2009

2 Partnering with the Construction Contractor -12

prior arrangements and commitments are made, consideration should be given to having the 

partnering workshop in conjunction with (before or after) the preconstruction conference.

Following the selection of the facilitator, the COE or Project Engineer should finalize the 

attendance list with the Contractor. The availability and role of key decision makers in the 

management of the contract is very important. Ideally, both FLH and the Contractor should 

strive to have their respective key persons attend all formal partnering workshops. A successful 

match-up for a partnering workshop could include:

For the Contractor For FLH

Senior Vice-President Director of Project Delivery/CO Branch Manager Construction 

Engineer

Project Manager COE

Project Superintendent Project Engineer

Foreman Assistant Project Engineer

Subcontractors Inspectors

Other representation should include the clients or customers, the State or county maintaining 

agencies, regulatory or compliance groups, and other interested parties that may impact the 

project during construction.

When deciding on the appropriate attendees, do not unnecessarily expand the size of the group 

to the extent that the partnering process may fail. Keep in mind that the success of the 

partnering workshop depends on the expertise and actions of the facilitator and most 

importantly, the cooperation and commitment of the key decision makers.

Another critical question in scheduling a formal partnering workshop is: “How long should the 

session last?” Since key individuals must allot their time carefully due to their respective 

positions and responsibilities, it is suggested that one day is ideal for the typical large or 

complex FLH contract. Of course, if all parties agree, additional time should be scheduled. 

Often the selected facilitator can provide input on the optimal workshop duration. But, follow the 

rule: 

Don’t make the partnering workshop too long; it will deter from the intended goals and 

expectations.

Beyond the workshop, it will be necessary to agree on the approximate frequency of 

subsequent meetings of the stakeholders, and if those meetings will be facilitated. Generally, 

facilitated meetings are more formal and less frequent - say quarterly - than nonfacilitated 

meetings. However, if serious conflicts develop, facilitated meetings may be more effective than 

nonfacilitated. Minutes should be kept of all partnering sessions.

Once all the details are agreed to, FLH will reimburse the Contractor for the Government’s 

share of the costs of the initial workshop and subsequent meetings as part of the progress 

payments. 

The Project Engineer or COE should then proceed to contact the individual participants by 

telephone and personally invite them to the workshop, identify the facilitator, and present an 

overview of the partnering concept. At this time, the date and location of the workshop should 
Preconstruction March 2009

Partnering with the Construction Contractor 2-13

be confirmed. Often, the facilitator will wish to call each of the participants to outline the 

partnering process and establish common goals. 

At the workshop, the participants will agree on a charter, which is normally a written 

commitment to work together to successfully complete the project, and will supplement that 

overall charter with agreed upon processes (Action Planning Processes) for handling general 

categories of potential problems. An example partnering charter is included in Exhibit 2.5-B. 

Exhibit 2.5-B Example Project Charter
Preconstruction March 2009

2 Partnering with the Construction Contractor -14

2.5.4 INFORMAL PARTNERING

Partnering on a formal or informal basis is encouraged and recommended for all projects. The 

reference document from EFLHD, Partnering Implementation Guide, has an excellent overview 

of the informal partnering process. Basically, the COE is the key stakeholder for FLH, and his 

or her counterpart for the Contractor (usually the project manager or project sponsor) is the 

other stakeholder. The concept is similar to the formal partnering process, but usually the 

stakeholders are limited to representatives of the Contractor and FLH, and an outside facilitator 

is not used. However, trained in-house staff members can serve as facilitators. Team 

development occurs as part of the project management. Early in the project, the COE and his

or her counterpart for the Contractor develop the partnering agreement, escalation procedure, 

and common goals. It is suggested that the agreement and related resolution procedures and 

action plans be prepared in draft prior to the informal partnering session. Minutes should be 

kept of all partnering sessions.

2.5.5 EMPHASIS IS ON ATTITUDE

At any time in the partnering process, COEs and their counterparts may move from informal to 

formal partnering if they perceive that informal partnering is not adequate to fulfill their 

expectations. Anytime the Contractor requests a change from informal to formal, FLH will honor 

that request.

If formal partnering is in place and partners desire a transition to an informal process, the 

partners must agree that such a move is in the best interests of all. Further, the parties have a 

responsibility to settle the facilitator’s contract.

2.5.6 FOLLOW-UP EVALUATIONS AND MEASUREMENT

Follow-up evaluations and measurements of the partnering process are performed in various 

ways in the individual Division. Refer to individual Division manuals for guidance.
Preconstruction March 2009

Notice to Proceed 2-15

2.6 NOTICE TO PROCEED

The Notice to Proceed (NTP) will be issued by, or with the concurrence of, the CE. Exhibit 

2.6-A contains a sample NTP letter.

Standard Form 1442, Solicitation, Offer, and Award, (see Exhibit 2.6-B) and FAR Clause 

52.211-10, Commencement, Prosecution, and Completion of the Work, establish the contract 

completion date for each project. The contract may also provide a specific number of calendar 

days (i.e., after the bid opening or receipt of acceptable bonds), or a specific date, by which time

the NTP must be issued. In the event the NTP is not issued within the specified time period for 

reasons not the fault of the Contractor, the Government must extend the fixed completion date 

accordingly. 

Inordinate delays in issuing the NTP may warrant more than just a day-for-day extension if the 

project completion date has been pushed into the next construction season. In addition, the 

Contractor may be due compensation for additional costs such as remobilization for the extra

season. Such eventualities should be treated as a contract modification, requiring cost data and 

negotiations in accordance with Chapter 13 of this manual.

FAR Clause 52.211-10 requires the Contractor to start work within a specified period of time

after receipt of the NTP. To allow the Contractor to coordinate operations and mobilization, the 

date for issuing the NTP should be discussed with the Contractor as soon as possible. The

Project Engineer and COE should remain aware of the status of project award and establish a 

NTP date that falls within the time period specified in the contract, unless the delay is due to the 

fault or negligence of the Contractor (e.g. by failing to submit acceptable bonds) or the 

Contractor and FLH have mutually agreed to delay the NTP, in which case, a contract 

modification signed by both parties should be executed.

Construction should provide input at the time of PS&E approval for an anticipated NTP date. 

This is particularly important for contracts awarded in the fourth quarter when weather

conditions may be unfavorable for work to commence immediately after award. If this situation 

is anticipated, it may be best to provide an NTP date for the following spring, when conditions 

are expected to be suitable for work. Failure to account for seasonal limitations may result in 

the need to issue the NTP at a time when it is impossible for the Contractor to begin work in the

specified period or a need to delay the NTP until conditions are suitable for work. If the 

Contractor requests and FLH agrees to a delay in the NTP, FLH has no obligation to extend the 

completion date unless that is a part of the overall agreement.
Preconstruction March 2009

2-16 Notice to Proceed

Exhibit 2.6-A Example Notice to Proceed
Preconstruction March 2009

Notice to Proceed 2-17

Exhibit 2.6-B SF 1442, Solicitation, Offer, and Award
Preconstruction March 2009

2-18 Notice to Proceed

Exhibit 2.6-B SF 1442, Solicitation, Offer, and Award (Continued)
Preconstruction (Appendix) March 2009

List of Appendices 2A-i

CHAPTER 2 – PRECONSTRUCTION

LIST OF APPENDICES

2A.1 PRECONSTRUCTION CONFERENCE INFORMATION ..................................... 1

2A.1.1 Example Preconstruction Conference Agenda...................................................................2

2A.1.2 Example Letter Setting up the Preconstruction Conference...............................................8

2A.1.3 Example Preconstruction Conference Minutes.................................................................16

2A.2 POLICY ON PARTNERING ............................................................................... 34

Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-1

2A.1 PRECONSTRUCTION CONFERENCE INFORMATION

This appendix contains information to assist FLH personnel in preparing for a preconstruction 

conference with the Contractor. Examples of the following are provided:

 Preconstruction Conference Agenda

 Letter Setting up the Preconstruction Conference

 Preconstruction Conference Minutes

For additional guidance on preparing for and conducting a preconstruction conference, refer to 

Section 2.3.
Preconstruction (Appendix) March 2009

2A-2 Preconstruction Conference Information

2A.1.1 EXAMPLE PRECONSTRUCTION CONFERENCE AGENDA

Based on DOT F 4220.3 and Typical Contract Requirements

1. Date and location of conference

2. Attendees including names and organizations

3. Organizational makeup and lines of authority (Government and Contractor)

a. Government

1. Contracting Officer(s) 

2. Project Engineer/COTR

3. Inspectors 

4. Contract Inspectors

b. Contractor

1. Project Manager

2. Superintendent

3. Quality Control Personnel 

4. Traffic and Safety Supervisor 

5. EEO Officer 

6. Subcontractors

c. Cooperating and other agencies

1. Agency liaison

2. Local contact

4. Commencement, progress and completion of work

a. Insurance requirements

b. Notice to Proceed

c. Construction schedule submittal, approval, updates

d. Retent for poor progress and/or delinquent submittals

e. Completion date
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-3

f. Liquidated damages

g. Intended shifts, Saturday, Sunday, holiday, night work

5. Correspondence

a. To Contractor

b. To FLH - Division and Project Engineer

6. Partnering

7. Other contracts at or near the project site

8. Utilities

a. Relocation responsibility and schedule

b. Location, protection, notification

c. Coordination with utility companies

9. Operations and storage

a. Storage/staging areas to be authorized or approved

b. Government Project Engineer’s field office

c. Access and hauling limitations

d. Employee parking

e. Disposal areas

f. Bulletin board (posters, emergency phone numbers, EEO policy, minimum wage 

schedule)

10. Layout of work

a. Government established base line and bench marks

b. Contractor responsibilities for stakeout, line and grades

c. Responsibility to notify Government of missing or conflicting stakeout information

11. Government furnished property and salvaged material

a. Furnished property - Location, delivery, storage, protection, damage

b. Salvaged material - Identification, who will salvage, delivery location, storage, damage

12. Protection of material and work
Preconstruction (Appendix) March 2009

2A-4 Preconstruction Conference Information

a. Protection of existing structures, utilities, vegetation, adjacent property and Government 

property

b. Protection of completed work until acceptance

13. Erosion, sedimentation and other environmental concerns

a. Authority of, and inspection by, regulatory agencies

b. Protection of completed work until acceptance

14. Compliance with local rules and regulations

a. Fire hazards and forest fires

b. Burn permits

15. Safety

a. Contractor’s safety plan

b. Protection of the public and Government employees

c. Protection of contractor employees

d. Accident reports

e. No inspection/acceptance under unsafe conditions

f. Hazardous/toxic materials

g. Blasting

16. Shop and falsework drawings

a. Submittal, approval and review time

b. Rejection and corrections

c. Signed and sealed by a professional engineer

d. Notify Government of incomplete information

17. Traffic Control

a. Ordering signs and devices

b. Approving alternates to TCP

c. Ordering changes to TCP

d. Monitoring and QC of TCP
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-5

e. Flagging and pilot cars

f. MUTCD - minimum standards

g. Maintenance of devices

18. Drainage and underdrain

a. Designing, approving the design, and staking of culverts

b. Identifying need for and ordering underdrain

19. Earthwork and subgrade

a. Erosion control and temporary seeding

b. Responsibility to utilize excavated materials and topsoil efficiently

c. Balanced earthwork vs. contractor responsible for borrow/waste

20. Inspection

a. Contractor’s inspection system - QC personnel

b. Government’s right to: inspect, reject defective material and workmanship, stop 

noncomplying work

c. COTRs/inspectors not authorized to waive or change contract requirements.

d. Responsibility to notify Government of conflicts in contract documents.

e. Acceptance - partial & final

21. Changes

a. Contract Modifications - Supplemental Agreements & Change Orders

b. All contract modifications in writing

c. Written notice of: constructive changes, delays, differing site conditions

d. Detailed cost proposal for any request for equitable adjustment

e. Advanced pricing vs. post work pricing

f. Value Engineering Change Proposals

22. Subcontracting

a. Notice to OFCCP and SF 1413 for onsite subcontracts more than $10,000

b. Report all subcontracts (onsite, offsite and materials supply) on Form FHWA 1775
Preconstruction (Appendix) March 2009

2A-6 Preconstruction Conference Information

c. Responsibility for coordination of, and contract compliance of all subcontractors

d. Small business and small disadvantaged business subcontracting plan 

1. Contractor’s liaison officer

2. Records

3. Reporting (SF 294/295) 

4. Liquidated damages

e. DBE/WBE subcontracting compensation clause 

1. DBE/WBE certification 

2. Submittals 

3. Threshold for Compensation 

4. Compensation (monetary and contract time)

23. Labor

a. Equal opportunity - SF 100, EEO policy, VETS-100

b. Contract Work Hours Standards Act

c. Davis-Bacon Act - minimum wage decision, additional classifications

d. Payrolls and basic records

e. Retent for nonpayment of wages or delinquent payrolls

f. Owner operators, salaried employees

g. Apprentices

h. Copeland (Anti-Kickback) act

i. Subcontractor labor compliance

24. Payment to Contractor

a. Prompt payment

b. Invoices - Receiving reports

c. Electronic Funds Transfer Payment

d. Contractor responsibility to provide stakeout/measurement data
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-7

e. Lump sum items - breakdown of contract price

f. Weighing and certifying materials for payment

g. Obligation to pay subcontractors, including suppliers

h. Interest, penalties, certification

i. No invoices for work associated with delinquent payrolls, test reports, materials 

certifications, or construction schedule

j. Bond premiums

k. Stockpiled materials - storage and protection, test reports, certifications

l. Mobilization item, other preparatory work, percentages payments

25. Notice of delays, disputes, claims

a. Responsibility to notify Government

b. No contract time adjustment except if delay is beyond control and without fault or 

negligence of Contractor. Delay must impact construction schedule.

26. Materials

a. Sources 

1. Contractor vs. Government sources 

2. Borrow areas, limits, etc. 

3. Staking, stripping, pit cleanup

b. Specifications for materials 

1. Source approval 

2. Quality control 

3. Quality assurance sampling & testing 

4. Documentation of Compliance

5. Production Documentation 

6. Commercial Product Documentation 

7. Acceptance, Statistical Analysis, QL-Pay Program
Preconstruction (Appendix) March 2009

2A-8 Preconstruction Conference Information

2A.1.2 EXAMPLE LETTER SETTING UP THE PRECONSTRUCTION 

CONFERENCE
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.2 Example Letter Setting up the Preconstruction Conference (Continued)
Preconstruction (Appendix) March 2009

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2A.1.3 EXAMPLE PRECONSTRUCTION CONFERENCE MINUTES

Project CO PFH 16-1(2) Marvine - Yampa

Routt National Forest

Preconstruction Conference Minutes

The Preconstruction conference for the Marvine-Yampa project was held on May 7, 2008 at the 

Yampa Forest Service District Office from 9:00am to 11:30 am.

1. INTRODUCTIONS

 Sign in Sheet

Copied and distributed to all in attendance (Sign in sheet attached)

 Introductions

2. PURPOSE OF THE CONFERENCE

The purpose of the conference is to discuss general contract requirements, specifications, 

plans, any unusual or unclear conditions, Contractor’s progress schedule and any other 

significant items pertaining to this project prior to or during construction. 

3. CONTRACT INFORMATION

a. Name of Project: CO PFH 16-1(2) Marvine –Yampa Routt National Forest

b. Contract Number: DTFH68-08-C-00003

Awarded 11/20/2007

Completion Date 10/15/2008

c. Contract Amount: $1,859,495.00

d. Type of Construction 0.386 miles of slide repairs (11 slide sites)

4. ORGANIZATION AND LINES OF AUTHORITY (Government & Contractor)

The Forest Service is the ‘owner’ for this project. Rio Blanco County is the maintaining 

agency for this project. The contract is solely between FHWA and American Civil 

Constructors. Federal Highway Administration has full authorization from the Forest Service 

to administer and execute the contract. Any issues that may arise requiring input or approval 

from the Forest Service or County will go through the Project Engineer. Any issues that the 

Forest Service or County may have, in turn, will also go through the Project Engineer.
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White River N.F. is the owner of the Ripple Pass Pit and Routt N.F. is the owner 

of the project area and Rough Creek Pit.

a. Government Representatives:

The Federal Highway Administrations Organization is as follows:

1. Contracting Officers:

Construction Operations Engineer: Randy Everett

Construction Engineer: Curtis Scott

2. Project Management:

Project Manager: Chuck Luedders

3. Contracting Officer’s Technical Representative:

Project Engineer: Lorell Duteil

 On site Representative of the Contracting Officer

 Duties as described in correspondence dated April 29, 2008, Subject: 

‘Appointment of Contracting Officer’s Technical Representative’

(Acknowledgement of COTR received May 7, 2008 )

 Project Engineer will decide all questions that may arise on the quality and 

acceptability of:

o Materials Furnished

o Work Performed

o Rate of Progress of the Work

 Project Engineer will decide all questions that may arise concerning 

interpretations of plans and specifications

 Project Engineer will decide all questions as to the acceptable fulfillment of the 

contract

4. Channels of Authority:

1

st level: All matters pertaining to the project shall go through the PE -

Lorell Duteil

2

nd level: COE - Randy Everett 

3

rd level: Construction Engineer (CE) – Curtis Scott

5. Inspectors (FP-03, 104.02)

 Inspectors have the authority to:

o inspect all work
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o reject work until the issue can be resolved by the Project Engineer

 Inspectors are NOT authorized to:

o alter or waive contract requirements

o issue instruction contrary to the contract

o act as foreman for the Contractor

o direct the Contractor’s operations

 The presence or absence of an inspector does not relieve the Contactor from any 

contract requirements.

Anticipated at this time to have one FHWA inspector onsite in addition to the 

Project Engineer.

b. Contractor Representatives:

1

st level: Foreman: Unknown at this time

2

nd level: Project Engineer: Brian Danner

3

rd level: Superintendent: Lee Coppock

4

th level: Project Manager: Grant Johns

c. Forest Service Representatives:

Routt N.F.: 

Gary Gray- Project & Rough Creek Pit Liaison

Oscar Martinez- Local District Liaison

White River N.F.:

Linn Pettijohn- Ripple Pass Pit and area use Liaison

Bruce Moss, Linda Torgerson- Coordination between FHWA & FS projects 

d. Rio Blanco County Representatives:

Scott Nielson- Coordination between FHWA & County for projects and maintenance

Dave Morlan- Project Liaison

5. STATUS: COMMENCEMENT, PROGRESS AND COMPLETION OF WORK

a. Document Order of Precedence

The intent of the contract is to provide for the construction and completion of the work in 

accordance with the plans and specifications. The contractor shall furnish all labor, 
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materials, equipment, tools, transportation and supplies necessary to complete the work 

in accordance with the following documents in order of precedence:

1. Federal Acquisition Regulations (FAR Clauses) / Transportation Acquisition 

Regulations (TAR Clauses) (see section ‘F’)

2. DOL Davis Bacon Minimum Wage Rates (see section ‘G’)

3. Special Contract Requirements (SCRs, see section ‘I’)

4. Plans

5. Bid Schedule

6. Standard Specifications for Construction of Roads and Bridges on Federal Highway 

Projects, FP-03

Any questions or clarifications of information pertaining to this project should be 

referred to the Lorell Duteil. This order of precedence will be used to resolve any 

conflicts between documents.

b. Insurance Requirements (107.05)

The contractor is required to carry all insurance listed in this section and furnish the 

appropriate “certificates of insurance” before work begins (Certificates of insurance 

received May 7, 2008 ) & Payment and Performance bonds in the penal amount of 

100% of the original contract price, (Bonds received Jan 22, 2008 ). 

c. Notice to Proceed

The contractor is required to commence work under this contract within 10 calendar 

days after the date the contractor receives the ‘Notice to Proceed’ (FAR 52.211-10) 

The NTP will not be issued prior to May 26, 2008.

Current snow levels on the project are around 69” as reported by the remote 

snow gage on Ripple Pass. The county has recently attempted to plow the snow 

from the Meeker side of Ripple Pass but was unsuccessful due to snow 

conditions. County Road 8 is currently open to the Trappers Lake turnoff. 

County Road 8 is currently plowed up to the forest boundary on the Yampa side. 

At this point depending on the snow melt it is possible that work may not be able 

to start on May 27. Dave Morlan will coordinate with FHWA on the snow 

conditions and plowing progress. FHWA will notify ACC as soon as the road is 

open to any part of the project or quarries. As soon as construction is possible 

on the project site following the May 26th date, FHWA will issue immediate NTP 

to ACC.

6. CONSTRUCTION SCHEDULE AND STAKING SCHEDULE

A well planned and executed schedule is particularly important to this project 

because of the short construction season window. The Project is located at a 
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high altitude between 9000 -10000 ft. and is prone to late spring and early fall 

snowstorms. It is important that all submittals, time requirements, and processes 

for the project are accounted for on the schedule for the project to be successful. 

a. Preliminary Schedule

Contractor to discuss/submit Schedule as requested in item #1 of our letter dated April 

29, 2008. Initial construction schedule received May 7, 2008.

Overview of the contractor’s initial schedule and production plan as presented by 

Grant Johns: Current schedule shows starting work on May 27, 2008 with finish 

on October 15, 2008. The contract has broken the 11 sites into 4 groups A-D. 

They anticipate starting on Area C (sites 7-10) because of the lower elevation 

and then working uphill and eventually dropping back to finish at site 11. The 

first activities that need to occur are survey and staking of the slides and pipe 

culverts to verify earthwork and order culvert pipe. Installation of underdrain to 

remove the water in the slide area prior to excavation is the next priority. ACC is 

currently planning to utilize the existing material from the road excavation within a 

relatively nearby area with minimal use of the borrow pit to minimize disturbance 

of the pit. Currently ACC is planning to work on 2 sites at one time with the 

possibility of a 3rd site dependent on schedule, site size, and material. ACC 

plans to use pilot car and flagger through each work zone during the day and use 

proceed when clear signs at night where sight distance allows. The rockery wall 

will be built by ACC personnel with previous experience building rockery walls on 

FHWA projects.

b. Construction Schedule

 Submit within 30 days after Notice to Proceed 

 Must include written narrative as described in SCR section 155.05

 At a minimum, submit an updated schedule at least every month (at least 7 

days prior to anticipated payment), which includes finish dates of completed 

activities, remaining duration of uncompleted activities, and any logic and/or time 

revisions. 

 Schedule revisions submitted sooner than every month if:

o Delay occurs in the completion of a critical activity

o Delay occurs which causes a change in the critical path

o Actual prosecution of work is different from that represented in the schedule

o Addition, deletion, or revision of activities caused by a contract modification

o Change in the schedule logic

 No progress payments will be made for any work until an updated construction 

schedule has been submitted to and accepted by the CO

 Include submittals and required review time for all pertinent submittals in the 

schedule (mix designs, QC plan, shop drawings etc) 

Short discussion on being sure to include lead time for geogrids and drainage 

items in the detailed construction schedule.
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c. Staking Schedule

Staking schedule should include the dates and sequence of staking requirements and 

should directly tie in to, or be part of the construction schedule. Follow guidelines in the 

CFLHD’s “Location/Construction Surveying Guide”, or other approved format.

1 hard copy and 1 electronic copy of the staking notes will be available for the 

Contractor per 152.02 on May 16, 2008. 

FHWA will send the electronic copy via email with the hardcopy to follow in the mail.

Staking is included in the preliminary schedule. Surveying will be completed by Marcin 

Engineering. Initial operations will be verifying and establishing control, staking the limits 

of the project, and staking the pipe culverts for pipe plots. Surveyors will typically be out 

48 hours prior to the operation such as underdrain and blue tops. Depending on tree 

cover and terrain, surveying subcontractor plans to be using mostly GPS. 

FHWA agreed to provide the services of their construction surveyor, Bob Bell, to assist 

Marcin Engineering with there initial setup of control data and other points of reference 

on the project site.

7. PROSECUTION AND PROGRESS (FP-03 & SCR’s section 108)

a. Liquidated Damages

Failure to complete the work within the specified time will result in the contractor having 

to pay liquidated damages to the Government in the amount of $1,100.00 per day. All 

contract work to be completed by October 15, 2008.

b. Other Contracts

This contract allows for the award of other contracts near the project. Contractor shall 

fully cooperate with the other contractors and with government and County employees 

and shall not interfere with the performance of work.

Anticipated contracts in area:

 Forest Service

Culvert replacement Project at Ripple Creek & Trappers Lake – This project will 

be accessing the Ripple Creek Pass Pit for Material. Possible short delays 

accessing project through the Ripple Creek work zone. Contract has not been let 

yet, but Forest anticipates work in mid to late August. This contract would most 

likely require leaving a loader in the Ripple Pit.

 Rio Blanco County

Williams Fork Road project, General Road Maintenance – County will be 

accessing the Ripple Creek Pass Pit for Material. The County will be maintaining 

Forest and county roads in and around the project. The County is anticipating 

working out of the Ripple Pit beginning the 2nd or 3rd week of August for a few 
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2A-22 Preconstruction Conference Information

weeks. Trucks will be hauling through the project. The maintenance crew will be 

working throughout the season. 

8. INTENDED SHIFTS

The contractor intends to work from 7 a.m. to 6 p.m. Monday through Friday. No weekend 

work is allowed without the approval of the CO and the Forest Service.

At this time ACC has no weekend work is planned, but cautioned that potential delay in 

starting due to the extreme amount of snow currently on the project site may cause them to 

request weekend work. FHWA and the Forest Service will consider weekend work. Both 

parties base decisions on many factors including reasonableness, need, schedule, and 

impact to forest users.

It is understood by all parties that work hours may change based on the operations taking 

place, the needs of the project and restrictions in the contract. FHWA requests as much 

notice as possible when a change in work hours will take place in order to inform the FS and 

County and to adjust staffing as necessary.

9. CHANGES: (Ref. FAR 52.243-4, Changes)

 Changes to the contract will be made by written order.

 Project Engineer can negotiate changes

 Changes have to be approved by the Contracting Officer

 Contractor is required to notify the project engineer immediately of any:

o Anticipated problems or changes

o Discrepancies in the plans or specifications

 Value Engineering (FP-03 103.03, FAR 52.248-3)

(Change to contract resulting in reduced contract price; Cost savings shared by 

contractor and government)

o Initial written description submitted to CO – 14-day review

o Value Engineering Change Proposal – 45-calendar day review

10. CORRESPONDENCE

All communications and correspondence concerning this contract will be directed to the 

project engineer:

U.S. Postal Service FedEx

Attn: Lorell Duteil – FHWA Attn: FHWA – Lorell Dutei

P.O. Box 95 **TBD**

Yampa, CO 80483

Telephone:

Denver Office Tel: (720) 963-3425

Denver Office Fax: (720) 963-3437

Personal Cell: (970) 218-0238
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Email: lorell.duteil@fhwa.dot.gov

Correspondence to American Civil Constructors: 

Address to follow when project office location is arranged

11. SUPERINTENDENCE BY CONTRACTOR

In accordance with FAR Clause 52.236-6, at all times during performance of this contract 

and until the work is completed and accepted, the contractor shall directly superintend the 

work.

As requested in our correspondence dated April 29, 2008, under item #6, please submit the 

names and signatures of company officials and representatives authorized to sign project 

documents. 

(Authorized Company Signers letter received May 7, 2008)

12. SUBCONTRACTORS: (FAR Clause 52.236-1 & 52.222-11, FP Subsection 108.2)

a. Contractor is required to perform at least 50% of the total contract amount of work.

b. Statement and Acknowledgment, Form SF 1413 and supplement to Form SF 1413 is 

required for each subcontractor (Forms provided by FHWA at Precon)

c. Item #13 of our letter requests a list of any known subcontractors (include 

suppliers/sources). Please submit any known subcontractors at this time. 

(List of known subs suppliers/sources received May 7, 2008)

 Major Suppliers: 

o Geogrid- Tensar

o Testing- Koechlein

o Culvert & drain pipe- Grand Junction Pipe

o Concrete & underdrain aggregates- Meeker Sand & Gravel

o Geotextiles - Contech

d. Subcontracting does not relieve the contractor of liability and responsibility under the 

contract and does not create any contractual relations between the government and the 

subcontractors.

e. Project engineer shall deal with the prime contractor only. Subcontractors shall go 

through the prime for any issues pertaining to the project.

f. The contractor is liable for any action or lack of action of subcontractors. The contractor 

shall be responsible for compliance of the subcontractor and lower tier subcontractors 

with applicable contract documents including the following:

 Plans and Specifications

 Davis-Bacon Act

 Kick Back Act
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 Payroll Work Hours

 Safety Standards

 Withholding of funds

 EEO requirements etc.

13. PAYMENT TO CONTRACTOR: (FAR Clause 52.232-5, FP Section 109)

a. Measurements and Payments (Section 109)

 Section 109.01 (SCRs), Measurement Methods:

o Submit to CO within 24 hours for completed work

o Submit to CO weekly for interim measurements

o Measurement Notes form the basis for the governments receiving report for 

progress payments.

 Suggested that FHWA inspector & ACC’s Foreman will measure work together 

when possible as it is completed on paysheets and both will sign. Both parties 

agreed that this would be most efficient.

 Payment Cutoff date (ACC choose date) 25th of the month

 FHWA available within 7 days of cutoff date to review the receiving report

 Contractor submit invoice within 7 days of cutoff date

 Proper invoice forwarded within 7 days of receipt

 Progress Payments wired 14 days after verification of invoice

b. No retained percentage is normally withheld, however on the last progress payment a 

small percentage may be withheld in case of error or overpayment. Retent can be 

withheld for violations of the labor provisions, any obligations to the government, 

schedule, as-builts, and for liquidated damages. If retent is withheld from any 

subcontractor, then the Government will withhold an equivalent amount from the 

Contractor.

c. Payment for materials stockpiled will be a maximum of: the lesser of 80% of the contract 

bid price or 100% of the invoice, pending acceptable results on the Contractor’s 

submitted process control tests. Total payment for stockpiled materials determined on a 

case-by-case basis by the project engineer.

d. Item #14 of our letter is in reference to the requirement that the contractor submit a 

certification to prove that payment to subcontractors and suppliers has been made from 

previous payment received under the contract. (FAR Clause 52.232-5) Information 

required to be included on the certification is the amount included for work performed by 

each subcontractor and the total amount of each subcontract and amounts previously 

paid to each subcontractor. Show any retent being withheld.

(Contractor Cert/Invoice form provided by FHWA at Precon)

14. SHOP DRAWINGS & AS-BUILT WORKING DRAWINGS (104)

a. Refer to Subsection 104.03 for items of work requiring drawings.

b. Refer to Subsection 104.03(c) for as-built drawing requirements. 
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 Due to the nature of the slide repair, underdrains, slope stabilization, and rockery 

wall information it is imperative that as-builts be detailed and timely. As-builts 

must be submitted no less than every 30 days or a portion of payment will be 

withheld according to the subsection. 

15. INSPECTION & QUALITY CONTROL

a. The contracting officer has the right to reject any defective material or workmanship 

(Ref. FAR 52.236-5)

b. No representative on the project is authorized to change any provision of the contract 

(Ref. FAR 52.243-4)

c. The presence or absence of a Government inspector does not relieve the contractor 

from any contract requirements, nor is the inspector authorized to change any term or 

condition of the specification without the contracting officer’s written authorization (FAR 

52.246-12)

d. Acceptance of work means final inspection from the contracting officer (Ref. Subsection 

106.07, FP-03)

e. In case of discrepancies in the figures, quantities, etc., notify the project engineer as 

soon as possible. Specifications govern when there is a difference between drawings 

and specifications. SCRs amend and supplement the Standard Specifications for 

Construction of Roads and Bridges, FP-03.

f. Contractor quality control and Contractor sampling and testing (Sections 153 & 154)

 Government Furnished Lab Trailer option has been exercised and will be 

available for pickup at the Lakewood office the same day the notice to proceed is 

issued. 

The contractor has identified the Ripple Pit as being the location they would like 

to place the lab. Linn Pettijohn agreed to this site. He would prefer it in this 

location rather than a pullout, although it may make coordination of the Pit area 

harder.

Discuss 153 QC vs. 154 sampling & testing vs. verification.

There was discussion to emphasize the need for ACC to have a quality process 

in place that addresses both the sampling and testing of materials and the 

inspection of work. FHWA agreed that ACC could most likely achieve this goal 

with a single QC representative due to the close proximity of slide locations 

under construction at one time. It is important that a high level of quality be in 

place throughout the project for the design to function as intended. FHWA will 

perform verification testing at their option. 

As requested in Item #2 of our letter, please submit your written QC plan. 

(QC plan received May 7, 2008). 
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 Designate qualified QC Supervisor whose primary responsibility is QC (not 

contractor’s super, foreman) (QCS designated Paul Evers ) 

Paul will be onsite full time. 

o Submit Inspector’s Daily Record of Construction Operation

o (FHWA 1413) or approved equal daily.

o Obtain samples for QA/QC/Verification tests (The government’s portion of 

split samples is to be delivered to the project engineer in a container suitable 

for shipment & labeled according to SCR section 154.02.) 

o Perform QA/QC testing (results within 24 hours)

o Provide inspection of work

o Exercise management control in correcting deficiencies

 Subsection 106.01, where sampling/testing procedures make reference to 

AASHTO, ASTM, or other standards designated as FLH T, the procedure as 

modified by the material manual shall govern. Copies of the Materials Manual 

can be obtained from our Materials Lab. See SCR’s Subsection 106.01.

16. OPERATION AND STORAGE / CONTROL OF WORK & MATERIALS

a. Ripple & Rough Creek Pits

 Require Material Source Development Plans

 Must be used in accordance with Permits and Stipulations

 Contractor must apply for a SWPPP for each Pit. 

Contractor believes that both Pits are covered under their project SWPPP and 

will verify this.

 Materials must meet requirements of the contract regardless of source

b. Staging areas – (Discussion with Forests & Contractor) 

Both Forests agreed to schedule a time with FHWA to drive the project area together 

and locate possible additional staging and/or storage areas for the contractor. This will 

take place as soon as the roadway is open.

Willows - Discussion with the Forests on identifying areas to gather willow cuttings 

outside of the project area. The Forest will meet with FHWA and flag some possible 

areas.

Water for Construction- ACC has been in contact with Vaughn Reservoir authorities 

about using water from that location. FHWA requires copies of the agreement/ permit to 

utilize this water. The access to the Vaughn Lake area is on Forest land and use of this 

area and required measures by ACC will be coordinated through FHWA with the Forest 

Service.
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17. LAYOUT OF WORK

Contractor shall perform all layout work according to SCR Section 152. Check Staking at all 

locations and check against catch tolerances. Sites 4 & 11 may require re-cross sectioning. 

The checking and catching of the slopes stakes is especially important as these areas are 

landslides that were surveyed in 2005. Movement may have occurred since then and this 

will verify if the topo is significantly changed. Re-cross sectioning will be required wherever 

the stakes do not catch within tolerance. Any areas that are re-cross sectioned will be sent 

back to FHWA for design review.

18. GOVERNMENT FURNISHED PROPERTY AND SALVAGED MATERIALS 

a. Salvage existing object markers / signs: ACC to coordinate with FHWA

b. Aggregate materials supplied by government in Ripple & Rough Creek Pits

 Stockpiled materials: 

There are currently 3 piles of crushed aggregates in the Ripple pit designated for 

use by: FHWA, the County, and the Forest Service. These piles were measured 

at the end of the last project and should be intact. Cooperation and care will be 

required between all parties to use the pit concurrently and avoid using others’ 

material.

 Riprap & Rockery Wall material: 

The Ripple Pass Pit is the intended source for this material. This pit is fractured 

rock and was ripable by standard equipment in all but a few areas.

 Unclassified borrow material: 

Supplied in the Rough Creek Pit is the intended source for this material. 

c. Salvage and Use of aggregate materials from work sites: 

At this time FHWA does not anticipate that any salvaged aggregate material will be 

available to the contractor for use as borrow material. FHWA will direct the use and 

placement of this material for Forest roads. 

19. LEGAL RELATIONS AND REPONSIBILITY TO THE PUBLIC (107)

a. Storm Water Pollution Prevention Plan (SWPPP) (section 107)

 Submit at least 3 weeks prior to beginning construction (SWPPP Submitted to 

FHWA Not at this time )

 Designate erosion control supervisor (ECS designated Brian Danner )(157)

 Contractor and subs sign approved SWPPP

 Inspections per section 107

 Post NOI on construction bulletin board

 Include Spill Prevention, Control and Countermeasures section
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b. Use ‘good housekeeping’ practices as listed in 107.01(f).

c. Do not disturb any areas outside of the construction limits. Use established pullouts, 

parking areas, and intersections for turnarounds. 

d. Power wash all equipment prior to entering forest. Dirty equipment will be sent away on 

arrival. Arrange with CO to inspect each piece of equipment upon arrival to jobsite with 

minimum 24 hour notice. Weed and non-native plant control is very important to the 

Forest. 

Forests have extensive weed control systems in place. FHWA & ACC will decide 

in the future where inspections of equipment entering the project site will take

place. FHWA will inspect equipment and Forest will assist with inspections at 

their discretion.

e. Utility location is contractor’s responsibility.

f. Non-Commercial areas used for material sources, disposal sites etc. require extensive 

environmental paperwork and permitting – see section 107.10(d).

20. LABOR

a. Equal Employment Opportunity: There is a requirement for Affirmative Action to ensure 

Equal Employment Opportunity. As requested in item #3 of our letter, please submit the 

name of your EEO officer and a copy of your EEO policy and your plan for implementing 

the EEO provisions of the contract. Contractor is required to file an EEO-1 survey report 

(EEO-1 report received May 7, 2008 )

b. Davis Bacon Act: The wage rates from the conformed contract shall be posted on the 

bulletin board. 

c. Working Hours Overtime: One week is from Sunday through Saturday. Any hours over 

40 per week is overtime, 1 1⁄2 times the hourly rate. 

d. Apprentices: Please utilize apprentice work force and give young people an opportunity. 

Approved apprentice plan paperwork required.

e. Payroll Records and Payrolls: Contractor and Subcontractors shall submit certified 

weekly payroll records within seven days after payment has been made. Include wages 

for each trade, classification, fringe benefits, withholding tax, etc. For each new 

employee, include on payroll the name, address and social security number. 

Owner/Operators also need to be shown on the payroll, including name, address, social 

security number, the date, and hours of work. (FAR Clause 52.222-8) 

f. Withholding of Funds: Contracting Officer can withhold or cause to be withheld funds 

necessary to pay laborers and helpers employed by the Contractor or Subcontractors 

the full amount of wages required by this contract (FAR Clause 52.222-7).

g. Contract Termination: A breach of the Clauses just discussed may be cause for 

termination of this contract (FAR Clause 52.222-12). The government has the right to 

interview laborers. 
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-29

21. NOTICE OF DELAYS

The contracting officer shall be notified promptly in writing of actual or potential delays 

caused by reasons other than the fault or actions of the Contractor with an accurate 

description and reason for the delay. 

Claims for adjustments and disputes shall be in accordance with FAR Clause 52.233-1.

22. COMPLIANCE (Section 107)

a. The Contractor shall keep fully informed of Federal, State, Counties and local laws, 

ordinances, safety codes and regulations. (Including National Forest) Comply with all 

applicable laws, ordinances, safety codes, regulations, orders and decrees. 

b. All permits and agreements obtained by the Government are included in this contract, 

and must be complied with. Obtain all additional permits that are required.

c. Furnish weatherproof bulletin board (107.03), erect at conspicuously accessible location 

on the project. Include:

1. “Equal Opportunity” Poster

2. “Notice” that the project is subject to Title 18, US criminal code Section 1020

3. “Notice to Employees” poster WH-1321 (proper pay)

4. “Beck” Poster (Employees rights concerning Union dues)

5. “Safety and Health Protection on Job” Poster

6. “General Wage Decision” for this contract

7. Company Equal employment opportunity policy

8. SWPPP Notice of Intent (NOI)

(FHWA provided posters for bulletin board to ACC)

23. SAFETY 

a. Allow emergency vehicles continuous access through project at all times.

b. Laws enforced by Sheriff (including Speeding, Hunting, & Fire bans) Sheriff does patrol 

the area regularly.

c. Sanitation Facilities shall be in accordance with OSHA, state and local regulations. 

Contractor will not use the Forest facilities.

d. Contractor is responsible for slope stability during construction operations. 

This project is in an active landslide area in which slopes are unstable, moving material. 

It is important that crews be aware of the dangerous condition of this material and that 
Preconstruction (Appendix) March 2009

2A-30 Preconstruction Conference Information

appropriate measures are taken. Several of the underdrains are significantly deep as 

well. Grant indicated ACC plans to use a trench box for safety and to limit aggregate 

material needed.

e. Submit name and 24 hour phone # of traffic and safety supervisor (not the 

superintendent)(156) (designated Brian Danner & Paul Evers - local contact 

information to follow )

f. Contractor’s weekly safety meetings (Held daily at start of shift). ACC indicated that 

anyone interested is invited to attend these meetings.

g. As requested in our correspondence dated April 29, 2007, under item #8, please submit 

the required Accident Prevention & Health Standards Plan. (Received May 7, 2008)

h. As requested in our correspondence dated April 29, 2007, under item #11, please 

submit the required Drug Free Workplace Plan. (received May 7, 2008 )

ACC’s safety officer requested that all personnel on the jobsite wear hardhats and vests 

at all times. Also, that all project vehicles that are active have headlights on (including 

haul roads). FHWA volunteered to supply hard hats and vests to County and 

Government visitors if needed. Due to the location of project it is important that 

emergency services be identified and response plans are in place and discussed with 

crews.

24. TRAFFIC CONTROL

a. Submit situation-specific T.C. plan w/ staging 14 days prior to use. (156)

b. Maintain public access to all approach & access roads, parking area and pullouts except 

when safety hazard to general public and as allowed by contract.

c. No detours outside of the construction limits w/o approval of CO (SCR 156)

d. Coordinate expected delays to traffic with the CO.

e. Limit delays to 30 minutes per passage through project traffic per 156.04.

f. Snow removal for public traffic by Rio Blanco County at their discretion.

g. Snow removal to facilitate construction by Contractor.

h. Alternate One Way Traffic Widths – 10ft one way, 20 ft two way traffic

i. Allow emergency vehicles continuous access through project.

j. Cert that T.C. devices meet MUTCD and crash worthiness (635). 

Forest & Public will be kept notified of current project roadway conditions and 

progress by weekly updates on the CFLHD project website. The Forest Service 

offices can access this information for the most current conditions and delays to 

relay to the public. There was some discussion about adding/ changing the 

advance notification signs to include distance to work site or delay time. FHWA 
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-31

will change advance notification signs to include “Delays Possible”. Group also 

discussed having a flyer to handout to visitors passing through the work zones. It 

was agreed no handouts due to limited nature of project and littering. FHWA will 

provide several copies of a project description and contact information so that 

flaggers will be informed and can pass this information on to the public verbally. 

Roadway width limitations and oversize traffic were also discussed. Oversized 

traffic is rare and permitted through the County. It is important that oversized 

traffic be alerted to the conditions far in advance of the project site so that they 

have opportunity to turn around.

25. Stabilized slopes, Underdrains, & Ditches

a. Store, handle, protect, haul, and install geogrids and geotextiles according to 

Manufacturer’s recommendations. Including exposure to sunlight and equipment 

b. Maintain uniform and neat slopes and layers within the stabilized areas

c. Underdrain and ditch profiles may be field adjusted depending on conditions and 

material encountered.

d. Utilize specified materials in correct locations 

e. Ditch reconditioning is only directly paid in areas where underdrain is not placed

26. Forest Issues & Questions

 Forest will communicate with FHWA & the County on coordination of the Pit areas. 

Forest will work with county as well to minimize interaction in this area.

 Forest will work with FHWA to designate additional willow gathering area.

 Forests are interested in attending weekly meetings. FHWA and ACC agreed that 

weekly meetings will be held although location and times are unknown at this time. 

All parties are welcome, although attendance will be sporadic due to travel times. 

FHWA will update the Forest Service and the County on current issues and needs. 

Forests and County will be kept current on issues & needs by FHWA. ACC said they 

will produce minutes from each weekly meeting that FHWA will forward on to Forests 

& County.

 Forest emphasized that communication between all parties and the traveling public is 

the key to a successful project.

 White River NF requested 1 set of project plans & specs.

27. County Issues & Questions

 Stressed importance of the traffic control being Safe and Maintained at all times.

 Expressed the importance of keeping traffic moving and minimal delays.

 County will work with FHWA to link to Project Website.

 County will keep in contact with FHWA about road opening & snow plowing efforts.

28. Contractor Issues & Questions 

Contractor requested 12 sets of Plans & Specs as none were forwarded at award. 

Additional copies of the FP are also needed.
Preconstruction (Appendix) March 2009

2A-32 Preconstruction Conference Information

FHWA & ACC Post-meeting on specific project details:

 Looked at geo-composite drain and if type had been agreed on. ACC will look 

carefully at providing dual part system to meet detail. Discussed trying to limit outlet 

to 1 pipe for ease of construction and outflow management.

 ACC asked FHWA to let them know the wording for the Advance notification signs –

Signs have not been ordered yet. 

 ACC asked when/ where willows were supposed to go. Can they plant in the spring? 

Willows are on existing slide areas and can be planted as soon as slopes are cleared 

of snow. Willows have limited storage time. See SCRs for detailed willow 

information.

 Discussion regarding if ACC had chosen a gasket for the anchored pipes. ACC has 

not chosen a gasket product yet. FHWA expressed concern of steep pipes needing 

gaskets and / or anchor assemblies. ACC agreed to contact supplier and find a 

possible gasket to use on the specified pipe as well as costs for additional gaskets.

 ACC expressed concern that roadway was not open and that work may not be able 

to start on May 27th due to snow. The submitted initial schedule by ACC shows 

starting work May 27th. FHWA believes that the summer season is more than long 

enough to complete the work, but Chuck Luedders agreed that if the project was still 

not accessible in Mid-June that FHWA would look at possible scheduling alternatives 

with ACC. 

 ACC & FHWA discussed the roadway excavation item along with use of the Rough 

Creek Pit. The roadway excavation item includes the removal and placement of 

materials. The roadway excavation item quantity as shown in the Earthwork 

summary is a sum of two parts: Excavation of the roadway and placement of the 

existing excavated material in the borrow pit as waste (one payment); and 

Excavation of new material from the borrow source with placement in the roadway 

(second payment). FHWA emphasized to ACC that existing material utilized from 

roadway excavation would not be paid as additional excavation. ACC will review the 

earthwork summary and contact FHWA with any questions. 
Preconstruction (Appendix) March 2009

Preconstruction Conference Information 2A-33

Pre-Construction Conference Follow-up Items:

 FHWA: 

o Provide advance sign wording to ACC.

o Provide project website information to all parties.

o Coordinate with County and ACC on road opening & NTP.

o Send remote snowgage web information to ACC.

o Provide further contact and local office information when established.

o Coordinate with ACC on location/ time of equipment weed inspections and Weekly 

meetings.

o Provide copies of plans, specs, and FPs as discussed.

o Provide staking notes to contractor on May 16, 2008.

o Provide project description and contact information to ACC prior to use of flaggers.

 ACC: 

o Provide further contact information and local office information when established.

o Provide 24 hour contact information for safety & traffic control.

o Coordinate with FHWA & Forest on accessing Vaughn Lake for water.

o Provide information on proposed pipe gaskets to FHWA. 

o Coordinate with FHWA on location/ time of equipment weed inspections and Weekly 

meetings.

o Notify FHWA prior to starting survey & staking so FHWA staff can be present if 

desired.

o Submit SWPPP to FHWA for Project & Pits.

 Forests:

o Coordinate with FHWA and County on Forest project and Ripple pit use.

o Drive project areas together and locate possible staging / storage areas.

o Locate and flag willow gathering areas with FHWA.

o Coordinate with FHWA & ACC on accessing Vaughn Lake for water.

o Coordinate with FHWA on approving pit development plans and lab location.

 Rio Blanco County:

o Communicate road opening and snow plowing progress to FHWA.

o Coordinate with FHWA & Forest on County project and Ripple pit use.
Preconstruction (Appendix) March 2009

2A-34 Policy on Partnering

2A.2 POLICY ON PARTNERING

This appendix contains an excerpt from the FLH Manual, Subsection 1-C-3, Partnering. 

For additional guidance on partnering, refer to Section 2.5 of this Manual.
Preconstruction (Appendix) March 2009

Policy on Partnering 2A-35
Preconstruction (Appendix) March 2009

2A-36 Policy on Partnering
Preconstruction (Appendix) March 2009

Policy on Partnering 2A-37
Preconstruction (Appendix) March 2009

2A-38 Policy on Partnering
Preconstruction (Appendix) March 2009

Policy on Partnering 2A-39

Safety March 2009

Table of Contents 3-i

Chapter 3 – SAFETY

TABLE OF CONTENTS

Section Page

3.1 General.........................................................................................................................................3-1

3.2 Government Responsibility for Safety of FLH Personnel.......................................................3-2

3.2.1 Personal protective Equipment .................................................................................3-2

3.2.1.1 Protective Clothing.................................................................................3-2

3.2.1.2 Protective Footwear...............................................................................3-2

3.2.2 Project Engineer Safety REsponsibilities ..................................................................3-2

3.2.3 Operating Government Vehicles ...............................................................................3-2

3.3 Accidents .....................................................................................................................................3-4

3.3.1 Accidents Involving Government Vehicles ................................................................3-4

3.3.2 Personal or property accidents..................................................................................3-5

3.3.3 Occupational Accident Report...................................................................................3-5

3.3.4 Accident/Injury Compensation Forms .......................................................................3-6

3.3.5 Contractor Accidents .................................................................................................3-7

3.3.5.1 Work Zone Accident Report...................................................................3-7

3.3.5.2 Accident Inquiries and Investigations ....................................................3-7

3.4 Construction Safety....................................................................................................................3-9

3.4.1 General......................................................................................................................3-9

3.4.2 FLH Safety Responsibilities Prior to Start of Construction........................................3-9

3.4.3 FLH Safety Responsibilities During Construction Operations.................................3-12

3.4.4 High Risk Situations ................................................................................................3-16
Safety March 2009

3-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 3.3-A Work Zone Accident Report ......................................................................................3-8

Exhibit 3.4-A Example Approval Letter of Contractor’s Safety Plan .............................................3-11

Exhibit 3.4-B Example Notification of a Safety Deficiency............................................................3-14

Exhibit 3.4-C Example Notification of Chronic Deficiencies..........................................................3-15

Exhibit 3.4-D Summary of OSHA Trenching and Excavation Requirements................................3-17
Safety March 2009

General 3-1

CHAPTER 3

SAFETY

3.1 GENERAL

This chapter addresses the responsibilities of FLH and the Contractor to ensure the health and 

safety of its employees and the public. Requirements and guidance related to the following 

topic areas are included:

 Personal protective equipment; 

 Incident response and reporting procedures; and 

 Construction safety.
Safety March 2009

3 Government Responsibility for Safety of FLH Personnel -2

3.2 GOVERNMENT RESPONSIBILITY FOR SAFETY OF FLH 

PERSONNEL

3.2.1 PERSONAL PROTECTIVE EQUIPMENT

3.2.1.1 Protective Clothing

The Government will provide FLH personnel with the necessary articles of special protective 

clothing. This includes hard hats and approved safety vests, which must be worn by FLH 

personnel on all construction project work sites, regardless of the relative hazard of operations.

Personnel must also wear protective clothing, such as a bright orange or yellow vest or jacket,

in undeveloped areas during local hunting seasons. 

3.2.1.2 Protective Footwear

FLH personnel must wear suitable footwear, normally steel-toed, laced boots. The FLH Division 

will, within FLH and Division guidelines, provide, or provide reimbursement for, safety (steeltoed) footwear.

3.2.2 PROJECT ENGINEER SAFETY RESPONSIBILITIES

The Project Engineer is responsible for the safety of Government employees on the project. 

This responsibility includes:

 becoming familiar with all prescribed accident report forms,

 promptly reporting all accidents to the COE, 

 orienting new employees as to the special safety concerns of the project, and 

 holding frequent safety meetings for all personnel, emphasizing those areas of danger that 

might be encountered on the project.

3.2.3 OPERATING GOVERNMENT VEHICLES

The Project Engineer should become familiar with regulations regarding the operation of 

Government vehicles and with local traffic laws and regulations. The Project Engineer must 

ensure that all personnel required to operate vehicles are properly licensed. The Project 

Engineer should withdraw authority to operate Government vehicles assigned to the project 

from anyone who commits serious or repeated safety violations, or who otherwise seems 

incapable of safely operating Government vehicles. Special situations should be discussed with 

the COE.

Additional safety requirements and motor vehicle management requirements applicable to the 

operation of Government vehicles are available in Division operating and administrative 

procedures.
Safety March 2009

Government Responsibility for Safety of FLH Personnel 3-3

See Section 3.4 for further guidance on monitoring and interacting with the Contractor on 

construction safety issues.
Safety March 2009

3-4 Accidents

3.3 ACCIDENTS

3.3.1 ACCIDENTS INVOLVING GOVERNMENT VEHICLES

FLH personnel should follow the procedures outlined below if an accident occurs involving a 

Government vehicle. 

1. Stop immediately. 

2. Take steps to prevent another accident at the scene.

3. Call a doctor or ambulance if necessary. 

4. Notify police. 

5. If the police question you, cooperate with their investigation. Provide factual, succinct 

responses to their questions. Do not admit fault or liability. Obtain a copy of the completed 

police report and forward it to your COE. The COE will forward it to Legal Counsel and 

other appropriate individuals in your Division.

6. DO NOT sign any paper or make any statement as to who was at fault (except to your 

supervisor or to a Federal Government investigator). If the other party contacts you, 

limit the discussion to the information listed in Item 8 below and provide them with the name 

and number of Legal Counsel. Legal Counsel will be their main point of contact regarding 

the accident and will provide them with SF 95, Claim for Damage, Injury, or Death, a blank 

copy of which is provided in Appendix 3A.1.1. 

Also, do not discuss the accident with, or provide any information to, the other party’s 

insurance company. When you are operating a government vehicle for Government 

business, the Government will handle all claims. If the other party’s insurance company 

contacts you, direct them to Legal Counsel.

7. Get the name and address of each witness. Ask the witness to complete SF 94, 

Statement of Witness, contained in the GSA Motor Vehicle Accident Reporting Kit. A blank 

copy of SF 94 is provided in Appendix 3A.1.2

8. When talking with the other party, state your name, work address, place of 

employment, and name of your supervisor. Upon request, show your operator’s permit 

and vehicle registration card. (NOTE: Only Government-owned or leased vehicles 

registered in the District of Columbia or displaying state tags have registration cards.)

9. Complete SF 91, Motor Vehicle Accident Report, at the scene. A blank copy of SF 91 is 

provided in Appendix 3A.1.3. If conditions prevent completing the form at the scene, make 

notes of the following:

o Registration information for other vehicle(s), (owner’s name, tag number and state serial 

number, and vehicle description);

o Information on the other driver (name, address, operator’s permit number, and expiration 

date);
Safety March 2009

Accidents 3-5

o Name and address of each person involved and extent of injury, if any;

o Name and address of company insuring the other vehicle(s) and insurance policy 

number; and

o General information such as the location, time, sketch and measurements of accident 

location weather, and damage.

Take photos of the accident site and the damaged vehicle(s). Provide the photos to your 

COE, who will forward them to the CE and Legal Counsel.

Do not write any report (other than what is required in the SF 91) unless instructed to do so

by Legal Counsel. Do not use your project diary to record details regarding the accident. 

10. Notify your supervisor and the manager of the Fleet Management Center listed on the 

front cover of the Vehicle Operator’s Manual as soon as possible. Provide your COE 

with general information about the accident and pictures if possible. Do not include details 

of the accident in e-mails or other written documentation. The COE will notify Legal Counsel 

and the CE. The CE will notify the Director of Project Delivery.

11. If the vehicle is unsafe to operate, call the Fleet Management Center or Maintenance 

Control Center for instruction. If you are unable to contact the Fleet Management Center 

or Maintenance Control Center due to the accident occurring after normal duty hours or on 

holidays, have the vehicle towed to the nearest repair shop or service station. The Fleet 

Management Center must be notified concerning the vehicle’s location as soon as possible.

12. Submit all reports and data to your supervisor within one working day. (Note: If you 

are injured, have the police notify your supervisor who will assume your responsibilities for 

reporting the accident.)

13. Injuries should be processed through your Division personnel office using a CA-1 

Form.

3.3.2 PERSONAL OR PROPERTY ACCIDENTS

All accidents must be reported to the Division Safety Officer. Accidents involving injury should 

be reported within 48 hours of the incident. Accidents involving property damage should be 

reported within 72 hours of the incident. Contact the Safety Officer with questions regarding 

accident reporting.

3.3.3 OCCUPATIONAL ACCIDENT REPORT

Use the internal form, Occupational Accident Report (OAR) to report all accidents (including non 

injury accidents involving GSA vehicles). The appropriate accident forms must accompany the 

OAR. Submit the completed OAR and a copy of all other applicable forms (e.g.; CA-1, CA-2, 

CA-16, SF-91, and SF-94) to the Safety Officer. A blank OAR form can be found in 

Appendix 3A.2.
Safety March 2009

3-6 Accidents

3.3.4 ACCIDENT/INJURY COMPENSATION FORMS

Complete the forms discussed below, as applicable, regardless of whether or not compensation 

is pursued. Refer to the Federal Injury Compensation publication, Pamphlet CA-550, for 

information regarding injury compensation. Submit the original injury compensation forms to 

Personnel.

1. CA-1, Federal Employee's Notice of Traumatic Injury and Continuation of

Pay/Compensation

The CA-1 must be completed for all traumatic injuries. See subsection d below for further 

requirements regarding medical examination and/or treatment. As set forth by Pamphlet 

550:

A traumatic injury is defined as a wound or other condition of the body caused by 

external force, including stress or strain. The injury must be identifiable as to 

time and place of occurrence and member or function of the body affected. It 

must be caused by a specific event or incident or series of events or incidents 

within a single day or work shift. Traumatic injuries include damage to or 

destruction of prosthetic devices or appliances, including eyeglasses and hearing 

aids if they were damaged incidental to a personal injury requiring medical 

services. (Personal Property claims can be made only under the Military 

Personnel and Civilian Employees' Claims Act, 31 USC 240.)

A blank form can be found in Appendix 3A.3.1.

2. CA-2, Notice of Occupational Disease and Claim for Compensation

The CA-2 must be completed to report an occupational disease. As set forth by Pamphlet 

CA-550:

An occupational disease is defined as a condition produced in the work 

environment over a period longer than one work day of shift. It may result from 

systematic infection, repeated stress or strain, exposure to toxins, poisons, 

fumes or other continuing conditions of the work environment.

A blank form can be found in Appendix 3A.3.2.

3. CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for 

Continuation Pay/Compensation

Complete form CA-2a for an injured employee that is again disabled as a result of an 

original injury or occupational disease. The definition of recurrence is stated in the 

instructions that accompany form CA-2a. A blank form can be found in Appendix 3A.3.3.

4. CA-16, Authorization for Examination and/or Treatment

Complete form CA-16 for employees requiring medical examination or treatment for 

traumatic injuries that is work-related. Prior approval must be obtained from the Office of 

Workers' Compensation Program for recurring injuries.
Safety March 2009

Accidents 3-7

Submit form CA-16 within 4 hours of the request for care. Treatment may be authorized for 

emergency care by telephone. Forward a completed CA-16 to the medical facility within 48 

hours of the emergency. A blank form can be found in Appendix 3A.3.4.

3.3.5 CONTRACTOR ACCIDENTS

3.3.5.1 Work Zone Accident Report

All accidents should be reported verbally to the COE the same day of the accident. Accidents 

involving fatalities are to be reported immediately to the COE and the CE. They will inform the 

Division Engineer. A voice mail or email alone will not suffice.

Document any type of accidents occurring within the project limits. Include information similar to 

that shown in the sample Work Zone Accident Report provided as Exhibit 3.3-A. Use diagrams, 

be sure to document traffic control signs and devices in the area, and include several photos.

The local law enforcement agency may be called in to investigate; they will then do their own 

report. Ask to get a copy of their report to attach to yours.

The completed report, with any attached law enforcement reports, photos and other 

documentation, is to be sent to the COE and Division Legal Counsel.

3.3.5.2 Accident Inquiries and Investigations

Accidents and injuries often result in inquiries from insurance investigators, lawsuits, and 

attorneys. Any subpoenas, depositions, or requests for information associated with accidents 

on the project should immediately be referred to the COE and the Division Legal counsel.
Safety March 2009

3-8 Accidents

Exhibit 3.3-A Work Zone Accident Report
Safety March 2009

Construction Safety 3-9

3.4 CONSTRUCTION SAFETY

3.4.1 GENERAL

Federal law requires all FLH contracts to contain FAR Clause 52.236-13, Accident Prevention, 

which obligates the Contractor to perform work in accordance with the Safety and Health 

Regulations for Construction (29 CFR 1926) published by the U.S. Department of Labor. Each 

project office should have a copy of the OSHA regulations.

FAR Clause 52.236-13 also requires the Contractor, without separate or additional payment, to 

safeguard the public, Government employees, and Government property exposed to the

construction. It is the Project Engineer’s responsibility to see that the Contractor effectively 

fulfills this responsibility. FLH employees cannot be permitted to work in an environment that is 

unsafe in ways that are correctable or controllable. This obligation gives the Government the 

discretion to order correction of hazards, whether or not a specific hazard is covered by the

OSHA regulations.

Accidents and injuries often result in inquiries from insurance investigators and attorneys. Any 

subpoenas, depositions, and requests for information associated with accidents on the project 

should immediately be referred to Legal Counsel through the COE. See Section 3.3 for further 

details.

Contracts may contain a supplement to the FAR clause that requires the Contractor to submit a 

proposed safety plan to FLH for review and agreement prior to beginning construction. 

Appendix 3A.4 contains a suggested outline for a Contractor’s safety plan. It should be

provided to the Contractor at or before the preconstruction conference so that they know what 

we expect for a safety program. Even for contracts that do not have the FAR clause

supplement, the outline should be provided to the Contractor for informational purposes.

3.4.2 FLH SAFETY RESPONSIBILITIES PRIOR TO START OF CONSTRUCTION

The Project Engineer should perform the following activities prior to the start of construction.

1. At the preconstruction conference, emphasize the Contractor’s safety responsibilities under 

FAR Clause 52.236-13, Division 100 of the Standard Specifications, and contract provisions 

dealing with specific subjects such as work zone traffic control and explosives.

2. Approve or otherwise respond to the Contractor’s safety plan submittal for contracts 

including that provision. Exhibit 3.4-A is an Example Approval Letter.

3. Regardless of the contract’s requirement for a safety plan, emphasize at the preconstruction 

conference those safety precautions that are applicable to all projects. For example:

o Identification of Contractor employees with overall responsibility for safety management 

and supervision.

o Posting of emergency procedures, including appropriate telephone numbers and

locations of doctor, emergency services, and hospitals.
Safety March 2009

3-10 Construction Safety

4. Emphasize that the Contractor, not the Project Engineer, is obligated to:

o Perform routine safety inspections and otherwise monitor project safety.

o Immediately correct or otherwise determine an appropriate response to complaints of 

safety deficiencies, whether those complaints come from Contractor employees, the 

Government, or the public.

o Provide the required safety expertise to fulfill these obligations. It should not be 

assumed that FLH has, or will provide, such expertise.

5. Advise the Contractor that the contract requires that FLH notify the Contractor in writing of 

alleged safety deficiencies and that the FLH Division will notify the State or Federal OSHA 

office responsible for construction safety monitoring if deficiencies are chronic or remain 

unresolved.

6. Advise the Contractor that if it fails to immediately correct safety deficiencies, especially high 

risk deficiencies, the Project Engineer has authority to stop work on the affected operations 

until the deficiencies are corrected.

7. Advise the Contractor that the safety of public traffic and pedestrians in the vicinity of the 

project is of paramount concern; and that accommodation of the public will be in strict 

accordance with the contract or subject to the direction and approval of the Project 

Engineer.

8. Advise the Contractor that inspectors, testers, and other Government employees and 

contractors working at the site are not obligated to work under unnecessary or unreasonable 

risks; and that the inspection and acceptance of the work may require accommodations to 

protect those personnel.

9. Advise the Contractor that it will be required to provide to the Project Engineer copies of all 

accident reports prepared for Government agencies or insurance carriers.
Safety March 2009

Construction Safety 3-11

Exhibit 3.4-A Example Approval Letter of Contractor’s Safety Plan
Safety March 2009

3-12 Construction Safety

3.4.3 FLH SAFETY RESPONSIBILITIES DURING CONSTRUCTION OPERATIONS

1. FLH will not normally perform periodic, comprehensive project safety inspections or safety 

inspections of Contractor equipment, tools, or workplace. However, if during the course of 

their other duties, FLH employees become aware of hazardous conditions resulting from the 

Contractor’s known or possible violation of either OSHA regulations or reasonable standards 

of construction safety practice, as determined by the Project Engineer, the Contractor shall 

be notified immediately with a written follow up. See Exhibit 3.4-B for an example 

notification of a safety deficiency.

2. Allegations of safety deficiencies may come from sources outside FLH and its onsite 

inspection staff. Client agency employees, contractor employees, others working at the site, 

or private citizens may point out what they think are safety violations. These allegations 

should be conveyed to the Contractor in writing. The Contractor should be instructed to 

correct the deficiency if the Project Engineer is convinced that one exists. The Contractor 

will be asked to investigate the deficiency and take appropriate corrective action if there is 

doubt as to whether a deficiency exists.

3. All safety deficiencies identified, whether serious or minor, singular or repeated, should be 

considered an inadequacy within the Contractor’s safety program, and the Contractor should 

be advised of the necessity to not only correct the deficiency, but to review and modify its 

safety program to prevent recurrence.

4. If the Contractor has repeated minor deficiencies or avoidable accidents (more than three in 

any three-month period), any serious or life threatening deficiencies, or any deficiencies that 

the Contractor failed to immediately correct, a copy of the written notification to the 

Contractor must be provided to the State or Federal agency responsible for OSHA 

enforcement at the project. See Exhibit 3.4-C for an example notification of chronic 

deficiencies. The Project Engineer should advise the COE before copying the State or 

Federal OSHA office. This level of safety deficiencies may also be a basis to request that 

the Division safety resource person assist in an overall inspection and evaluation of the 

Contractor’s safety program. Client agency safety specialists may be invited to participate in 

such evaluations on a consultive basis. 

Once safety specialists have concurred in the Project Engineer’s determination of chronic or

unresolved deficiencies, appropriate actions under the terms of the contract, such as

issuance of a stop work order, may be warranted. Except for life threatening situations, as

discussed in Item 5, the COE should be advised of, and concur, in such actions.

5. When any FLH employee observes a life threatening condition resulting from the 

Contractor’s operations, the Project Engineer will order the Contractor to immediately correct 

the situation. In addition, that portion of the work should be stopped until the hazard is 

corrected.

When in doubt, the Project Engineer may elect to discuss the situation with the COE before 

taking action. However, it is generally better to act conservatively than to not take action 

when appropriate.

6. FLH onsite personnel are generally not trained as safety specialists, and should not directly 

or indirectly assume control, direction, or responsibility for the Contractor’s safety program. 
Safety March 2009

Construction Safety 3-13

In advising the Contractor of apparent deficiencies, FLH personnel should not prescribe the 

corrective measures or procedures to be taken by the Contractor. In many cases, the 

Project Engineer may not know for sure whether an OSHA violation exists — for example,

whether a given piece of equipment is required to have a ROPS (Roll Over Protection 

System) or other features. Upon notification, it is up to the Contractor to provide the 

expertise to determine if there is a violation, and to correct it if necessary, or demonstrate to 

the Project Engineer’s satisfaction that no deficiency exists.

7. In addition to its contractual responsibilities, FLH has a responsibility to ensure a safe 

working environment for its employees, other Government employees working in the vicinity,

and its other contractors (e.g. contract inspectors). None of these personnel should be 

required to perform inspection or other duties in an unsafe environment. If the unsafe 

environment is under the control of the Contractor, the Contractor’s superintendent should 

be advised that the work requiring inspection cannot be accepted until the unsafe condition 

is corrected. For example, rolling operations may have to be suspended during testing if the 

compaction tester perceives a hazard associated with that equipment. If verbal notice 

proves ineffective, written notice to this effect should be provided.
Safety March 2009

3-14 Construction Safety

Exhibit 3.4-B Example Notification of a Safety Deficiency
Safety March 2009

Construction Safety 3-15

Exhibit 3.4-C Example Notification of Chronic Deficiencies
Safety March 2009

3-16 Construction Safety

3.4.4 HIGH RISK SITUATIONS

FLH personnel should be alert to the following high risk safety hazards:

1. Construction Vehicle Accidents. This hazard area receives little mention in the OSHA 

regulations because of the difficulty in writing general standards that would apply to all 

situations. However, incidents involving construction vehicles are a leading cause of 

construction accidents and fatalities. If the use of construction vehicles is perceived to 

present unnecessary risks, the Project Engineer should advise the Contractor as to whether 

or not a specific OSHA violation has occurred. Possible deficiencies associated with 

vehicular accidents are:

o Failure to separate pedestrian workers from heavy equipment and other construction 

vehicles.

o Failure to provide working backup alarms or clearly identified signal persons instead of 

backup alarms.

o Failure to adequately plan and manage the movement of vehicles in congested or low 

visibility conditions.

o Failure to maintain brakes, ROPS, and other safety equipment adequately.

o Failure to operate vehicles using due care and caution.

o Altering “as designed” configuration or safety features of equipment.

2. Interaction with Public Traffic. This is an increasingly serious safety hazard due to the 

percentage of highway construction projects being performed under traffic. See 

Specification Sections 156 and 635 of the contract.

3. Trenching and Excavation. This is a leading cause of construction accidents and fatalities, 

mostly due to the sudden and unexpected nature of such accidents when required 

precautions are not taken. See 29 CFR 1926, Subpart P. Exhibit 3.4-D summarizes OSHA 

trenching and excavation requirements. The actual regulations should be reviewed for 

exceptions and more detailed information. It is the Contractor’s obligation to have personnel 

who are trained in, or otherwise competent to implement, the regulations. The Contractor 

should not expect FLH to provide that competence, to train the Contractor’s personnel, or to 

approve each trenching operation.

4. Falls. Scaffolding, rails, stairs, and ladders meeting OSHA standards are the primary 

requirement to safeguard against falls. If these measures are impractical, then personal fall 

arrest systems are required. If both are impractical, then the Contractor must provide 

guardrail at heights exceeding 10 feet 3.1 meters. The Contractor must protect vertically 

protruding reinforcing steel that is below walkways or where persons are working.

5. Explosives. Accidents often result from failure to have competent personnel in charge of 

blasting or failure to develop and follow a valid blasting plan. 29 CFR 1926, Subpart U, and 

the contract provisions contain the pertinent requirements regarding blasting and the use of 

explosives.
Safety March 2009

Construction Safety 3-17

Exhibit 3.4-D Summary of OSHA Trenching and Excavation Requirements

Summary

1 of OSHA Trenching and Excavation Requirements Soil Classification

Classification Description

Stable Rock Solid rock which can be excavated with vertical sides which remain intact while exposed. 

Type A Soil Cohesive soil, caliche or hardpan that is not fissured, subject to vibration or other factors 

which would require it to be classified as a less stable material; and which has an unconfined 

compressive strength of at least 150 kilopascals.

Type B Soil Cohesive soil that is fissured, subject to vibration or other factors which would require it to be 

classified less than Type A, but not Type C and which has an unconfined compressive 

strength between 50 and 150 kilopascals; granular cohesionless soils including silt, silty loam, 

sandy loam; angular gravel or crushed rock; previously disturbed soil.

Type C Soil Cohesive soil with an unconfined compressive strength of less than 50 kilopascals; 

cohesionless soils including rounded rock, sand; submerged or saturated soil, submerged 

rock that is not stable; layered systems which dip into the excavation at a slope of 1:4 or 

steeper. 

Maximum Slope and Trenching Depth Unsupported Trenches 

Soil Type Maximum Slope Maximum Depth2

Stable Rock Vertical 6.0 meters 

Type A, B or C Vertical 1.5 meters 

Type A Soil 1.3:1 6.0 meters 

Type A Soil (Alternate) Vertical and 

1.3:131.1 meters 2.5 meters4

Type A Soil (Alternate) 

Vertical and 1:131.1 meters 3.6 meters4

Type A Soil (Short Term)5

2:1 3.6 meters 

Type B Soil 1:1 6.0 meters 

Type C Soil 1:1.5 6.0 meters 

1. This material is a summary of OSHA regulations published in 29 CFR 1926, Subpart P, Appendix A and B. The 

regulations themselves are not written in SI units, and are more detailed than the summary presented here; and 

therefore should be used to resolve actual job site questions and interpretations.

2. Support systems for trenches over 6.0 meters deep must be designed by a registered Professional Engineer.

3. Maximum slope above vertical portion of trench.

4. Maximum total depth including vertical portion of trench.

5. Short term means 24 hours or less.

6. All soil must assumed to be Type C, unless a competent person, provided by the Contractor, following the 

procedures in 29 CFR 1926, Subpart P, Appendix A, determines that it is Type A or Type B.

7. See 29 CFR 1926, Subpart P, Appendix B for details regarding compound slopes, stepped slopes and permitted 

use of shoring and support systems.

8. Design of shoring and support systems must comply with 29 CFR 1926, Subpart P, Appendix C or D; be a 

commercial system used in accordance with manufacturers recommendations; or be designed by a registered 

Professional Engineer.

Safety (Appendix) March 2009

List of Appendices 3A-i

CHAPTER 3 – SAFETY

LIST OF APPENDICES

3A.1 FORMS FOR ACCIDENTS INVOLVING GOVERNMENT VEHICLES................ 1

3A.1.1 SF 95, Claim for Damage Injury, or Death..........................................................................2

3A.1.2 SF 94, Statement of Witness ..............................................................................................4

3A.1.3 SF 91, Motor Vehicle Accident Report................................................................................5

3A.2 OCCUPATIONAL ACCIDENT REPORT (OAR).................................................. 9

3A.3 ACCIDENT/INJURY COMPENSATION FORMS............................................... 13

3A.3.1 CA-1, Federal Employee’s Notice of Traumatic Injury and Continuation of 

Pay/Compensation............................................................................................................14

3A.3.2 CA-2, Notice of Occupational Disease and Claim for Compensation...............................18

3A.3.3 CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for Continuation 

Pay/Compensation............................................................................................................22

3A.3.4 CA-16, Authorization for Examination and/or Treatment..................................................26

3A.4 SUGGESTED OUTLINE FOR CONTRACTOR’S SAFETY PLAN .................... 30

Safety (Appendix) March 2009

Forms for Accidents Involving Government Vehicles 3A-1

3A.1 FORMS FOR ACCIDENTS INVOLVING GOVERNMENT VEHICLES

This appendix contains copies of the following forms, which should be used to report an 

accident involving a Government vehicle. Be sure to visit the GSA Forms Library to verify that 

the most current/updated versions of the standard forms are being used.

 SF 95, Claim for Damage, Injury, or Death

 SF 94, Statement of Witness

 SF 91, Motor Vehicle Accident Report

For more information regarding the procedures to follow if such an accident occurs, refer to 

Section 3.3.1.
Safety (Appendix) March 2009

3A-2 Forms for Accidents Involving Government Vehicles

3A.1.1 SF 95, CLAIM FOR DAMAGE INJURY, OR DEATH
Safety (Appendix) March 2009

Forms for Accidents Involving Government Vehicles 3A-3

3A.1.1 SF 95, Claim for Damage Injury, or Death (Continued)
Safety (Appendix) March 2009

3A-4 Forms for Accidents Involving Government Vehicles

3A.1.2 SF 94, STATEMENT OF WITNESS
Safety (Appendix) March 2009

Forms for Accidents Involving Government Vehicles 3A-5

3A.1.3 SF 91, MOTOR VEHICLE ACCIDENT REPORT
Safety (Appendix) March 2009

3A-6 Forms for Accidents Involving Government Vehicles

3A.1.3 SF 91, Motor Vehicle Accident Report (Continued)
Safety (Appendix) March 2009

Forms for Accidents Involving Government Vehicles 3A-7

3A.1.3 SF 91, Motor Vehicle Accident Report (Continued)
Safety (Appendix) March 2009

3A-8 Forms for Accidents Involving Government Vehicles

3A.1.3 SF 91, Motor Vehicle Accident Report (Continued)
Safety (Appendix) March 2009

Occupational Accident Report 3A-9

3A.2 OCCUPATIONAL ACCIDENT REPORT (OAR)
Safety (Appendix) March 2009

3A-10 Occupational Accident Report

3A.2 Occupational Accident Report (OAR) (Continued)
Safety (Appendix) March 2009

Occupational Accident Report 3A-11

3A.2 Occupational Accident Report (OAR) (Continued)
Safety (Appendix) March 2009

3A-12 Occupational Accident Report

3A.2 Occupational Accident Report (OAR) (Continued)
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-13

3A.3 ACCIDENT/INJURY COMPENSATION FORMS

This appendix contains copies of the following forms, which should be completed, as applicable, 

regardless of whether or not compensation is pursued. Be sure to visit the Department of 

Labor’s Forms Library to verify that the most current/updated versions of the standard forms are 

being used.

 CA-1, Federal Employee’s Notice of Traumatic Injury and Continuation of 

Pay/Compensation

 CA-2, Notice of Occupational Disease and Claim for Compensation

 CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for Continuation 

Pay/Compensation

 CA-16, Authorization for Examination and/or Treatment

For more information regarding these forms, refer to Section 3.3.4.
Safety (Appendix) March 2009

3A-14 Accident/Injury Compensation Forms

3A.3.1 CA-1, FEDERAL EMPLOYEE’S NOTICE OF TRAUMATIC INJURY AND 

CONTINUATION OF PAY/COMPENSATION
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-15

3A.3.1 CA-1, Federal Employee’s Notice of Traumatic Injury and Continuation of 

Pay/Compensation (Continued)
Safety (Appendix) March 2009

3A-16 Accident/Injury Compensation Forms

3A.3.1 CA-1, Federal Employee’s Notice of Traumatic Injury and Continuation of 

Pay/Compensation (Continued)
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-17

3A.3.1 CA-1, Federal Employee’s Notice of Traumatic Injury and Continuation of 

Pay/Compensation (Continued)
Safety (Appendix) March 2009

3A-18 Accident/Injury Compensation Forms

3A.3.2 CA-2, NOTICE OF OCCUPATIONAL DISEASE AND CLAIM FOR 

COMPENSATION
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-19

3A.3.2 CA-2, Notice of Occupational Disease and Claim for Compensation (Continued)
Safety (Appendix) March 2009

3A-20 Accident/Injury Compensation Forms

3A.3.2 CA-2, Notice of Occupational Disease and Claim for Compensation (Continued)
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-21

3A.3.2 CA-2, Notice of Occupational Disease and Claim for Compensation (Continued)
Safety (Appendix) March 2009

3A-22 Accident/Injury Compensation Forms

3A.3.3 CA-2A, FEDERAL EMPLOYEE'S NOTICE OF RECURRENCE OF 

DISABILITY AND CLAIM FOR CONTINUATION PAY/COMPENSATION
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-23

3A.3.3 CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for 

Continuation Pay/Compensation (Continued)
Safety (Appendix) March 2009

3A-24 Accident/Injury Compensation Forms

3A.3.3 CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for 

Continuation Pay/Compensation (Continued)
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-25

3A.3.3 CA-2a, Federal Employee's Notice of Recurrence of Disability and Claim for 

Continuation Pay/Compensation (Continued)
Safety (Appendix) March 2009

3A-26 Accident/Injury Compensation Forms

3A.3.4 CA-16, AUTHORIZATION FOR EXAMINATION AND/OR TREATMENT
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-27

3A.3.4 CA-16, Authorization for Examination and/or Treatment (Continued)
Safety (Appendix) March 2009

3A-28 Accident/Injury Compensation Forms

3A.3.4 CA-16, Authorization for Examination and/or Treatment (Continued)
Safety (Appendix) March 2009

Accident/Injury Compensation Forms 3A-29

3A.3.4 CA-16, Authorization for Examination and/or Treatment (Continued)
Safety (Appendix) March 2009

3A-30 Outline for Contractor’s Safety Plan

3A.4 SUGGESTED OUTLINE FOR CONTRACTOR’S SAFETY 

PLAN

A. Overall Responsibility - Who will be responsible for the on site safety program? 

What are the credentials (training & experience) of that person? Will they have 

direct authority or will their authority be through the superintendent? Who will be 

responsible for reporting accidents and maintaining the accident log required by 

OSHA?

B. Subcontractors -Will subcontractors be under prime’s program or will they have 

their own program? If they have their own program, separate plans are required.

C. Safety Policy - How will new employees be oriented and their responsibilities 

explained? How will all employees be oriented to specific project hazards or the 

hazards of new operations? How will drug & alcohol policy be conveyed to 

employees? 

D. Personal Protection -What conditions/operations will require personal protection 

equipment? Hardhats, ear plugs, steel toed boots, respirators, etc? Who will 

decide when protection is needed? Who will monitor its use? 

E. Safety Meetings - Who will conduct meetings? What will frequency be? Who 

will attend? How will subjects be selected? 

F. Emergency Medical Care - Telephone Nos. (Ambulance, Fire, Rescue). 

Directions. Prearrangements made - insurance, workmen’s comp? 

G. First Aid - Names of trained employees. Names of CPR trained employees 

H. Trenching and Excavating - Who will be responsible for selecting slopes, 

shoring and protection systems during trenching operations? Is the person 

trained and competent in the revised (1989) OSHA regulations? 

I. Hazard Recognition, Reporting and Abatement - To whom will employees 

report perceived hazards? How will these reports be handled? Who will correct 

hazards? 

J. Equipment Inspection - Who will inspect construction and hauling equipment? 

Will it be inspected before shipment to project, or after? How will suppliers’

equipment be inspected (e.g. asphalt hauling trucks)? 

K. Separating Pedestrians from Construction Vehicles and Public Traffic -Are 

there hazards associated with pedestrians (contractor or public) moving amidst 

equipment and public traffic? How will these hazards be abated? 

L. Jobsite Inspections - Who will perform jobsite inspections? What will the 

frequency be? Will a report be generated? How will deficiencies be corrected? 

Immediate order or report back to superintendent? 
Safety (Appendix) March 2009

Outline for Contractor’s Safety Plan 3A-31

M. Hazardous Materials -Will hazardous materials be generated? Asphalt 

products, solvents, chemicals? What are special procedures for handling, 

disposing? 

N. Explosives - See Section 205 for special requirements. What are provisions for 

storage and inventory control of explosives?

O. Fire Fighting and Emergencies - What are fire hazards requiring special 

attention? What resources are available for fire emergencies? 

P. Maintenance of Traffic (MOT) and the Public - All MOT controls and 

operations will be per the current MUTCD. How will protection of the public, 

whether on foot or vehicle, be planned and coordinated? What provisions are 

there to separate the public from the construction activities? Who will perform 

inspections? What will the frequency be? Will a report be generated? How will 

deficiencies be corrected? Immediate order or report back to superintendent? 

How will the ability of the public to interfere with construction activities 

minimized?

Legal and Environmental Compliance March 2009

Table of Contents 4-i

Chapter 4 – LEGAL AND ENVIRONMENTAL COMPLIANCE

TABLE OF CONTENTS

Section Page

4.1 General.........................................................................................................................................4-1

4.2 Laws to be Observed..................................................................................................................4-2

4.3 Permits and Responsibilities.....................................................................................................4-3

4.3.1 Materials Sources and Easements............................................................................4-3

4.3.2 Load Limits ................................................................................................................4-3

4.3.3 Bulletin Board ............................................................................................................4-4

4.3.4 NPDES Permits .........................................................................................................4-4

4.4 Protection and Restoration of Property and Landscape ........................................................4-7

4.4.1 General......................................................................................................................4-7

4.4.2 Trespassing ...............................................................................................................4-7

4.4.3 Forest, Park, and Public Lands Protection ................................................................4-7

4.4.4 Fire Prevention and Control.......................................................................................4-8

4.4.5 Pits and Quarries.......................................................................................................4-9

4.5 Contractor’s Responsibility for Work .....................................................................................4-10

4.6 Utilities .......................................................................................................................................4-11

4.6.1 Government-Owned Utilities....................................................................................4-11

4.6.2 Privately-Owned Utilities..........................................................................................4-11

4.7 Encroachments on Highway Right-of-Way ............................................................................4-13

Legal and Environmental Compliance March 2009

General 4-1

CHAPTER 4

LEGAL AND ENVIRONMENTAL COMPLIANCE

4.1 GENERAL

This chapter provides FLH field personnel with information and guidance related to various 

legal, environmental, and permitting requirements that may arise during a project. Roles and 

responsibilities of FLH and the Contractor are reviewed with respect to:

 Material source designation;

 Access and construction easements;

 Load limits;

 Compliance with NPDES permits and other regulatory requirements;

 Protection of adjacent properties from damage due to construction;

 Fire prevention and control;

 Restoration of disturbed areas; and

 Utility coordination.
Legal and Environmental Compliance (Appendix) March 2009

4-2 Laws to be Observed

4.2 LAWS TO BE OBSERVED

The Standard Specifications require the Contractor to keep fully informed of, and at all times 

observant of and in compliance with, all laws pertinent to the work. From a contractual 

standpoint, FLH has the right to monitor apparent compliance with these laws, and to invoke 

contract sanctions if there are violations. However, except for the specific actions addressed in 

this Manual, in the contract, and in the FAR, general compliance reviews and enforcement of 

these laws is the responsibility of specific Federal, State, or local agencies (e.g., OSHA, EPA, or 

the Department of Labor).
Legal and Environmental Compliance March 2009

Permits and Responsibilities 4-3

4.3 PERMITS AND RESPONSIBILITIES

4.3.1 MATERIALS SOURCES AND EASEMENTS

Often, sources of materials and easements for access and staging areas are provided in the 

contract. In general, the Project Engineer should have documentation on file covering

designated materials sources or use of designated land outside the construction limits, including 

privately owned property on which FLH holds options.

Occasionally, the Contractor may request permission to use other sources or request additional

easements to expedite the work. If FLH is requested to become a party to such a request, it 

may be necessary for the Project Engineer to make a judgment as to FLH’s proper role. If it is

in the Government’s interest to expedite special requests for access and other purposes, the

Project Engineer should furnish assistance and communicate with the permitting agency as 

necessary. However, if the request is solely for the Contractor’s convenience or savings, action 

by FLH may not be appropriate. This is especially true if the quality of the proposed source is 

less certain than the source designated in the contract. Permits requested by a Contractor 

within public lands are often issued to FLH rather than the Contractor. This implies a 

responsibility of FLH to monitor the terms of the permits (e.g., safety, reclamation, and erosion 

control).

FLH will obtain required railroad crossing permits, and permits for construction over or adjacent

to navigable waters as shown on the plans. If the Contractor elects to use railroad crossing or 

waterway privileges other than those shown on the plans, acquiring the required permits or

other arrangements will usually be the Contractor’s responsibility.

4.3.2 LOAD LIMITS

The specifications require the Contractor to comply with load limits on public roads in the vicinity 

of the project. As a practical matter, this is difficult to enforce except where materials are being 

delivered by the ton with weigh tickets. The Project Engineer should, however, be particularly 

sensitive to overloading of vehicles on public roads when there are complaints from local 

officials, and during periods of wet or thawing subgrade. FLH should cooperate with these 

officials if they present reasonable requests to protect their roads, even if this results in 

inconvenience to the Contractor.

In terms of FLH’s contractual liability, it is preferable to have a legal order from the local official, 

or a strongly worded demand – that says, for example, that hauling must be temporarily

discontinued or loads restricted – than for FLH to take actions based on verbal or other poorly

documented requests. Actions that may be perceived as unilateral on the part of FLH could be 

considered a change to the contract and could subject the Government to liability for the 

Contractor’s increased costs. When in doubt, the Project Engineer should contact the COE for

advice.

On the project itself, overloads are not normally a problem through construction of the untreated 

base layers of the pavement structure. However, once construction of asphaltic concrete or 

treated layers begins, they must be protected from damage.
Legal and Environmental Compliance (Appendix) March 2009

4-4 Permits and Responsibilities

Although the Contractor is required to repair damage caused by overloads, there may be times 

when it is appropriate to prohibit heavy loads (even loads less than the legal maximum) in 

certain circumstances when the probability of damage is present. Again, the Project Engineer 

should contact the COE for advice.

4.3.3 BULLETIN BOARD

The Contractor is required to maintain a weatherproof bulletin board, accessible to all 

employees at the site as required by Subsection 107.03 of the Standard Specifications. The 

Contractor is required to post on the bulletin board the following items, which will be provided by 

FLH:

1. Davis-Bacon wage decision (remove pages from contract booklet).

2. EEO Poster.

3. Notice to Employees working on Federally Financed Construction Projects, Form WH 1321

(to be displayed with Davis-Bacon rates).

4. Job Safety and Health Protection poster.

5. Notice of Employee rights (Beck Poster).

6. Title 18 Criminal Code Notice.

If required by the contract or regulation, the Contractor may also have to provide and post the 

following items: 

1. Contractor’s EEO policy.

2. Telephone numbers of physicians, hospitals, or ambulances.

3. Blasting signals, if applicable.

4. Crane hoisting signals, if applicable.

4.3.4 NPDES PERMITS

The Clean Water Act of 1987 required the Environmental Protection Agency (EPA) to implement 

a program to regulate the quality of discharges and runoff from industrial and construction sites. 

This program, known as the National Pollution Discharge Elimination System (NPDES), went 

into effect in October 1992.

NPDES and equivalent (or more stringent) State regulations are applicable to essentially every 

project FLH constructs. However, these impacts differ, depending mostly on the State and local 

regulations in the State where the project is. In no State does the EPA itself actively monitor 

and enforce the NPDES process. In many States, monitoring and enforcement by State 

personnel is active and aggressive. Failure to comply with the requirements of the permit may

result in shutdowns, injunctions, lawsuits, and other adverse actions against FLH, the 

Contractor, or both.
Legal and Environmental Compliance March 2009

Permits and Responsibilities 4-5

The Project Engineer should be familiar with the permit and other regulatory requirements in the 

State where the project is. These requirements are generally spelled out in the permit package 

or other documentation included in the PS&E package, or otherwise furnished by Project 

Development to Construction at the time of award.

In some cases, permits will be issued for a specific project; in others, FLH will operate under a 

NPDES General Permit.

In some cases, the anticipated construction schedule and erosion control plan will have been 

submitted as a part of the permitting process; in others the permit simply obligates FLH and the 

Contractor to have a plan and to follow best management practices. If the plan is filed with a 

State or local agency, it is important to know whether changes and enhancements to that plan 

have to also be filed or if they simply have to be documented in the project records.

In some cases, FLH is the permittee (official holder of the permit); in other cases the Contractor

is designated as a co-permittee, or occasionally, the sole permittee. If permittee responsibility is 

transferred to, or shared by the Contractor, the Project Engineer needs to know if specific 

paperwork must be executed and filed to document that transfer.

Generally, inspections of erosion control devices must be made periodically (usually weekly 

except in arid areas) and after heavy rains. It is important to know who the permit and the 

contract require to make these inspections. It may be FLH; it may be the Contractor; but usually 

it will be a joint responsibility. There will also be specific requirements as to the format of the 

inspection report, who is required to sign the inspection report, and whether it is to be sent to

the responsible State agency. Usually, the reports are required to simply be filed in the project 

files.

The permittee is always responsible for making enhancements to the erosion control plan if the 

construction operations, the original plan, or both result in unacceptable levels of sediment 

runoff. However, the Project Engineer should be wary of eliminating specific features of the 

original plan even if they appear to be unnecessary. Such actions should be taken only after 

discussions with the COE or environmental resource personnel in the FLH Division.

In many States, inspections by State personnel responsible for administering NPDES permits 

are common. These personnel should be treated with respect and cooperation to the extent

that is possible. They will often request to see the permit, the erosion control plan, inspection 

reports, and related documentation. The files on this subject should be kept up to date and 

easily accessible. Do not tell these personnel that they have to go through Freedom of 

Information Act (FOIA) to see FLH files. If State inspectors issue instructions or make demands

that seem to go beyond the requirements of the contract and existing permits, discuss the issue 

with the COE before implementing these actions - especially if the actions may result in

unforeseen expenses or liability to the Government.

Whether or not the Contractor is designated as the permittee, the contract usually gives control 

over erosion control items and quantities to FLH and the Project Engineer. It is important 

therefore to cooperate with the Contractor and State authorities to ensure that there are no 

deficiencies in NPDES requirements due to payment disputes over additional quantities and 

devices. If additional funding is required for these quantities, the issue should be discussed with 

the COE.
Legal and Environmental Compliance (Appendix) March 2009

4-6 Permits and Responsibilities

If deficiencies are due to poorly scheduled construction operations, or inadequate maintenance 

of the erosion control measures and prosecution of the work as scheduled, then the Project

Engineer must be assertive in requiring the Contractor to resolve these problems.
Legal and Environmental Compliance March 2009

Protection and Restoration of Property and Landscape 4-7

4.4 PROTECTION AND RESTORATION OF PROPERTY AND

LANDSCAPE

4.4.1 GENERAL

The Contractor is responsible for protecting all public and private properties adjacent to the 

construction from damage due to construction operations. This responsibility also extends to

designated materials sources and property adjacent to haul roads. If the Contractor fails to take

proper precautions or persists in performing the work in a manner that damages such property, 

the Project Engineer should inform the Contractor of this matter in writing. The Contractor is

obligated to repair, rebuild, or otherwise restore such damaged property, or make good such 

damage or injury.

Occasionally there are claims against the Contractor related to damage to its own 

(nondesignated) materials sources or to property not directly related to the contract. FLH 

should try not to become involved in such disputes. However, there are times when, for political 

or public relations reasons, our involvement is necessary. There are also certain environmental 

protection laws that make the Government partially responsible even for private sites that are

related to the construction project. The Project Engineer should discuss such cases with the 

COE prior to taking action.

Because landscape degradation often cannot be completely restored, emphasis should be 

placed on prevention of damage. In cases of damage, the Project Engineer should contact the 

appropriate representative of the agency concerned, and discuss the extent of repairs that the 

Contractor must make. Request a written description of the repairs so that the Contractor may

be given a copy. As long as the requested repairs are reasonable, the Contractor should be

given a written directive to complete them at no cost to the Government. If the requested 

repairs seem unreasonable or excessive, discuss the situation with the COE. If FLH orders 

corrective action under the contract that is later deemed excessive, FLH may ultimately be liable 

for the excess costs.

4.4.2 TRESPASSING

FLH should do no staking on private property without written permission from the owner. If the 

Contractor performs any construction operations outside the limits of the acquired right-of-way, 

or allows employees to trespass on private property, the Project Engineer should notify the 

Contractor of its liability for damage to such property. If, for any reason, additional easements 

or right-of-way should be necessary, the Project Engineer should notify the COE and the rightof-way specialist well in advance of the time when access is necessary to secure proper written

permission for right of entry.

4.4.3 FOREST, PARK, AND PUBLIC LANDS PROTECTION

For work within or adjacent to State or National Forests, Parks, or other public lands, the 

specifications usually require the Contractor to comply with all regulations of the authority 

having jurisdiction over such lands.
Legal and Environmental Compliance (Appendix) March 2009

4-8 Protection and Restoration of Property and Landscape

The governing rule concerning sanitary facilities on Public Lands specifically requires the 

Contractor to obtain permits for latrine construction from the public agency having jurisdiction. It 

has been found that some district officers of public agencies do not allow open pit toilets 

(chemical toilets, minimum), while others do. The Project Engineer should clarify this matter 

with the Contractor before the start of construction, preferably at the preconstruction 

conference.

4.4.4 FIRE PREVENTION AND CONTROL

Employees of FLH and the Contractor must comply with the rules and regulations of the Forest

Service, Park Service, State, or other public agency having jurisdiction over fire prevention and 

control. If incorporated into the contract specifically or by reference, the rules and regulations 

governing fire prevention and control must be enforced by the Project Engineer. The Project 

Engineer should therefore obtain copies of manuals of instructions and fire plans of the agency

having jurisdiction. Forest Service fire control plans are sometimes included in the special 

contract requirements.

FLH employees are required to take appropriate action to suppress unauthorized or accidental 

fires on public lands, and they must immediately report fires to the nearest responsible official. 

Fire prevention is an item that should be discussed at the preconstruction conference. If Forest

or Park officials are not present at the conference, the Project Engineer should arrange a

meeting with them and the Contractor to discuss the subject.

The specifications impose a strict obligation on the Contractor for any fires in the vicinity of the 

project caused by Contractor personnel. The Project Engineer should direct the attention of the

Contractor to the Contract requirements before work on the Contract starts, and again when 

permitted burning operations begin.

When burning is allowed, the Engineer should verify that the Contractor has secured written 

permission from the Forest Service, National Park Service, or the local fire control authority, or 

any other agency having jurisdiction over the area. The special contract requirements may

require the Contractor to furnish a fireguard, either as a subsidiary obligation or with the method

of payment specified. When a fireguard is not required by the special contract requirement but

is requested by the agency having jurisdiction over the area because of special conditions, the 

Project Engineer must take appropriate action to provide such a guard. The Contractor may be 

ordered to furnish a fireguard by contract modification if it is deemed necessary and is not 

provided for in the Contract.

The specifications may require the Contractor, when requested by the Federal agency having 

local authority, to make its forces temporarily available for fighting fires that occur in the vicinity 

of the project but are not caused by the Contractor. Although payment for such services is the

obligation of the requesting agency, the Project Engineer should make appropriate entries in the

project diary concerning the fire and the extent of the services provided by the Contractor.
Legal and Environmental Compliance March 2009

Protection and Restoration of Property and Landscape 4-9

4.4.5 PITS AND QUARRIES

The specifications usually require the Contractor to strip the overburden from all Government 

owned or designated material pits and quarries, and stockpile this overburden for later use in 

reclamation of the sites.

After a pit has served its purpose, waste material stored outside the pit or quarry area should be 

moved back into the pit. The pit then should be neatly sloped and trimmed, and the side slopes 

flattened to the maximum extent possible to conform to the natural ground surface. The 

stockpiled overburden should then be uniformly spread over the sides and bottom of the pit or 

quarry. No direct payment will be made for this work unless otherwise provided.

The restoration requirements for private/contractor furnished pits and quarries are generally a 

matter between the Contractor and the owner. However, some States have special 

environmental or mining requirements that may apply, and which may necessitate FLH 

involvement in restoration activities.
Legal and Environmental Compliance (Appendix) March 2009

4-10 Contractor’s Responsibility for Work

4.5 CONTRACTOR’S RESPONSIBILITY FOR WORK

The contract provides that the Contractor is not responsible for damages due to cataclysmic 

phenomena of nature, acts of the public enemy, or acts of Government authorities. The 

Contractor is responsible for other kinds of damage to the work, even damages that are not the

result of the fault or negligence of the Contractor. See FAR Clause 52.236-7, Permits and 

Responsibilities.

When damages occur, and the responsibility for those damages is in doubt, the Project 

Engineer should discuss the issues with the COE. If immediate action is necessary, the Project 

Engineer should direct the Contractor to take the necessary steps to repair the work. If a

contract modification and compensation is in order, the contract modification should be 

processed through normal channels (See Chapter 13). The Project Engineer will record the 

exact accounts of work performed, so that payment can be made on an actual cost basis if 

necessary.

The payment to be made to the Contractor under the foregoing conditions should be full 

reimbursement for restoring the work to the condition at the time of the damage, less any 

salvage value of removed material.
Legal and Environmental Compliance March 2009

Utilities 4-11

4.6 UTILITIES

Utility relocation and adjustments are to be made by the utility company unless otherwise 

provided in the contract. The specifications usually provide that the Government is responsible

for coordinating with the utility company and attempting to have all necessary adjustments made 

as soon as practicable, and that no additional compensation will be allowed the Contractor for

any delays, inconvenience, or damage sustained due to any interference from the utility 

appurtenances or the operation of moving them. However, if such delays are unforeseeable 

and beyond the control of the Contractor, an adjustment in contract time may be justified. Also,

if the utility company fails to complete the adjustments in a reasonably expeditious manner, the 

Contractor may be entitled to a price adjustment in accordance with the FAR Clause 52.243-4, 

Changes.

The specifications also usually provide that the Contractor shall not start work in areas where 

damage to utilities might result in considerable expense, loss, or inconvenience, until after all 

arrangements necessary for the protection of the utilities have been made by either the utility 

company or the contractor. The Contractor also must cooperate with the utility owners in their 

removal and rearrangement operations.

4.6.1 GOVERNMENT-OWNED UTILITIES

Special procedures for removal and/or reconstruction of Government-owned telephone lines

and other utilities have been agreed upon between FLH and some of the Regions of the Forest 

Service, but such procedures usually vary in minor details in the different Forest Regions. In 

general, all repair, reconstruction, and other telephone work should be handled by the Forest 

Supervisor or authorized representative. Park Service utility lines should be handled in a similar 

manner.

4.6.2 PRIVATELY-OWNED UTILITIES

In most cases, the work by utility companies must precede work by the Contractor in the

affected area. The Project Engineer should request the COE to verify that such work has been 

arranged. When possible, the Project Engineer should make diary entries to document the 

operations of the utility companies as the adjustment or relocation work progresses. Important 

information to record in the diary entry includes: 

 the date of beginning of the work, 

 the number of personnel working each day, 

 the equipment and materials used, 

 disposal of any salvaged material, and the 

 date of completion of the work.

When it is necessary to change the planned relocation from that shown on the plans 

accompanying the utility agreement, or when a significant increase in the estimated relocation 

costs is apparent, the COE must be immediately notified so that arrangements can be made for 

financing and modification of the agreement.

When costs of utility adjustments are to be reimbursed by the Government under a utility 

agreement, the Project Engineer’s records are important to allow reasonable verification of the
Legal and Environmental Compliance (Appendix) March 2009

4-12 Utilities

utility company billing. Payment for utility adjustments can be on an actual cost, lump sum, or 

no cost basis. The associated observation and record keeping required of project personnel will 

vary based on the payment method, as described below.

1. Actual Cost. The operation should ideally be observed daily, and diary entries made. It is 

not necessary that someone be assigned full time to this work, but it is desirable that diary 

entries be made not less than once a day.

2. Lump Sum. The operation should be observed occasionally. Diary entries should be made 

to provide the following information: when work starts, number of personnel, equipment, 

progress, shutdowns and reason (if available), and date work was completed.

3. No Cost. In some cases the utility company must absorb its own costs for relocation as a 

condition of its sharing the right-of-way. The same record as for Lump Sum should be kept

except where the Contractor might be delayed. When the utility adjustment is delayed or 

delaying the Contractor, the Project Engineer should arrange for the same records as

outlined under Actual Cost above.

When utility adjustment is delayed, and the Contractor proceeds to work in the affected area or 

is hindered by such delay, the Project Engineer must keep adequate records in the project 

diary, and support them with appropriate photographs whenever practical. This information is 

important if the Contractor files a delay claim.

The Project Engineer may deal directly with the State or county right-of-way officials, and with 

public utilities on matters arising during construction. The COE will provide additional 

assistance and instructions when needed.

When field conditions require significant changes from plans or agreements, the Project 

Engineer should request the COE to arrange for a meeting with representatives from the utility 

company to reach a final decision on the change. Agreement modifications will be processed,

funded, and approved by Division staff, based on data and estimates obtained at this joint 

meeting.
Legal and Environmental Compliance March 2009

Encroachments on Highway Right-of-Way 4-13

4.7 ENCROACHMENTS ON HIGHWAY RIGHT-OF-WAY

Where the right-of-way lies through privately owned land, the Project Engineer may become 

aware of the encroachment of buildings, fences, fixtures, or advertising signs on the right-ofway. The Project Engineer must determine from the plans or from the right-of-way agreement 

whether the removal of such items is to be by the owner or the Contractor, and, if by the 

Contractor, whether any salvage right has been retained by the owner or the Government. Any

new encroachments, after construction has begun, must be reported to the COE, who will follow 

up with instructions on the proper course of action.

Construction Schedule and Progress March 2009

Table of Contents 5-i

Chapter 5 – CONSTRUCTION SCHEDULE AND PROGRESS

TABLE OF CONTENTS

Section Page

5.1 General.........................................................................................................................................5-1

5.2 Construction Schedules.............................................................................................................5-2

5.2.1 General Requirements ..............................................................................................5-2

5.2.2 Limitations on Completing Work................................................................................5-2

5.2.3 Construction Schedule Format..................................................................................5-2

5.2.3.1 Preliminary Construction Schedule........................................................5-8

5.2.3.2 Initial Construction Schedule .................................................................5-8

5.2.4 Schedule Updates .....................................................................................................5-9

5.3 Limitation of Operations...........................................................................................................5-11

5.4 Contract Time ............................................................................................................................5-12

5.4.1 Failure to Complete Work Within the Time Allowed................................................5-12

5.4.2 Methods of Adjusting Time Allowance ....................................................................5-12

5.4.3 Consideration of Time Adjustments ........................................................................5-13

5.5 Work Suspensions and Stop Orders ......................................................................................5-14

5.5.1 Definitions ................................................................................................................5-14

5.5.2 Suspension of Contractor Operations .....................................................................5-14

5.5.3 Stoppage of Contractor Operations.........................................................................5-15

5.5.4 Content of Suspensions and Stop Orders...............................................................5-16

5.5.5 Content of Resumption Orders................................................................................5-19
Construction Schedule and Progress March 2009

5-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 5.2-A Example Bar Chart Schedule ....................................................................................5-4

Exhibit 5.2-B Example Critical Path Method (CPM) Schedule........................................................5-7

Exhibit 5.5-A Example Stop Order................................................................................................5-17

Exhibit 5.5-B Example Suspension Letter.....................................................................................5-18
Construction Schedule and Progress March 2009

General 5-1

CHAPTER 5

CONSTRUCTION SCHEDULE AND PROGRESS

5.1 GENERAL

This chapter provides information to assist FLH personnel in monitoring the Contractor’s 

prosecution and progress of the work. Specific guidance is provided related to: 

 Reviewing the Contractor’s preliminary construction schedule and schedule updates, 

 Administering contract time and time adjustments, and 

 Issuing suspensions and stop orders.
Construction Schedule and Progress March 2009

5-2 Construction Schedules

5.2 CONSTRUCTION SCHEDULES

5.2.1 GENERAL REQUIREMENTS

FAR Clause 52.236-15, Schedules for Construction Contracts, and Section 155 of the Standard 

Specifications (FP) require the Contractor to submit a construction schedule. This construction

schedule is to represent the sequence in which the Contractor plans to perform the Contract 

work, showing start and end dates for each work activity, including material ordering and 

delivery.

5.2.2 LIMITATIONS ON COMPLETING WORK

The time allowed for contract completion is the ultimate limitation or constraint on the 

construction activities required for the project. Numerous activities can be planned, supplied,

and constructed within the contract time by recognizing the limitations on the work and the 

interdependence or relationship between activities of work.

Most activities are resource dependent, i.e., they rely on resources such as equipment and 

manpower. Other activities of work are independent and can be carried out simultaneously if

sufficient resources are available, such as constructing a bridge while earthwork or paving are 

being completed. Some activities, however, are completely dependent on the completion of 

another activity, such as the sequence of excavation to embankment construction, then finegrading, followed by placement of any base courses, and finally the asphalt paving.

Other activities, such as concrete curing or form removal, are restraints because they cannot be 

completed before a minimum amount of time has elapsed (i.e., seven days is required for curing 

and a percentage of the 28-day strength must be achieved before the forms can be removed). 

Other possible restraints are shop drawing approvals, traffic lane closure restrictions, limited 

work hours, and climatic conditions. To properly manage a construction project, all of these 

activities, constraints, and limitations must be logically organized and developed into a 

construction schedule.

5.2.3 CONSTRUCTION SCHEDULE FORMAT

The general format for the construction schedule includes a graphic representation of the 

sequencing of work activities and the time to complete each of these activities, and a written 

narrative supporting the Contractor’s logic used to develop the graphic representation. Section 

155 of the Standard Specifications requires the Contractor to use one of two standard formats, 

the Bar Chart Method or the Critical Path Method. Unless a special contract requirement

specifies the use of a particular format, the choice is left to the Contractor.

1. Bar Chart Method (BCM). The BCM format consists of a progress bar chart and a written

narrative. Subsection 155.03 of the Standard Specifications outlines the information to be 

included on the bar chart and in the written narrative. The bar chart typically consists of a

horizontal time scale and a vertical listing of project work activities. Bars are drawn to 

graphically represent the span of time necessary to complete each activity. Exhibit 5.2-A

contains a portion of a bar chart schedule.
Construction Schedule and Progress March 2009

Construction Schedules 5-3

Bar charts are the least sophisticated of scheduling methods because they:

o do not show the relationships and dependencies of different work activities; 

o do not tie the work to resource utilization; 

o do not show float time; and are not effective in determining the overall impact (causeeffect) on the scheduled completion date resulting from a change or disruption. 

As such, delay analysis is impossible to perform accurately.

Bar charts are appealing to operations personnel because they identify the general course 

of the work in an uncomplicated fashion, and they are easy to use in routinely monitoring the 

Contractor’s progress. The development of a BCM schedule requires substantially less 

resources than a CPM schedule.

Given the lack of information shown in a BCM schedule, the narrative requirement for the 

BCM method is particularly important. The Contractor is required to identify anticipated 

resources and production rates. If during construction, the scheduled resources are not 

used on the project, or if the production rates are not achieved for unchanged work, it may 

be possible to prove that the Contractor’s original schedule was defective. However, when 

the Government is responsible for a delay, it remains a difficult, if not impossible, job to use 

the BCM schedule to evaluate the impact of each delay or inefficiency encountered through 

the course of the project and quantify the delay for which the Government is liable.
Construction Schedule and Progress March 2009

5-4 Construction Schedules

Exhibit 5.2-A Example Bar Chart Schedule
Construction Schedule and Progress March 2009

Construction Schedules 5-5

2. Critical Path Method (CPM). The CPM format consists of a diagram, a tabulated schedule, 

and a written narrative. Subsection 155.04 of the Standard Specifications outlines the 

information required for each of these submittals. Relative to the BCM, the CPM is the more 

sophisticated and useful format and will normally be required on complex or large contracts. 

It represents the sequence and interdependence of work activities and time, factors in any 

constraints and restrictions, and clearly defines the critical activities of work. Through this 

maze of activities, constraints, and restrictions, lies a critical path sequence that cannot be 

altered without affecting the overall completion date. Exhibit 5.2-B contains a portion of a 

CPM Schedule.

a. The Critical Path. The critical path is the longest chain of dependent activities that 

establishes the scheduled contract completion date. These dependent activities are

critical activities, also described as controlling activities of work. The critical path is of 

obvious importance when considering the impact of a contract modification on the 

completion date. If a contract modification affects a critical activity, the Contractor may 

be entitled to a time extension. An event that causes a delay to part of the project may

not increase the time required to perform the entire project unless it delays an activity on 

the critical path.

On many FLH highway contracts, the critical activities are fairly obvious such that the 

Project Engineer and the Contractor are aware of what activities are controlling contract 

completion. Computer software to prepare and analyze CPMs (network analysis) or 

other resources (production rates, current bar chart, equipment lists, etc.) should be

available to check the Contractor’s schedule, determine the critical work activities, and

document the reasons for granting or denying a time extension.

b. Float. For work activities not on the critical path, the Contractor has some leeway as to

when these non-critical work activities are started. This leeway is called float. Float is

the amount of time an activity can be delayed without affecting the scheduled completion

date of the contract. Float can also be defined as the amount of time between the 

earliest start date and the latest start date, or between the earliest finish date and the 

latest finish date. When the float for an activity is exceeded, it moves onto the critical 

path and affects the scheduled contract completion date. Activities on the critical path 

have no float.

c. No Float and Multiple Critical Path CPMs. It is important that the Contractor assign a 

reasonable duration to all work activities and identify any float in the schedule. With any 

delay, an activity with little float can become a critical activity of work.

A schedule with little float for most of the work activities often puts the Government at a 

disadvantage, because any delay may soon affect the scheduled completion and could

result in a delay claim.

CPMs with multiple critical paths should also be closely reviewed, because seldom is

there more than one truly critical path. If a schedule with multiple critical paths is

accepted, the Government is at a disadvantage because any delay will probably impact

one of the paths. Multiple critical paths are usually created by assuming low production 

rates and eliminating float on noncritical activities so that the activities appear critical.

If the Government can show that actual production and activity durations were 

consistently better than those assumed on the original schedule, that evidence can be 
Construction Schedule and Progress March 2009

5-6 Construction Schedules

used to question whether those durations were realistic, and whether the activities were 

therefore critical. A new schedule can be requested on this basis. It is best to make 

such observations before a change or differing site condition occurs that may impact 

time.
Construction Schedule and Progress March 2009

Construction Schedules 5-7

Exhibit 5.2-B Example Critical Path Method (CPM) Schedule
Construction Schedule and Progress March 2009

5-8 Construction Schedules

5.2.3.1 Preliminary Construction Schedule

Subsection 155.02 of the Standard Specifications requires that three copies of a preliminary

construction schedule (PCS) be submitted at least 7 days before the preconstruction

conference. The PCS is a written narrative detailing the Contractor’s contract activities for the 

first 45 calendar days after the NTP is issued. Seven calendar days after the preconstruction

conference, the PCS must be accepted, or rejected and returned for revisions. The Contractor

should not be permitted to start any work, except mobilization, traffic control (e.g., erection of 

construction signs), and Section 637 work (e.g., installing the field office and temporary electric 

service) until the PCS is approved.

The PCS should be reviewed to determine if it generally represents those activities that logically 

should occur in the beginning of the specific type of project. This could involve all traffic control,

as on an urban road rehabilitation project; erection of an onsite batch plant for a remote paving

or concrete project; or only time for material ordering and delivery for a pre-manufactured

installation (e.g., precast guardwalls). The Project Engineer’s review must consider the type of

project and need not be overly critical. The PCS should also be used to plan and schedule the 

Government’s initial onsite personnel and equipment needs. 

5.2.3.2 Initial Construction Schedule

The Standard Specifications require that three copies of the initial construction schedule for the

total contract work be submitted within 30 calendar days after the NTP is issued. This initial 

schedule must be accepted, or rejected and returned for revisions within 14 calendar days after

receipt by the Government. This initial construction schedule, whether in the BCM or CPM 

format, is of particular importance. The Contractor’s initial construction schedule should show

how it plans to begin, sequence, and complete the principal phases of work within the time 

allotted by the contract.

It is the Contractor’s initial construction schedule that normally warrants the most thorough

review by the Government. Once accepted, this initial schedule will establish the basis against 

which all future schedule changes or updates and claims will be compared and justified. The

Government’s review should carefully consider the following:

 each work activity on the schedule and the time proposed for its completion;

 unrealistic production rates based on proposed crew size or number of equipment;

 any impractical sequencing of work activities either for contractual reasons (e.g.,

impermissibly staged or phased construction), physical constraints (such as assuming 

access where there is none), or for improper workmanship or aesthetic (e.g., placing final

asphalt surface before construction of adjacent curb); and

 any actions involving the Government such as shop drawing approvals or time allotted for

testing.

All reservations should be documented in writing and returned to the Contractor for resolution

before final acceptance of the schedule. If it is determined that there are no contractual or

supportable operational reasons for rejecting an optimistic schedule, all reservations should still
Construction Schedule and Progress March 2009

Construction Schedules 5-9

be included in the acceptance letter. By accepting an unrealistic schedule from the Contractor, 

the Government could be at a distinct disadvantage when defending against any future delay or

impact claims.

The FAR permits the withholding of progress payments if the Contractor fails to submit its 

schedule within the time prescribed. Progress payments should be withheld until receipt and 

acceptance of the Contractor’s initial construction schedule. Progress payments may be 

withheld, whole or in part, if schedule updates are not submitted as required. Prudent judgment 

should be used in withholding payment due to disagreements with the Contractor concerning its 

submitted schedule. Generally, if the required initial schedule has been submitted in good faith, 

but is not acceptable for clear, objective reasons, or if the approved schedule has proven 

obsolete and the Contractor has failed to submit a requested update, the maximum ten percent 

retainage provision contained in FAR Clause 52.232-5, Payments Under Fixed-Price 

Construction Contracts, is usually more appropriate than total withholding of payments. Minor

problems do not normally justify the withholding of progress payments.

5.2.4 SCHEDULE UPDATES

FAR Clause 52.236-15, Schedules for Construction Contracts, and Subsection 155.06 of the 

Standard Specifications both require the Contractor to document actual progress on the

approved construction schedule. Three copies of an updated construction schedule must be

submitted at least every 8 weeks or when any delay or change occurs as outlined in the

Standard Specifications. The special contract requirement may specify a different submittal 

frequency.

Construction schedules, especially those in the CPM format, should be updated frequently 

because any change in production or other events that impact time can make the schedules 

obsolete, may alter the critical path, and may therefore change the critical activities of work. 

Schedules reconstructed after the fact can be biased so that the true picture of the past work is 

not shown.

The Project Engineer should compare actual progress with the Contractor’s proposed progress

to determine the need for requesting revision of the construction schedule, and for taking other 

action determined appropriate, in consultation with the COE, such as withholding a portion of 

progress payments. Note that the relationship between money earned and progress is not 

expected to be linear throughout the project. It is often significantly skewed by high value items 

such as paving, and by seasonal weather constraints.

If the Contractor’s progress is not satisfactory – usually defined as when the progress falls

10 percent behind the current schedule – an updated schedule should be requested, in writing. 

The request should ask the Contractor to identify any Government caused delays. The request 

should also notify the Contractor of any intent to withhold retainage due to unsatisfactory 

progress or to assess liquidated damages if the contract time is about to elapse. It is also 

prudent to request an updated schedule when issuing a major contract modification, time 

extension, or a directed acceleration.

All updated construction schedules should be reviewed and accepted, or rejected and returned 

for revisions. The review can focus on the areas of the updated schedule that have been 

significantly changed from the previously accepted schedule. The Contractor should identify 
Construction Schedule and Progress March 2009

5-10 Construction Schedules

these changes in the narrative submittal. Any reservations should be documented in the 

acceptance letter.
Construction Schedule and Progress March 2009

Limitation of Operations 5-11

5.3 LIMITATION OF OPERATIONS

Many FLH projects are constructed under traffic. At all times, the Contractor is required to 

conduct the work in a manner and sequence that ensures the least interference with public 

traffic. The contract may include specific constraints, such as when closures may occur, how

long they may last, and when one-way operations may take place. The contract may also

include one or more interim completion dates or phases that specify that certain portions of the 

project must be complete and open to the public before others may start.

If the Contractor is prosecuting the work in a manner that results in sections of the project being 

unnecessarily closed when little work is in progress, resulting in substandard accommodation of

traffic, or when temporary traffic control costs to the Government are unnecessarily high due to 

Contractor inefficiency, the Project Engineer may require the Contractor to modify its operations

to correct these problems. Because such orders are likely to result in a dispute, they should be 

discussed with the COE prior to issuance.

The Project Engineer and COE should have an understanding regarding situations that cause 

unsafe conditions or severe backups. The Project Engineer should be authorized to 

immediately order appropriate actions to alleviate the problem, rather than delay action, pending 

discussions with the COE. Such situations may be the result of the Contractor’s operations, or 

they may relate to the need to modify or augment the specified Traffic Control Plan.

In accordance with FAR Clause 52.236-11, Use and Possession Prior to Completion, the 

Government has the right to order portions of the project to be opened prior to completion of the

entire Contract. This clause is applicable only to a situation where the contract provides for the 

closure of such portions until completion of the entire Contract, but the Government elects to 

change the conditions of the contract and order the portions opened. Such a decision may 

make the Government liable for an equitable adjustment, and therefore must be considered a 

change, ordered in accordance with Chapter 13.
Construction Schedule and Progress March 2009

5-12 Contract Time

5.4 CONTRACT TIME

The time allowed for completion of the work will be based on a specified completion date as 

stated in FAR Clause 52.211-10, Commencement, Prosecution, and Completion of Work. All 

work on the project is to be completed no later than on the date specified in the contract, as 

adjusted under the contract provisions.

5.4.1 FAILURE TO COMPLETE WORK WITHIN THE TIME ALLOWED

If the Contractor fails to complete the work by the close of business on the specified completion 

date (as adjusted), the charge of contract time and the associated liquidated damages will 

include each calendar day between the specified completion date and the actual date of 

substantial completion.

Substantial completion is defined in Subsection 101.04 of the Standard Specifications as:

The point at which the project is complete such that it can be safely and 

effectively used by the public without further delays, disruption, or other 

impediments. For conventional bridge and highway work, the point at which all 

bridge deck, parapet, pavement structure, shoulder, drainage, sidewalk, 

permanent signing, and markings, traffic barrier, safety appurtenance, utility, and 

lighting work is complete.

Liquidated damages at a reduced rate will then be charged beginning with the day after 

substantial completion and ending with the date of final completion and acceptance (See 

Subsection 108.04 of the Standard Specifications).

5.4.2 METHODS OF ADJUSTING TIME ALLOWANCE

Adjustments in contract time are permitted under the following clauses:

 FAR 52.211-10, Commencement, Prosecution, and Completion of Work

 FAR 52.211-18, Variation in Estimated Quantity

 FAR 52.242-14, Suspension of Work

 FAR 52.236-2, Differing Site Conditions

 FAR 52.243-4, Changes

 FAR 52.249-10, Default (Fixed Price- Construction)

General information regarding time extensions is included in Subsection 108.03 of the Standard 

Specifications, Determination and Extension of Contract Time.

Increases in contract time may be authorized as follows:

 By supplemental agreement that includes a revised fixed completion date.

 By change order that provides a unilateral revised fixed completion date for performing work 

for which there has been no agreement.

 By supplemental agreement issued in settlement of a claim.
Construction Schedule and Progress March 2009

Contract Time 5-13

 By CO’s decision in accordance with FAR Clause 52.249-10, Default, and FAR Clause 

52.233.1, Disputes.

5.4.3 CONSIDERATION OF TIME ADJUSTMENTS

When contract modifications are issued, consideration must be given to the modification’s effect 

on overall Contract time. Failure to grant a time extension for increased work or changed work

with a definite bearing on time for performance may result in an acceleration claim. If it is critical

to maintain the original contract completion date, it may be in the Government’s interest to

compensate the Contractor for accelerating the work to meet the original completion date. 

Generally, time adjustments will not be made unless the modification or change in work is on 

the critical path activities.

When an adjustment in Contract time is negotiated, the proposed adjustment must be in

accordance with the contract provisions and fair to both the Contractor and the Government. 

The actual time allowed should be tailored to the particular change situation, considering the

effect on non-changed work as to total contract performance time. Consider the time of 

performance of the changed work and the need to acquire and mobilize/demobilize equipment

to perform the work.

Unusual weather patterns impacting the work should be considered as appropriate. The Project 

Engineer should obtain rainfall information from local weather data centers for the past 10-year 

period to provide a base for any adjustments. Rainfall and other weather conditions should be 

documented throughout the life of the project.

Ideally, Contract time should be determined by the effect of the change on the construction 

schedule that is current at the time of the change. Each modification should be clear and 

specific as to its effect on Contract time such that all parties recognize and agree to the impact 

of the changed work.

A reduction in performance time to less than the original number of days allowed in the Contract 

is rarely necessary, but is provided for under the contract where early delivery of the facility is in 

the public interest. When a decrease in performance time is contemplated, the contract 

modification should be negotiated (a unilateral order is inappropriate) and an equitable 

adjustment is normally required.

The contract permits the Contractor to request a time extension if it is impossible, for reasons 

beyond its control, to complete the work on time. Such a request should be made prior to the 

expiration of the Contract time. The request must be made in writing, and it must outline the 

reasons and justification for the time extension, citing the Contract clause(s) that provides the 

basis for granting the extension. The Project Engineer should evaluate such a request and 

forward it, along with his/her recommendation, to the COE for a determination. Any resultant 

change in contract time shall be made by contract modification.
Construction Schedule and Progress March 2009

5-14 Work Suspensions and Stop Orders

5.5 WORK SUSPENSIONS AND STOP ORDERS

5.5.1 DEFINITIONS

Note that the word suspension is commonly used in the FAR as meaning a suspension for the 

convenience of the Government pursuant to FAR Clause 52.242-14, Suspension of Work, i.e. a 

suspension that implies liability or potential liability to the Government. In FLH, on the other 

hand, the word suspension has been used to describe directives to suspend due to unsuitable

weather or failure of the Contractor to comply with contract requirements, neither of which

implies liability to the Government. The following terms are defined to distinguish between 

these conditions.

1. Suspension: An interruption, delay, or halting of all or any part of the work by, and for the 

convenience of the Government, or resulting from an act (or failure to act) of the CO. (See

FAR 52.242-14, Suspension of Work).

2. Stop Order: An interruption, delay, or halting by the Government, of all or any part of the 

work resulting from unsuitable weather or soil conditions, an act of the Contractor, or the 

failure of the Contractor to act. (See Subsection 108.05 of the Standard Specifications)

5.5.2 SUSPENSION OF CONTRACTOR OPERATIONS

FAR 52.242-14 permits work to be suspended for the convenience of the Government. If a 

suspension is for longer than a reasonable time, the Contractor may be entitled to an equitable 

adjustment. What is reasonable depends on the circumstances, and the liability of the 

Government for not suspending should be compared to the possible additional cost due to a 

suspension. 

For example, if the Contractor begins excavating from a Government-designated borrow source, 

and it becomes apparent that the material may be unsuitable for its intended use, a suspension 

for one day to decide if the source is in fact unsuitable would probably be reasonable. If the

Government decided after one day that the source was acceptable, it could argue that no 

liability was incurred.

Authority to issue emergency or urgent suspensions within the window of reasonableness may 

be delegated to the Project Engineer. Once it is recognized that the suspension will result in

liability to the Government, the letter or notice ordering the suspension of work, or documenting

the suspension after the fact, shall be issued by the COE or the CE depending on Division 

delegations.

Constructive suspensions of work can occur by failure of the Government to act. For example:

o Failure to approve shop drawings or mix designs within the time period specified in 

the contract, or within a reasonable time if not specified.

o Failure to perform timely inspections.

o Delays due to defective specifications.
Construction Schedule and Progress March 2009

Work Suspensions and Stop Orders 5-15

5.5.3 STOPPAGE OF CONTRACTOR OPERATIONS

The Standard Specifications permit the CO to stop the work wholly or in part due to the 

following:

1. Weather or soil conditions considered unsuitable for prosecution of the work: 

When the Contractor fails to act responsibly by voluntarily stopping operations when 

weather or soil conditions are unsuitable, the Project Engineer may issue a letter ordering

work to stop. Normally, the Project Engineer would only take this action if the Contractor’s

continued work was causing damage to previously completed work or adjacent public or 

private property, or was otherwise causing potential liability to the Government.

In the letter, the Project Engineer should describe the conditions that are unsuitable for work 

and the condition(s) under which work can be resumed.

No order is required when the Contractor elects to stop work because of unsuitable 

conditions, which are usually of short duration and expected during the project duration. 

However, the project records should document and indicate such periods of no work.

For completion date contracts, there is no counting of contract time; therefore, normal 

unsuitable weather or soil conditions have no effect on the completion date. However, a 

time extension and new completion date may be established if the Contractor can 

demonstrate the amount of unsuitable weather is extraordinary or unusually severe. Such a

demonstration will require careful review and documentation of weather history in the project 

area. If the Government agrees the weather is unusually severe, the completion date may 

be adjusted by contract modification. Such an adjustment is not dependent on a stop order 

having been issued by the Government; it is only dependent on a demonstration of 

unusually severe weather having adversely impacted the Contractor’s progress.

2. Failure of the Contractor to:

a. Correct conditions unsafe for the workers or the general public.

b. Carry out orders given by the CO.

c. Perform any provision of the contract.

In cases where these conditions exist, the Project Engineer should issue the Contractor a 

written notice covering the deficiencies that require correction. The notice should include a 

statement that failure to immediately take corrective action may result in the issuance of a 

stop order covering the work in question. At the same time, the Project Engineer should 

notify the COE by telephone and request instructions.

If the Contractor refuses or fails to correct the identified deficiencies, the Project Engineer may 

issue a stop order for periods of short duration due to reasons 1 and 2.a above. Stop orders for 

long durations or those due to reasons 2.b or 2.c shall be issued by, or have the concurrence of,

the COE or the CE.
Construction Schedule and Progress March 2009

5-16 Work Suspensions and Stop Orders

Stop orders should cover only those items of work that are deficient. Stopping other work may

be construed as punitive; stop orders or suspensions are not to be punitive.

5.5.4 CONTENT OF SUSPENSIONS AND STOP ORDERS

Both a suspension and a stop order should follow a letter format and include the following 

information:

1. Date, Contractor’s name and address, contract number, and project designation.

2. Reason for suspension or stop order and whether the order pertains to all work underway or 

only part of the work. If the suspension or stop order affects only part of the work, describe 

the affected portion of the work.

Stop orders covered by Subsection 108.05 of the Standard Specifications should cite that 

provision.

Suspensions of work for the convenience of the Government should cite FAR Clause 

52.242-14, Suspension of Work.

3. Effective date of suspension or stop order.

4. Statement that work will not be resumed until directed in writing. For work stopped under 

Subsection 108.05 of the Standard Specifications, include a description of what conditions 

must exist before the Contractor can resume work.

5. A statement regarding the effect of the suspension or stop order on the contract time and 

amount. If the Government recognizes an unusually severe weather related delay, note that 

a contract modification may be requested adjusting contract time.

For other stop orders covered by Subsection 108.05 of the Standard Specifications, note 

that there will be no change in Contract completion date or Contract amount.

For suspensions of work for the convenience of the Government, state that any 

adjustment(s) to the contract completion date or amount as a result of the suspension will be 

made by contract modification.

The Contractor should be requested to acknowledge receipt of all suspensions and stop orders. 

If the Contractor’s superintendent is absent, or due to strained relations, refuses to acknowledge

the letter, its delivery should be noted in the diary and a copy sent to the Contractor’s main 

office.

Examples of a stop order and a suspension are included in Exhibit 5.5-A and Exhibit 5.5-B, 

respectively.
Construction Schedule and Progress March 2009

Work Suspensions and Stop Orders 5-17

Exhibit 5.5-A Example Stop Order
Construction Schedule and Progress March 2009

5-18 Work Suspensions and Stop Orders

Exhibit 5.5-B Example Suspension Letter
Construction Schedule and Progress March 2009

Work Suspensions and Stop Orders 5-19

5.5.5 CONTENT OF RESUMPTION ORDERS

After the reasons for a suspension or stop order have been resolved, FLH should provide a 

written resumption order to the Contractor to rescind the suspension or stop order. The 

resumption order should be signed by, or have the concurrence of, the official who signed the 

suspension or stop order. The order should include the following information:

1. Date, Contractor’s name and address, contract number, and project designation.

2. Reference to the suspension or stop order, and identification of the item(s) of work affected 

by the resumption.

3. Effective date of resumption.

4. A statement regarding the effect of the suspension or stop order on the contract time and 

amount (See Section 5.5.4).

Resumption orders after periods of short duration may be made effective immediately if 

conditions permit normal resumption of the work. After long suspension periods, resumption 

orders should be issued sufficiently in advance of the effective date to permit the Contractor to 

coordinate the start-up of work. The Contractor should be requested to acknowledge receipt of 

all letters to resume work

Surveying and Staking March 2009

Table of Contents 6-i

Chapter 6 – SURVEYING AND STAKING

TABLE OF CONTENTS

Section Page

6.1 General.........................................................................................................................................6-1

6.2 Verification of Staking Information ...........................................................................................6-2

6.3 Verification of Survey Control in the Field ...............................................................................6-3

6.4 Establishing and Referencing Centerline and/or Other Roadway Control ...........................6-4

6.5 Permanent Monuments ..............................................................................................................6-5

6.6 Bridges.........................................................................................................................................6-6

6.7 Retaining Walls ...........................................................................................................................6-7

6.8 Slope Stakes................................................................................................................................6-8

6.9 Fine Grade Control Stakes.......................................................................................................6-11

6.10 Sight Levels ...............................................................................................................................6-12
Surveying and Staking March 2009

6-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 6.8-A Example Slope Stake and Reference Stake Markings and Notes...............................6-10

Exhibit 6.10-A Sight Levels.................................................................................................................6-13
Surveying and Staking March 2009

General 6-1

CHAPTER 6

SURVEYING AND STAKING

6.1 GENERAL

An FLH survey to obtain final design information and to set initial control for staking during 

construction is usually completed before the award of the construction contract. Practices vary 

among Divisions. Individual project situations may also vary. Some contracts will require more 

survey effort from the Contractor than others. Refer to the contract for specific staking 

responsibilities and requirements, including survey tolerances.

Survey field verification varies greatly by Division. Some Divisions perform extensive survey 

field verification and some perform almost none. Ultimately it is up to the Division to decide 

which practices within this chapter are applicable for their purposes.
Surveying and Staking March 2009

6-2 Verification of Staking Information

6.2 VERIFICATION OF STAKING INFORMATION

All information to be provided to the Contractor and/or Contract Surveyor, both in printed and 

digital form, must be cross-checked against the plan sheets for consistency. This cross-check 

is to be performed by the Project Engineer under the guidance or with the assistance of the FLH 

Survey Team (if an FLH survey team is assigned to assist in this task). This cross-check is to 

be performed prior to the release of any staking information to the Contractor. The Project 

Engineer should bring any discrepancies to the immediate attention of the COE and Design 

Section for resolution.
Surveying and Staking March 2009

Verification of Survey Control in the Field 6-3

6.3 VERIFICATION OF SURVEY CONTROL IN THE FIELD

Initial project surveys are usually performed by the FLH Survey Staff or a consultant surveyor 

under a separate contract, before the award of the construction contract. Such surveys will 

provide control points to be used later by the Contractor for construction, and by FLH staff for 

quality assurance. The Project Engineer and FLH Survey Team are responsible for verifying 

that the information regarding survey control in both the special contract requirements and the 

construction plans match what exists in the field (if an FLH survey team is assigned to assist in 

this task). A Survey Control Plan may be prepared by the FLH Survey Team in some Divisions,

which will aid both the Project Engineer and the Construction Surveyor in the assessment. 

There will also be cases where additional control will be required to facilitate the performance of

field checks during construction.

The Contractor has a contractual obligation to notify the Government of any alleged errors in the 

Government survey control. If the Contractor identifies an issue, the Project Engineer should 

immediately consult with the FLH Survey Team regarding an appropriate course of action. The 

Contractor must also be kept aware that if the Government control points are to be disturbed for 

any reason during construction, new control points must be set in an area that won’t be 

disturbed, and must be verified by the Government prior to disturbance of the original points.

Any survey work needed regarding setting and resetting control points should be done as soon 

as possible to avoid delaying the Contractor’s operations. This work can be performed in the 

following ways:

 By FLH Survey Staff

 By Contractor’s surveyor under a Contract Modification or Miscellaneous Survey Item

 By contracting with a local Surveying Company
Surveying and Staking March 2009

6 Establishing and Referencing Centerline and/or Other Roadway Control -4

6.4 ESTABLISHING AND REFERENCING CENTERLINE AND/OR 

OTHER ROADWAY CONTROL

At some point during construction of the project, the Contractor will establish the centerline, 

often setting shoulder points in the same operation. The degree of accuracy depends on which 

phase of construction is taking place. Staking tolerances are found in the specifications. 

During initial grading, the inspector can check work by measuring from the slope stakes of the 

slope stake reference hubs (providing the project is using reference hubs). When doing this, the 

inspector should line up with the reference hub or the slope stake on the other side of the road, 

ensuring that the centerline is intercepted at the station listed on the stake. Subgrade may be 

checked using any approved Division-specific method. The inspector should bring work 

performed outside of FHWA tolerances to the Contractor’s attention for corrective action.

When finishing subgrade, fine grade control stakes (blue tops) or stakes for string lining are 

usually set by the Contractor. Usually, a Contractor will set the horizontal location of grade 

control stakes for about 1,000 meters of roadway, and will then come back to set the proper 

elevations. To check the work at this stage, the inspector should have a theodolite and an 

electronic distance measuring device. Radial survey methods can then be used. By occupying 

a point of known coordinates and having a similar backsight, the Contractor’s grade control 

stakes can be checked by comparison with points set at their coordinates.

Regardless of the method chosen for checking, the Project Engineer should require as 

independent a check as is feasible. Occupying, or resecting from points different from those 

used by the Contractor, or using a different method, are possible approaches to checking the 

Contractor’s grade control stakes. The purpose of an independent check is to lessen the 

chance of duplicating any error. Points set for checking may not match the Contractor’s points 

exactly, but they should fall within tolerances.

Where construction plans show equations in the stationing, these equations must be left in, and 

the station ahead must not be altered. The back station may be corrected if any error or 

distance is found when rerunning the line. This is necessary to preserve the relation of 

centerline to landmarks.

If the stationing at the crossing of property lines does not agree with the original plans, it will be 

necessary to equate to the original station ahead. The Project Engineer should coordinate with 

Project Development when any changes affect the right-of-way description.

The beginning and ending stations of the project should be left as shown on the plans, unless a 

change has been approved by Project Development through the COE. If errors, equations, or 

centerline corrections cause a beginning or ending station to be in a significantly different 

location relative to the geometrics of the road and physical features of the right-of-way, the 

Project Engineer should coordinate with the COE to see if an equation station or a revision is 

appropriate.
Surveying and Staking March 2009

Permanent Monuments 6-5

6.5 PERMANENT MONUMENTS

Permanent monuments, such as United States Coast and Geodetic Survey (USCGS) 

monuments, Public Land corners, State coordinate points, Corps of Engineers’ monuments, or 

property corners, might be in the way of the work. The contract should provide for 

reestablishment of such monuments following construction, in accordance with legal and/or 

agency requirements. If a monument is discovered that is not called out in the contract, the 

Project Engineer should contact the Construction Surveyor as soon as possible for instruction.
Surveying and Staking March 2009

6-6 Bridges

6.6 BRIDGES

The Government provides initial control from which the Contractor can stakeout the bridge. The 

Contractor determines what additional control is needed for construction purposes and is 

responsible for staking it. The Contractor is required to submit this staking information to the 

Project Engineer. The Project Engineer may consult with the FLH Survey Team to verify its 

accuracy.

Bridge tolerances are much tighter than roadway tolerances. The Project Engineer should allow 

enough time to perform checking before the Contractor’s scheduled concrete operations.
Surveying and Staking March 2009

Retaining Walls 6-7

6.7 RETAINING WALLS

This section is written for cast-in-place concrete, cantilever retaining walls. The Project 

Engineer can apply most of the ideas presented to other types of walls as well. However, each 

wall type (e.g., cast-in-place, reinforced earth, gabion, bin wall, keystone block, etc.) has some 

unique elements. For an unfamiliar wall type, the Project Engineer may contact the 

manufacturer to gain insight for laying it out. Actual layout is done by the Contractor.

Unlike bridges, locations of retaining walls may not be precisely established on the plans. In 

many situations, the contract requires the Project Engineer to field check the beginning and 

ending station of the wall before the Contractor can order materials or begin work.

A common method used to check the Contractor’s staking involves setting an offset line parallel 

to the wall. The inspector measures from this line to check the wall. On walls, setting the radius 

points is sometimes more practical and useful. Once the footing for a wall is complete, the 

Contractor often places control on it. This is convenient to use. It is a good idea to check the 

location of the top of the form to ensure the proper batter is being obtained.

The Project Engineer may rely on the Contractor’s control after checking its accuracy. Any 

supplemental control set by the Contractor must be verified before it may be used for 

construction layout. 
Surveying and Staking March 2009

6-8 Slope Stakes

6.8 SLOPE STAKES

This section assumes that project personnel have some experience with slope staking. If not, 

the Project Engineer should request or provide special training. Many survey books describe 

this subject only briefly in comparison to the detailed explanations provided for traversing, 

running levels, and other aspects of surveying. When explanations for slope stakes are given, 

they often relate to flat country work, which is not practical for most FLH projects. See Exhibit 

6.8-A for an example of slope stake and reference stake markings and notes.

Before the Contractor does any staking, the Project Engineer should:

 Closely review the printed earthwork listings and the plotted cross-sections to understand 

the overall earthwork and stakeout required. Close study of plotted cross-section data 

proves very helpful in understanding the intended template for the road. 

 Note anything appearing odd, or contrary to the plans or contract, for later field checking.

 Review the earthwork and staking data with the Contractor and its staking crew. 

 Discuss write-up and color coding of slope stakes and their reference stakes, and whether 

or not the cuts marked on the slope stakes are to ditch grade or shoulder grade. 

 Have the Contractor and its staking crew demonstrate how they will mark the catch and 

reference stakes. The Contractor also should explain where substantial differences 

between the data contained in the furnished field notes and actual ground shots will be 

recorded. 

 Point out that care must be taken to ensure measuring is accurate, particularly when staking 

is done with a hand level, rod, and cloth tape. 

 Instruct the Contractor to submit accurate and timely staking notes throughout the life of a 

project, noting that failure to furnish staking notes on time prevents or delays review of that 

work, and causes delay to the total operation.

Once the Contractor has started placing slope stakes in the ground, the Project Engineer should 

look at the staked line to see if it flows smoothly with the terrain. If there is a slope stake out of 

line, the Project Engineer should check the plans to see if there is a reason for it. An inlet basin 

for a culvert may cause a station to appear out of line. If there is no apparent reason for the 

misalignment, the Project Engineer should check the slope stake book and compare it to the 

writing on the slope stake. The Project Engineer should check data recorded on slope stakes 

and reference points (R.P.) for legibility, as well as for content.

The Project Engineer’s method for review of the Contractor’s staking depends on the equipment 

available. If a total-station is on the job, the Project Engineer can shoot catches (slope stake 

positions) in from control points. These can be compared to slope stakes the Contractor has 

set. Unless something was wrong with the original topographic data, the two should compare 

closely. The Project Engineer should check the Contractor’s stakes to see that they meet the 

horizontal and vertical tolerances for the contract.

Sampling is permissible for checking staking. Unless sample size is specified, the Project 

Engineer may select about 10% of the stakes in any group being tested. The sample selection 
Surveying and Staking March 2009

Slope Stakes 6-9

method must ensure all stakes in the group have an equal selection chance. The average error 

in the sample is taken to represent the mean error in the work being checked. Vertical and 

horizontal errors are best considered separately.

If any error exceeds specification tolerances, corrective action is warranted. Some time spent at 

that point to determine why the error is so large will likely be worthwhile. Check both parties’ 

equipment, methodology, and conventions, such as measuring from and to the center of stakes 

or hubs. Government staff might work with the Contractor’s crew for a time, or observe its work 

very closely. The COE might be asked to provide or arrange for help if necessary to find 

problems.

When re-checking a rejected unit of work, one should take a new sample and proceed as 

described above.
Surveying and Staking March 2009

6-10 Slope Stakes

Exhibit 6.8-A Example Slope Stake and Reference Stake Markings and Notes

Slope Stake

The intersection of the stake and ground is 12.85 meters above grade of ditch.

The cut slope ratio is 1 unit vertical to 1.5 units horizontal.

The stake is 28.78 meters from centerline. Some conventions show distance to bottom of 

slope.

(Optional) The template at this station has a 2.00 meters wide ditch. Ditch depth might be 

shown if it varies.

(Optional) The roadbed is crowned at 2% at this station.

(Optional) The subgrade shoulder break is 7.50 meters from centerline at this station.

Reference Stake

The stake is at Station 42+620

The stake is a reference cut (RC), 13.20 meters above the grade of the ditch.

The stake is 33.78 meters from centerline.

The stake is 5.00 meters horizontally behind the slope stake.
Surveying and Staking March 2009

Fine Grade Control Stakes 6-11

6.9 FINE GRADE CONTROL STAKES

Fine grade control stakes (red tops, blue tops, etc.) can initially be checked similarly to checking 

slope stakes. The eyeball method can show a large bust in the staking, but certainly should not 

be relied upon very often. The Project Engineer should require closed level loops, and should 

check the documentation. Taping off slope stakes or slope stake reference hubs does not 

ensure the required accuracy. Section 6.4 contains additional information on checking grade 

control stakes. Discussion of sampling in Section 6.8 may be applied to checking fine grading 

control points. The checking procedures are the same for all fine grading control points. 

Definition of various grade control stakes by color code is often in the special contract 

requirements.

In some situations, the grade control stakes have to be fine-tuned by the Project Engineer to get 

a smooth ride, to ensure proper drainage of the surface, or both. In a very curvilinear alignment, 

the tangent runouts can get shortchanged. The Project Engineer may have to adjust the 

designed superelevation to soften dips or humps.
Surveying and Staking March 2009

6-12 Sight Levels

6.10 SIGHT LEVELS

Sight levels are tools one person can use to check the crown, superelevation, or linear grade 

without a level and rod. These are three metal rods each welded to a small base to enable 

them to stand vertically unsupported. The main rod has a small tee section of tubing welded 

horizontally to the top that serves as a sight and target. To see if the three levels are all on the

same plane, the inspector chooses any random cross-section of the roadway and places a level 

on the right shoulder, one on the center of the road, and the third on the left shoulder. The 

inspector then sights from one of the levels on either shoulder to the one on the other shoulder. 

The inspector measures the amount of crown by how far the top of the center level is above the 

line of sight on centerline. A string line will settle arguments. The levels are usually painted 

with alternating colored stripes at fixed increments.

See Exhibit 6.10-A for an illustration of the use of sight levels. 

To check a roadway section that has a turnout or passing lane, the inspector places one level 

on centerline and another on the shoulder. Then the third level is placed in between to see that 

the crown at centerline is carried over the entire length of the template.

The inspector may use this same method of placing three levels across the roadway at a crosssection to check the superelevation by sighting over the top of the handles. This method also 

works for checking the linear grade of the roadway between stations. The inspector places two 

levels on consecutive control stakes and the third level in between, and sights over the top to 

see if they line up.

The levels give a quick check of uniformity and smoothness of the subgrade, base aggregate 

course, and later courses. Using levels on vertical curves, horizontal curve transitions, and 

curvilinear alignment will not work as described.

The main use of levels is to roughly check that the grade is conforming to the template shown in 

the contract drawings.
Surveying and Staking March 2009

Sight Levels 6-13

Exhibit 6.10-A Sight Levels

Quality Control/Quality Assurance Inspection March 2009

Table of Contents 7-i

Chapter 7 – QUALITY CONTROL/QUALITY ASSURANCE INSPECTION

TABLE OF CONTENTS

Section Page

7.1 General.........................................................................................................................................7-1

7.2 Character of Workers and Adequacy of Equipment................................................................7-2

7.3 Contractor Quality Control Plan (CQCP) ..................................................................................7-3

7.3.1 General......................................................................................................................7-3

7.3.1.1 FAR and FP Requirements....................................................................7-3

7.3.1.2 Traditional Inspection vs. Quality Management System........................7-4

7.3.1.3 Why not just define the minimum quality control requirements in the 

contract? ................................................................................................7-4

7.3.2 Development of a CQCP...........................................................................................7-6

7.3.2.1 Organizational Structure ........................................................................7-6

7.3.2.2 Process Control Testing.........................................................................7-7

7.3.2.3 Inspection/Control Procedures...............................................................7-8

7.3.2.4 Subcontractors and Suppliers..............................................................7-10

7.3.2.5 Manufactured Materials .......................................................................7-10

7.3.2.6 Records and Documentation ...............................................................7-11

7.3.2.7 Personnel Qualifications ......................................................................7-11

7.3.3 Acceptance of the CQCP ........................................................................................7-11

7.3.3.1 Minimum Necessary ............................................................................7-13

7.3.3.2 Incomplete/Imperfect Plans .................................................................7-13

7.3.3.3 Conditional Acceptance .......................................................................7-13

7.3.3.4 Partial Plans .........................................................................................7-13

7.3.4 Contract Administration ...........................................................................................7-14

7.3.4.1 Agency Role Responding to Problems ................................................7-14

7.3.4.2 Defective Work.....................................................................................7-14

7.3.4.3 Contractor Personnel Problems...........................................................7-15

7.3.4.4 Contractor Evaluation ..........................................................................7-15

7.4 Record and Report Preparation...............................................................................................7-16

7.4.1 General....................................................................................................................7-16

7.4.2 Project Diaries and Inspector’s Daily Reports (IDRs) .............................................7-16

7.4.2.1 Project Diaries......................................................................................7-16

7.4.2.2 Inspector’s Daily Report (IDR) or Diary ...............................................7-18

7.4.3 Photographs ............................................................................................................7-18

7.5 Contract Inspectors ..................................................................................................................7-22

7.5.1 General....................................................................................................................7-22

7.5.2 Contract Inspection Contract (CIC) .........................................................................7-22

7.5.3 Task Orders.............................................................................................................7-22

7.5.4 CI Duties ..................................................................................................................7-23

7.5.5 Project Engineer Duties...........................................................................................7-24

7.5.6 CI Time and Attendance..........................................................................................7-24

7.5.7 CI Invoices...............................................................................................................7-26

7.5.8 CI Performance and/or Conduct..............................................................................7-26

7.5.9 CI and Government Furnished Equipment..............................................................7-27

7.5.10 CI Releases and Transfers......................................................................................7-27
Quality Control/Quality Assurance Inspection March 2009

7-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 7.3-A Outline of CQCP Requirements per FP-03, Subsection 153.02....................................7-5

Exhibit 7.3-B Example CQCP Acceptance Letter..............................................................................7-12

Exhibit 7.4-A Inspector’s Daily Report ...............................................................................................7-20

Exhibit 7.5-A Example Contract Inspection Time Sheet – Receiving Report....................................7-25
Quality Control/Quality Assurance Inspection March 2009

General 7-1

CHAPTER 7

QUALITY CONTROL/QUALITY ASSURANCE 

INSPECTION

7.1 GENERAL

This chapter addresses the following topics related to construction quality management:

 The Contractor’s responsibility to perform work in a skillful manner, using suitable personnel 

and equipment;

 The contents, structure, and implementation of an acceptable Contractor Quality Control 

Plan (CQCP);

 Quality assurance responsibilities of FLH personnel; and

 Duties and authority of contract inspectors (CIs). 
Quality Control/Quality Assurance Inspection March 2009

7 Character of Workers and Adequacy of Equipment -2

7.2 CHARACTER OF WORKERS AND ADEQUACY OF EQUIPMENT

FAR Clause 52.236-5, Material and Workmanship, requires the Contractor to perform work in a

skillful and workmanlike manner. The Government may order the removal of any Contractor

employee who is incompetent, careless, or otherwise objectionable. Such removal is a serious

action that may subject the Government to liability if the removal is later deemed by a court to 

be arbitrary or in bad faith. Normally, the COE or higher CO must sign such an order.

Unless otherwise specified, FAR Clause 52.236-5 allows the Contractor to propose and use an 

alternate to any equipment, materials, or processes specified in the contract by catalog number, 

trade name, make, or other proprietary description, as long as the CO determines the 

equipment, material, or process proposed by the Contractor to be equal to that specified. 

Because FLH seldom specifies proprietary equipment, materials, or processes, this issue rarely 

arises. When it does, approval or disapproval should be made in good faith, as a contract 

modification.

FAR Clause 52.236-6, Superintendence by the Contractor, requires the Contractor to assign to 

the work a superintendent satisfactory to the CO. If a superintendent is deemed to be

unsatisfactory and removal is contemplated, the action should be taken by the COE or higher 

CO as delegated. Such removal is a serious action that may subject the Government to liability 

if the removal is later deemed by a court to be arbitrary or in bad faith.

The Project Engineer should keep the COE fully informed of any failure on the part of the 

Contractor to provide suitable personnel and equipment, and actions taken or recommended.

The Project Engineer should maintain sufficient records on the Contractor’s personnel and

equipment to support actions and recommendations, and to document the facts in case a claim

should arise or the Contractor should dispute any contract action.
Quality Control/Quality Assurance Inspection March 2009

Contractor Quality Control Plan (CQCP) 7-3

7.3 CONTRACTOR QUALITY CONTROL PLAN (CQCP)

7.3.1 GENERAL

The CQCP is a framework for the Contractor’s process for delivering quality construction. The 

plans and specifications define the expected results or outcome. The CQCP outlines how those 

results will be achieved. While it is not possible to determine from the CQCP whether the level 

of construction quality will be acceptable, it is possible to verify that the Contractor, as an 

organization, has addressed the basic elements of its quality process. The following guidelines 

address, not only what the CQCP should contain for it to be acceptable to the Government, but 

also how the Government should approach its quality assurance process to ensure quality 

without usurping the Contractor’s responsibilities.

7.3.1.1 FAR and FP Requirements

FAR Clause 52.246-12, Inspection of Construction, is the foundation and basis for all contract 

requirements dealing with quality control and quality assurance. In summary, the clause 

requires the Contractor to:

 Maintain an adequate inspection system and perform inspections that will ensure contract 

compliance. 

 Maintain inspection records and make them available to the Government.

 Assist with any testing and inspection the Government chooses to perform.

 Comply with the contract regardless of the presence of a Government inspector or whether 

or not Government testing has been, or will be, performed.

Failure to maintain an adequate inspection system subjects the Contractor to suspension and/or 

ordered correction of not just the work in question, but the inspection system itself. It also 

subjects the Contractor to an unsatisfactory performance rating that may be used to deny the 

Contractor future contracts (see Section 12.2).

In addition, under the clause, the Government may:

 Charge the Contractor for the costs of inspections and tests performed on work that the 

Contractor has said is ready for inspection, but is found to be in noncompliance.

 Order previously completed work to be torn apart for inspection. (If such work is in 

noncompliance, the Contractor will pay for the inspection and the correction of the work. If it 

found to be in compliance, the Government will pay for the inspection and disruption to the 

work.)

Note that nothing in the FAR clause requires that the Contractor's inspection system be 

described in writing, or that it be submitted to the Government for approval in advance of the 

work. These requirements are contained in Section 153 of the Standard Specifications (FP). In 

addition, Section 153 contains a basic outline of what should be included in the CQCP (refer to 

Exhibit 7.3-A). The outline should be repeated for each major category of construction.
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7 Contractor Quality Control Plan (CQCP) -4

7.3.1.2 Traditional Inspection vs. Quality Management System

Traditionally, highway contractors performed the work subject to comprehensive inspecting and 

testing by the Government. Work that was in noncompliance was identified by this inspection 

and required to be corrected or replaced. Avoiding the expense of extensive correction and 

rework was the primary motivation for the Contractor to perform work correctly the first time. 

However, if Government tests and inspections were infrequent, this motivation disappeared. 

Contractors were, in effect, encouraged to emphasize production until the Government 

inspectors identified quality problems.

Under a Quality Management System (as is required by FAR Clause 52.246-12), the Contractor 

is obligated by the Contract to consistently perform in accordance with the Contract 

requirements, whether or not there is Government inspection. Failure to do so is potentially a 

breach of the Contract, not just a simple matter of correction or replacement.

Note that the goal of diminishing or eliminating the agency’s role in the quality control process 

does not mean the elimination of agency personnel onsite. Current contracting practices 

require the presence of agency personnel for a variety of purposes, including quality assurance 

and acceptance of each phase of the work, and making technical decisions with respect to 

contract quantities and contingent work.

An effective CQCP does not depend on the oversight and interaction of agency inspectors to 

control quality. The work should be of consistent and acceptable quality whether or not an 

agency inspector is present.

7.3.1.3 Why not just define the minimum quality control requirements in the 

contract?

While many of the components of quality control can be defined and included in the contract, 

there is no “one size fits all” CQCP. Contracts should define the end results or outcomes that 

the agency expects. They also typically define the testing or quality assurance results that the 

agency needs to accept the work. But when an agency attempts to define the how to’s of 

quality (equipment requirements, personnel qualifications, reports and other submittals), those 

requirements are typically conservative, costly, and leave little room for contractor efficiencies. 

One contractor may achieve quality with low paid, marginally trained personnel in combination 

with comprehensive inspection, testing, and supervision. Another contractor may also achieve 

quality, but with better qualified, well trained, and well paid employees functioning within a well 

designed process. The latter approach may require relatively little testing, inspection and 

oversight, but may require more long-term investments in quality. Either approach may meet 

the agency’s needs, and therefore neither approach is necessarily preferable to the agency. 

But only the contractor can describe and document the details of its process for delivering 

quality, and therefore the CQCP must be unique to each contractor.

A CQCP is not a vague, feel good commitment to quality and contract compliance. It is a 

detailed account of how the people and processes of an individual contractor will function to 

deliver quality.
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Contractor Quality Control Plan (CQCP) 7-5

Exhibit 7.3-A Outline of CQCP Requirements per FP-03, Subsection 153.02

a. Process control testing. List the material to be tested, tests to be conducted, the 

location of sampling, and the frequency of testing. 

b. Inspection/control procedures. Address each of the following subjects in each phase 

of construction:

1. Preparatory phase. 

a) Review all contract requirements.

b) Ensure compliance of component material to the contract requirements.

c) Coordinate all submittals including certifications.

d) Ensure capability of equipment and personnel to comply with the contract 

requirements.

e) Ensure preliminary testing is accomplished.

f) Coordinate surveying and staking of the work.

2. Start-up phase.

a) Review the contract requirements with personnel who will perform the work.

b) Inspect start-up of work.

c) Establish standards of workmanship.

d) Provide training as necessary.

e) Establish detailed testing schedule based on the production schedule.

3. Production phase.

a) Conduct intermittent or continuous inspection during construction to identify and 

correct deficiencies.

b) Inspect completed phases before scheduled Government acceptance.

c) Provide feedback and system changes to prevent repeated deficiencies.

c. Description of records. List the records to be maintained.

d. Personnel qualifications.

1. Document the name, authority, relevant experience, and qualifications of person with 

overall responsibility for the inspection system.

2. Document the names, authority, and relevant experience of all personnel directly 

responsible for inspection and testing.

e. Subcontractors. Include the work of all subcontractors. If a subcontractor is to perform 

work under this Section, detail how that subcontractor will interface with the Contractor's 

and/or other subcontractor's organizations.
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7 Contractor Quality Control Plan (CQCP) -6

7.3.2 DEVELOPMENT OF A CQCP

The following section addresses the development of a CQCP. Although this is a Contractor 

responsibility, FLH personnel should be aware of the development process so that they may 

offer general guidance to the Contractor on required plan elements.

Unless the Contractor already has a documented company quality control plan, it may be helpful 

for the Project Engineer to discuss the content and level of detail required for an acceptable 

CQCP. Generally, the plan should include a three to six-page discussion of the basic who, 

what, where, when, and how, with an additional two to four pages of detailed information for 

each major category of work. This is not including supplemental materials such as 

subcontractor/supplier plans, certifications, test data, and personnel résumés. Also, if the 

CQCP contains a lot of repetition of contract specifications, meaningless platitudes from quality 

textbooks, and other fluff, its necessary length will be longer.

Quality and the processes that deliver quality is a somewhat open-ended concept. No matter 

how much detail is in the plan, it can always be argued that more could be, or should be 

included.

Appendix 7A.1 contains an example CQCP and examples of good, fair, and poor CQCP 

elements.

7.3.2.1 Organizational Structure

One of the first issues a Contractor, or any organization, must face when designing its QC/QA 

procedures, is how these systems will relate to, and impact, its organizational structure. 

 Separate Quality Staff. Testing is a very specialized function. A Contractor may elect to 

hire a separate staff or subcontractor to perform testing and to generate the documentation 

required by FAR Clause 52.246-12 and Section 153 of the Standard Specifications. But the 

testing and documentation are only part of the inspection system required by the contract. 

Having personnel separate from production personnel perform the entire inspection system 

would mirror the traditional relationship between contractor and agency organizations. If a 

contractor has a separate quality staff, it is important to define the relationship between 

those personnel and the production organization. Questions to consider include:

o What will be the disposition of failing tests/inspections? 

o Who will have authority to order production ceased? Under what circumstances? 

o What will be the conditions of restarting production? 

 Combined Staff. Quality management experts generally discourage separating quality 

control personnel from production personnel. It pits one part of the organization against 

another. This built-in adversity is seen as both inefficient and requiring additional staff. 

Ideally, quality control should be achieved by developing an organizational culture that 

encourages quality - a culture that is embraced by everyone in the organization.* However, 

for an organization transitioning from a traditional to a quality management system, 

superimposing a QC/QA staff on its existing organization may make sense while that 

organizational culture is being developed.
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Contractor Quality Control Plan (CQCP) 7-7

* ISO 9000 and other recognized process standards invariably require an 

independent audit function to verify that the organization is performing in 

accordance with its required standards. However, this independent audit does 

not have to be included in the CQCP since FLH’s quality assurance activities 

typically fulfill this function.

There is no right or wrong approach with respect to this organizational issue. It is, however, 

important that the agency not force a conservative approach on the Contractor just because it 

feels more comfortable with the higher levels of redundancy and control implied by a separate 

quality organization. The agency pays for unnecessary redundancy through higher bid prices. 

It is important therefore to encourage the most streamlined and efficient process the contractor 

can design to deliver quality. We can always require enhancements to the process if it proves 

inadequate, but requiring the enhancements based on speculation or experience with other 

contractors on other projects is not recommended.

7.3.2.2 Process Control Testing

Testing provides a reflection of quality and the process. But only changes to the process can 

improve quality. Ideally, frequencies of quality control testing are dependent on characteristics 

of the overall process. A good process should not have to rely on extensive testing to identify 

defects in need of corrective action. In a transition environment however, when contractors are 

not used to designing comprehensive quality control systems, it may be necessary for the 

agency to provide guide testing frequencies to minimize the risk of serious deficiencies 

remaining undetected until late in the process.

It is easy to become preoccupied with testing when describing the plan. Testing is easily 

defined and leaves a clear documentation trail. But the organizational resources that actually 

will control the quality of the construction are by far, the most important part of the plan, even 

though describing these resources and procedures (the process) in writing is often difficult.

The contract may contain a listing of mandatory contractor testing, including sampling points, 

frequencies, and time limits for delivering results. This testing is intended primarily for the 

agency’s use in documenting quality assurance and accepting the work. Some contracts 

require additional testing, identified as process control testing, which is intended to provide real 

time information during the construction and production of materials to allow the contractor to 

adjust or control the process and ensure that quality assurance testing at the end of the process 

will indicate compliance. Whether or not the contract specifies process control testing, it is up to 

the Contractor to address whether or not it is needed in the CQCP.

The standard acceptance plan in Section 106.05 of the contract is used for most pavement 

structure and structural concrete items. While much of the work is not accepted statistically, the 

criteria on which the statistically based plan is structured are consistent with the intended 

acceptance criteria of all work. In general, these criteria are as follows:

 The plan is based on an acceptable quality level (AQL) of 5 percent defects. That is, if 

production is uniform and no more than 1 out of every 20 quality assurance tests fails, the 

process can be assumed to be in control and additional process control testing (and other 

actions) is not indicated. 
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7 Contractor Quality Control Plan (CQCP) -8

 If defects rise to 10 percent (1 out of 10 QA tests fail), that suggests additional process 

control testing and other actions may be indicated.

 If defects rise to 15 percent or higher (more than 1 out of 6 QA tests fail), that is 

approximately equivalent (depending on sample size) to a pay factor of less than 0.90. This 

indicates serious process control problems, and the Government may require that process 

to be suspended while the Contractor modifies the process control procedure (including 

testing) to address the problem.

In addition to those tests specifically required by the Contract, the Contractor is required to 

tabulate in the CQCP all process control testing that will be performed to ensure that the work 

and material comply with the terms of the contract when they are ultimately subjected to quality 

assurance testing. (Note that although process control testing is listed first in Subsection 

153.02 of the Standard Specifications, it may make more sense to suggest to the Contractor 

that it not complete or finalize the related section in the CQCP until after the inspection/control 

procedures are defined.)

7.3.2.3 Inspection/Control Procedures

This is the narrative portion of the CQCP, and is the hardest part of the plan to develop and 

describe. Most organizations are used to intuitive processes, or processes that have evolved 

over time to reflect the personalities and desires of supervisory personnel. Describing and 

documenting these processes is often difficult. There is almost no physical limit to the length 

and detail included in this section. Every requirement in the Contract could precipitate a 

paragraph or more of detailed process control procedures to describe how that requirement will 

be fulfilled. From a practical point though, this is excessive.

For most typical FLH construction projects, the narrative covering inspection/control procedures 

should adequately address the quality process basics in two to four pages for each phase of 

construction (see below). This does not include testing schedules, certifications, personnel 

résumés, and other attachments. In addition, if the narrative includes excessive redundancies, 

paraphrasing of the contract, and other extraneous materials, that will add to the required 

length. The fact that many of the detailed requirements of the contract are not specifically 

addressed in the CQCP does not mean they can be ignored. The contract itself is the 

foundation for the outcomes expected from the CQCP. 

The failure of the Contractor to inspect and control any aspect of the construction process, 

whether or not it is specifically addressed by the CQCP, is a basis of adverse action under the 

contract, which may include required enhancement to the CQCP itself.

7.3.2.3.1 Categories of Construction

A typical contract may be divided into three to five categories depending on the nature of the 

work and the organizations performing the work. These categories are referred to as phases in 

Subsection 153.02 of the Standard Specifications, but, to avoid confusion with sequential 

phases described below, they are referred to as categories here. For example, stakeout, 

erosion control, clearing, excavation, embankment, drainage, and slope protection might be 

grouped together as a single category of Grading and Drainage. 
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Contractor Quality Control Plan (CQCP) 7-9

Sometimes how categories are defined is influenced by which subcontractors or crews do the 

work, since each may have its own organizational relationships. It should be left up to the 

Contractor to group items of work in logical categories to facilitate the development of the 

CQCP. Other typical categories may include:

 Pavement Structure

 Structures

 Masonry

 Safety Appurtenances

 Seeding and Landscaping

 Permanent Traffic Control

 Temporary Traffic Control

7.3.2.3.2 Preparatory, Startup, and Production Phases

The Standard Specifications require each of these three sequential phases to be addressed 

separately. So for five categories of construction, a five by three matrix is generated, which 

constitutes the inspection/control part of the CQCP.

The preparatory phase includes evaluation of equipment, materials, and other resources prior to 

work being started. It also involves comparing contract requirements with training and other 

needs.

Startup includes the additional management, training, and inspection resources usually needed 

when a new operation is started.

Production addresses the routine quality control resources necessary after the process is 

established.

7.3.2.3.3 Who, What, Where, When, and How?

For each category and phase of the operation, the CQCP should answer these questions as 

they relate to both the category and phase:

 Who will be responsible for quality control during the operation? The quality control 

technician or supervisor may be assigned responsibility for testing and documentation and 

perhaps even training and monitoring of startup. As the operation moves toward production 

however, foremen or other supervisory personnel will probably be assigned increasing 

responsibility. If the management official is too high in the organization - say the overall 

project superintendent - then it is less likely he/she will have the time to perform detailed 

quality control functions. In that case, the CQCP should specifically identify subordinate 

personnel.

 What will that person do to ensure contract compliance? What authority will the person 

have over operations? What portion of the time the operation is in progress will the 

identified person actually be present to perform quality control responsibilities? Testers and 

inspectors cannot control quality if their responsibilities are limited to testing, measuring, and 

documentation. What should address not only personnel, but also materials and equipment 
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7 Contractor Quality Control Plan (CQCP) -10

used in the construction. These items often have stated or implied contract requirements, 

and the quality control system must verify that those requirements are met.

 Where will these activities be performed? Will optional process control testing be 

performed onsite, or at a commercial laboratory? Will manufactured materials be inspected 

at the plant, at the Contractor’s facility, or at the site of work? Will the equipment be 

inspected at the yard, or will inspections be performed at the site? 

 When will these activities be performed? The earlier quality control activities are 

performed, the more latitude the Contractor has in dealing with problems. However, when 

activities are performed too early, there is a risk of unforeseen changes or glitches prior to 

actual construction. When will test results be available? This is a key component of the 

CQCP, which determines largely how responsive a Contractor can be to addressing 

defective work. 

 How will inspections be performed? Using a standard checklist? Using the 

specifications themselves (quality assurance criteria), etc.? The more generalized and 

vague the inspection procedures are, the more likely they will not be consistently effective. 

However, not having a checklist is not a cause for disapproving a quality control plan, unless 

a checklist is specifically required.

The CQCP should minimize any parroting or paraphrasing of requirements in the contract, 

and should avoid simply promising to comply with the contract. These kinds of statements 

and assurances add little value. The CQCP must go beyond the contract requirements and 

address the Contractor’s organizational process for consistently delivering those 

requirements.

7.3.2.4 Subcontractors and Suppliers

When subcontractors and suppliers (other than suppliers of commercial items) provide part of 

the work, then the CQCP needs to be clear whether their quality control responsibilities will be 

independent, or a part of the prime contractor’s responsibilities. If they are independent, then 

the subcontractors or suppliers must develop their own quality process and submit it for 

approval through the prime. Otherwise, the prime must address how it will monitor and verify 

subcontractor and supplier quality as a part of its CQCP. In either case, the prime is 

contractually responsible for all the work, but being contractually responsible is not the same as 

having an active role in the quality delivery process.

7.3.2.5 Manufactured Materials

An important part of the CQCP is the process for verifying that manufactured materials comply 

with the requirements of the contract.

 Commercial Items - These are materials manufactured and sold to the general public, as 

opposed to materials made to the unique specifications of the agency. For most commercial 

items, the contractor’s responsibilities are limited to verification that the materials are as 

required or permitted in the contract, and that the delivered materials are in fact those 

approved materials. 
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Contractor Quality Control Plan (CQCP) 7-11

 Non-commercial Items - These are materials manufactured offsite, but specifically to 

agency specifications for a project. CQCP coverage for non-commercial items should be a 

separate document from the manufacturer, or the manufacture of those items should be 

included in the CQCP. Like critical commercial items, critical non-commercial items may 

have specific QC/QA requirements in the contract.

7.3.2.6 Records and Documentation

While good documentation is often a reflection of good quality control, documentation is not the 

same thing as quality control. Documentation should be the minimum necessary to 

demonstrate that the Contractor is producing work and using materials and equipment of 

acceptable quality.

7.3.2.7 Personnel Qualifications

While some contracts may specify qualifications for Contractor quality control and testing 

personnel, the initial judgment as to whether a given person is or is not qualified is generally left 

to the Contractor. However, during contract administration (see Section 7.3.4), the Project 

Engineer may be more assertive in monitoring the qualifications of these personnel. 

7.3.3 ACCEPTANCE OF THE CQCP

See Exhibit 7.3-B for an example CQCP acceptance letter.
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7 Contractor Quality Control Plan (CQCP) -12

Exhibit 7.3-B Example CQCP Acceptance Letter
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Contractor Quality Control Plan (CQCP) 7-13

7.3.3.1 Minimum Necessary

The CQCP is accepted based on whether it addresses the requirements of the contract, not on 

whether the agency official accepting it believes it is comprehensive enough to ensure quality.

When evaluating a CQCP, consider the following:

 Does the plan address each category of work (see Section 7.3.2.3.1)? 

 For each category, does it address the preparatory startup, and production phases (see 

Section 7.3.2.3.2)? 

 For each category and phase, does it address who, what, where, when, and how questions 

(see Section 7.3.2.3.3)? 

CQCPs are typically conditionally approved, based on the Contractor’s ability to demonstrate 

that the required Contract compliance can be, and is achieved. It is not determined prior to 

construction whether the CQCP will, or is likely to, yield acceptable quality work.

The CQCP is not just a promise or assurance that work will be performed in accordance with 

the Contract requirements. The Contractor has already given those assurances when signing 

the Contract. Simple repetition adds nothing to these assurances. However, it may make 

sense for the CQCP to repeat or paraphrase some contract requirements, particularly when 

necessary to identify how specific responsibilities and actions will be carried out. In reviewing 

CQCPs that are wordy, it may be helpful to highlight those items that do not repeat what is 

already known.

7.3.3.2 Incomplete/Imperfect Plans

If the CQCP is incomplete to the point that it conveys little or no useful information with respect 

to the Contractor’s quality process, the plan should not be accepted. A rejection letter should 

specifically detail the major reasons for the rejection, and advise the contractor that the work 

related to plan deficiencies may not begin until an acceptable plan is submitted.

7.3.3.3 Conditional Acceptance

If the plan is apparently submitted in good faith, but numerous key information items are 

missing, the plan may be accepted and work permitted to begin on the condition that the 

Contractor will supplement the plan with the missing information within a specific time frame. 

Conditional acceptance is especially appropriate if most of the deficiencies in the plan relate to 

work that is not scheduled to begin for several weeks or months.

7.3.3.4 Partial Plans

It is possible that subcontractors, suppliers, and overall responsibilities for some latter phases of 

the construction will have not been arranged at the time the prime is ready to begin work on the 

initial phases. It is permissible for the Contractor to submit, and the agency to accept, a partial 
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7 Contractor Quality Control Plan (CQCP) -14

CQCP. However, the acceptance letter should make clear that the Contractor may not begin 

work not covered by the plan and the agency will not perform quality assurance, accept, or pay 

for work not covered by the plan until the plan is supplemented to cover that work. 

7.3.4 CONTRACT ADMINISTRATION

7.3.4.1 Agency Role Responding to Problems

In a quality management environment, agency personnel should seek to minimize their role in 

quality control procedures. This doesn't mean they should be passive, stay in the office, or 

avoid contact with the construction. They should instead focus on the contractor’s process.

Ultimately, random or spot checks should substitute for comprehensive inspection. But getting 

to this minimal agency role may be a transitional process. Initially, relatively high levels of 

agency inspection may be necessary to validate the effectiveness of the Contractor’s quality 

control process. When problems occur, their seriousness should be clearly conveyed to the 

contractor. If agency inspectors are only making random checks and defective work is 

occasionally found, then additional defective work may remain undetected. Deficient contract 

performance is an indication not only of work that must be corrected or replaced; it is an 

indication of a failure of the CQCP itself, which must be corrected (i.e. the process must be 

corrected) as a condition of the work in question continuing. While the addition of agency 

inspectors and control efforts may result in somewhat increased quality work and less rejection,

this responsibility (for inspection) is really the contractor's and such a solution is therefore not 

consistent with the contract.

Deficient work that is chronic (more than isolated) is evidence that the CQCP is not effective, 

and improvements to the plan should be required. Likewise when the agency is compelled to 

increase its inspection levels to compensate for poor contractor quality control, that also is 

evidence that the CQCP is not effective.

It is important to distinguish between the role of the agency inspector as a quality assurance 

person and its role as a provider of the technical information necessary to layout or build the 

work. The Contract terms often require information to be provided to the Contractor. They may 

require onsite approvals of layouts, or specific authorization for certain facets of the work. They 

typically require agency personnel to measure work for payment. These are activities beyond 

the subjects of quality control and quality assurance. Agencies may have to accommodate 

these time-consuming demands regardless of the effectiveness of the CQCP. 

7.3.4.2 Defective Work

In a traditional program, agency inspectors are expected to identify significant quantities of 

defective work and order that work removed or corrected. In a quality management program, 

the Contractor may identify defective work, but if no defective work is identified, that is not 

necessarily an indication of a poor inspection system. Ideally, if the process is acceptable, there 

should be little or no defective work to identify. Remember Deming's No. 3 of 14 points -

inspection cannot be relied on to achieve quality, it must be built into the process. The FAR’S 

reference to an inspection system (in Clause 52.246-12) is perhaps a confusing choice of 

words. The requirement is not about inspection per se, but about an organizational process to 

deliver quality.
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Contractor Quality Control Plan (CQCP) 7-15

7.3.4.3 Contractor Personnel Problems

It is tempting sometimes to focus on contractor personnel problems as the root of quality control

process deficiencies. Although the Government has a right, under FAR Clause 52.236-5, 

Material and Workmanship, to order the removal of careless, incompetent, or otherwise 

objectionable contractor employees, this action should be considered a last resort. The Project 

Engineer in evaluating the quality control process should focus on the process, not the people, 

to the extent possible. Ideally it should be the Contractor’s management personnel who 

recognize the need to remove or replace personnel; or to reorganize responsibilities and 

authorities on a given project. When all else fails, and there is a clear lack of responsiveness, 

or evidence of bad faith on the part of Contractor personnel, the removal option should be 

considered.

7.3.4.4 Contractor Evaluation

Deficiencies in the CQCP process directly relate to the Contractor Evaluations required by FAR 

Clause 36.201, Evaluation of Contractor Performance. See Section 12.2 for details of the 

evaluation process.
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7-16 Record and Report Preparation

7.4 RECORD AND REPORT PREPARATION

7.4.1 GENERAL

This section addresses record preparation and reporting requirements for a typical construction 

project. Additional reports may be considered necessary for the proper administration of 

projects with unique features, or to satisfy Division-specific needs.

A uniform filing system should be established by each Division and used in the construction field 

offices. Uniformity in filing will simplify the training of field office personnel and reduce training 

time upon reassignment to other projects. A uniform filing system will help other FLH personnel 

who have a need to review or check project files.

Project records must be maintained properly and be readily available when needed. Much 

reporting is done with standard forms. Many of the more common forms are listed and their 

uses described throughout this manual. Some forms are made mandatory by the FAR. Special 

forms to meet special needs may be developed by the Project Engineer. A list of available 

forms should be available from the Division office. This list should include the form number, title 

or purpose, frequency of submission, distribution, and number of copies.

Instructions for record preparation and reporting by the Project Engineer are also included in the 

FLH Field Materials Manual and in Division administrative and technical manuals.

7.4.2 PROJECT DIARIES AND INSPECTOR’S DAILY REPORTS (IDR’S)

7.4.2.1 Project Diaries

It is mandatory that diary records be kept for each project and filed with other records when the 

project is complete.

The Project Engineer must maintain a diary and appropriately sign the daily entries. If the 

Project Engineer is absent from the project, daily entries must be made and signed by the 

person in charge during the absence.

Diary entries should be factual, concise, complete, and legible. Entries should avoid vague 

generalizations. For example, instead of simply noting “Contractor operations remain 

inefficient,” state why they are inefficient and how long they have been that way. If there is a 

dispute in, say, interpretation of the specifications, try to express both (Government’s and 

Contractor’s) points of view. When a decision is made, or agreement reached on further action, 

state what the outcome was. If no agreement was reached, state what instructions were given 

to the Contractor. If an opinion is included, identify the statement as an opinion, not fact.

It is intended that information recorded in the diaries and on the Inspector’s Daily Report be of 

sufficient detail so that the events can be reconstructed later as they actually happened. On 

projects where the Contractor is required to maintain records of equipment, personnel and 

construction operations, it is not always necessary for FLH personnel to duplicate those records. 

However, the Project Engineer should establish a process of reviewing, endorsing, and 

providing feedback on such Contractor-produced records.
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Record and Report Preparation 7-17

The Project Engineer may find a voice recorder helpful, either for recording notes to be used at 

the end of the day in making diary entries, or for recording events that can later be transcribed 

into the diary and signed by the Project Engineer. If this occurs, there should be a notation in 

the diary or in the transcription.

The use of a computer to generate the diary is the standard, provided that a hard copy is 

generated, signed, and filed at the end of each daily entry. In the event of a dispute and 

litigation, it is important to clearly establish who made the entry, and when it was made.

Federal Regulations generally allow inspection of public records, such as FLH diaries, by the 

Contractor and even the general public. All entries should be made as if they will eventually be 

seen by the Contractor and others involved in the contract. Requests to inspect diaries or other 

records should be referred to the COE. Depending on the circumstances and Division 

procedures, the COE may authorize inspection and copying of limited records in the project 

office; or the requester may be required to make a written request to the Division pursuant to the 

Freedom of Information Act (FOIA). Of particular concern, however, are requests by a 

subcontractor or contractor that is in a dispute with another subcontractor or contractor. FLH 

may be obligated to protect privacy type information provided by a company doing business with 

the Government.

Unless otherwise directed, field measurements and notes for documenting monthly progress 

estimate quantities should not be recorded in the project diary.

Diaries should be considered an official Government document and must be turned in with other 

project records at the conclusion of a project. This also applies to any retained voice 

recordings.

Daily diary entries should include the following as appropriate, plus any additional pertinent 

information:

 Date and weather conditions.

 Project Engineer’s name and hours worked.

 Names of project staff and hours worked.

 Names of visitors to the project.

 Construction work in progress, unless otherwise covered by Inspectors Daily Reports 

(IDRs). See Section 7.4.2.2. At a minimum, this should include a list of the equipment and 

labor force being used on each construction activity, and where and what the activity is.

 Comments on the progress of operations as compared to the Contractor’s approved 

schedule.

 The substance of important conversations with the Contractor concerning conduct, 

progress, changes, interpretation of specifications, and similar details.

 Comments on construction safety hazards and corrective measures as appropriate.

 Discussion of erosion control and other environmental concerns as appropriate.
Quality Control/Quality Assurance Inspection March 2009

7-18 Record and Report Preparation

 Information concerning accidents occurring on the project or incidental to the construction 

work.

 Comments on traffic control and signing as appropriate.

 Any information not covered in other notebooks that might have a bearing in case of future 

disagreement, such as difficulties encountered in construction and their causes, delays 

caused by breakdowns of equipment, comments relative to improper use of equipment 

reflecting inefficient operations by the Contractor, etc.

The best record will be produced by the Project Engineer who looks ahead at potential 

problems, and prepares for those problems. Such a record would include:

 diary notes on equipment or material moved to the project for use, 

 subsequent actual use of this equipment or material, 

 pertinent conversations, 

 preparatory or production work on items that may be deleted or reduced in the future, and

 situations that may lead to possible future disputes. 

The record should also include all additional information that could help the Government 

evaluate a claim for additional compensation or time. 

7.4.2.2 Inspector’s Daily Report (IDR) or Diary

The project staff should fully document the Contractor’s construction operations. The 

Inspector’s Daily Record of Construction Operations may be used. A blank copy of this form is 

provided in Exhibit 7.4-A. This form will provide a concise, readily retrievable record of 

equipment, time, and work hours for each significant construction operation underway. The 

record will facilitate verification of the Contractor’s cost in connection with any equitable 

adjustments or claims.

7.4.3 PHOTOGRAPHS

Photographs are an important part of the project records. They serve to document the record 

with respect to slides, cave-ins, floods, and other unusual occurrences; actual conditions when 

a contractor alleges Differing Site Conditions; unusual construction features or practices; 

accidents involving death, personal injury or property damage; encroachments within the rightof-way; and other such occurrences and conditions. They are useful in illustrating reports on

experimental features and unusual construction practices, final construction reports, and other

reports. They are invaluable as evidence in case a controversy develops that results in 

litigation. They are especially useful when a construction contract encompasses a long period 

of time. As memories fade and Project Engineers are transferred to other projects or retire, 

photographs provide direct evidence of the conditions that existed at the time the dispute arose. 

The old adage that “a picture is worth a thousand words” applies here.

In order to best serve the intended purpose, a photographic history of all construction projects 

should be made. Photographs should be taken of the construction site before construction 

begins, during each stage of construction as it progresses, and of the completed project. For 

example, during a project on which major excavation is to be accomplished, photographs should 
Quality Control/Quality Assurance Inspection March 2009

Record and Report Preparation 7-19

be taken on a regular basis (perhaps as often as once a week) to document progress made by

the Contractor. Such photographs should be taken from the same location and the camera 

should be aimed at the same reference point in order that a person looking at the pictures can 

actually see the progress, or lack of progress, which was made by the Contractor during a 

certain period of time.

If a project is of sufficient length, several reference points should be chosen by the Project 

Engineer from which photographs can be taken during the course of a project. Special 

consideration should be given to those areas along the project length where experience has

shown that difficulties may be encountered. For example, if there are unusual rock formations 

that might be encountered as excavation progresses, that site should be chosen and 

photographs should be taken on a regular basis.

In addition to photographs taken from specified reference points on a regular basis, 

photographs also should be taken immediately after unusual occurrences and before unusual 

conditions are disturbed. The Project Engineer and all inspectors should have, or have easy 

access to a camera at all times during construction. The use of these resources should be 

emphasized by the Project Engineer.

Clarity and good composition are very important, as is proper identification. In some cases, it

may be appropriate to place an individual or object beside the unusual condition to demonstrate 

the relative size of the condition. The identification record for each photograph should include

the location from which the picture was taken (including references to project stations if 

applicable), time of day and date taken, and name of photographer. This information is 

particularly important for photographs that may be used as evidence in legal proceedings.

The photograph identification record should be organized so that all photographs can be easily 

located, and should be maintained as a part of the project filing systems.
Quality Control/Quality Assurance Inspection March 2009

7-20 Record and Report Preparation

Exhibit 7.4-A Inspector’s Daily Report
Quality Control/Quality Assurance Inspection March 2009

Record and Report Preparation 7-21

Exhibit 7.4-A Inspector’s Daily Report (Continued)
Quality Control/Quality Assurance Inspection March 2009

7-22 Contract Inspectors

7.5 CONTRACT INSPECTORS

7.5.1 GENERAL

The number and complexity of FLH construction contracts continues to increase yearly. At the 

same time, the number of available Federal employees is not increasing. This situation is 

creating a gap between the needs of FLH and the available resources. To fill this gap, certain 

contract administration support functions that are not inherently governmental, such as routine 

inspection and documentation, are being contracted out to private sector firms.

This section describes the duties that may be assigned to contract inspectors (CIs), their 

authority, their interactions with the construction contractor, and the duties and responsibilities 

of the Project Engineer with respect to the CI.

7.5.2 CONTRACT INSPECTION CONTRACT (CIC)

Planning and Programming (P&P), in conjunction with Construction, is responsible for initiating 

a contract inspection contract (CIC) with a qualified A&E or Technical Services firm to provide 

support services to FLH employees in administering the construction contract. Generally the 

services will be performed by contract inspectors (CIs) assigned to the construction project for 

the duration of the need. The CIC describes several standard levels of expertise for the CIs. 

For example, a requirement for the highest level CI might be that the individual holds a NICET 

Level IV certification. Also listed in the CIC are the various notice requirements for obtaining 

CIs and releasing them from a project. Any equipment requirements are also provided.

Prior to obtaining proposals from the prospective firms, P&P, in conjunction with Construction, 

estimates the number of CIs needed on future projects, and the duration of those needs. The 

project advertisement schedule is a tool used in this analysis. The Project Engineer may be 

requested by the COE to provide input into the process. Other than this, the Project Engineer 

will most likely have no other involvement with procuring the CIC. However, the Project 

Engineer should ensure that a copy of the CIC is available in the project office for reference and 

for monitoring the CI’s performance.

Once the CIC is executed, it also establishes the hourly compensation rates, both regular and 

overtime, for the various levels of CIs, and the per diem rates should FLH request assistance in 

a remote location. Compensation rates include firm’s overhead, profit, insurance, and 

peripheral expenses, in addition to the actual salary paid the CI.

7.5.3 TASK ORDERS

Once the CIC has been executed, the COTR will be responsible for the day-to-day management 

of the CIC. Normally the COTR will be a COE or other designated individual from the 

Construction Branch. The COTR will perform or coordinate such functions as issuing task

orders to obtain CIs, monitoring the performance of the firm and approving invoices from the 

firm. The Project Engineer will be asked to assist the COTR in such duties, as described below. 

As the construction projects on which the CIs will be needed are awarded, the Project Engineer 

may be asked how many CIs will be needed and of the expected timing and duration of the CI’s
Quality Control/Quality Assurance Inspection March 2009

Contract Inspectors 7-23

assignment. Or the COE, with the Project Engineer, will review the individual project needs to 

determine the number of CIs needed. Some questions to consider when determining the 

number of CIs include:

 How many shifts?

 How many different operations and their locations?

 How many FLH employees (including Professional Development Program participants and 

Cooperative Education participants (CO-OP’s)) will be available?

 Will weather affect the operations?

Once the need for a CI has been determined, a CI task order will be prepared by the COTR (or 

designated individual from the Construction Branch) and issued to the firm by the CO. The 

order should specify the expected duration of the assignment so the firm can plan accordingly.

Normally, the Project Engineer and/or COE will request and review the résumé of each 

proposed CI, and may schedule an interview with the CI. This interview is to determine 

information that may not be readily apparent from the résumé, such as whether the proposed CI 

has the communicative skills and technical knowledge to perform the required duties. In some 

cases, the CIC may permit or require the firm to provide more than one proposed CI for each 

request, with the Government to choose the CI who would meet its needs through evaluation of 

the résumés and interviews. Interviews should be held to the minimum number necessary to 

identify a qualified CI. Unlike interviews to hire a Federal employee, there is no obligation to 

interview and rank all applicants, and then pick the most qualified. The COTR will inform the 

firm of the acceptance of a proposed CI. Regardless of the terms of the CIC, FLH always has 

the option of rejecting or removing CIs who, after being assigned, cannot perform to the 

required level of competence, or whose résumés falsified or misrepresented their qualifications.

7.5.4 CI DUTIES

The CIC outlines the duties that will be expected from the CI. Normally, this includes inspection 

duties to confirm and document that the construction contractor is complying with the terms of 

its contract with the Government. The FLH Project Engineer must review these duties with any 

CI assigned to the project.

The CI may not provide direction to the construction contractor, or take any other action that 

could be construed as committing the Government. The CI may not order work, including work 

provided for in the construction contract that requires a separate authorization from the 

Government (e.g. sub-excavation or erosion control devices). The CI must report the facts and 

circumstances to the Project Engineer in a timely manner. The Project Engineer will then 

provide direction to the construction contractor, or authorize the CI to convey information to the 

contractor. The CI may not, in interacting with the construction contractor, be required to make 

subjective judgments and interpretations as to the construction contract requirements or 

whether the construction contractor is in compliance with those requirements. Such judgments 

and interpretations shall be referred to the Project Engineer before being conveyed to the 

construction contractor.

The CI may be assigned to take measurements required by the contract, and complete 

inspection reports documenting the details of the construction Contractor’s work. The CI may 

communicate to the contractor the results of measurements and other quantified data from the 

contract and other sources intended to be available to the construction contractor. This includes 
Quality Control/Quality Assurance Inspection March 2009

7-24 Contract Inspectors

communicating to the construction Contractor that the results of measurements and inspections 

indicate (without the need for interpretation) compliance or noncompliance with the construction 

contract.

Other CI duties may include assisting with the office functions (e.g. completing inspector daily 

reports, maintaining the materials register, assisting in completing the monthly receiving report, 

etc.).

7.5.5 PROJECT ENGINEER DUTIES

The Project Engineer should be sure that construction contractor management personnel 

understand who the CIs on the project are, what they will be doing, and the limits of their 

authority.

The Project Engineer assists the COTR in administering the CIC. Duties include monitoring the 

individual and collective performance of the CIs to ensure the requirements of the CIC are met, 

processing invoices, and performing similar activities as described in Sections 7.5.6 through 

7.5.10.

7.5.6 CI TIME AND ATTENDANCE

Each CI is responsible for keeping track of his/her time and attendance (T & A) on the project. 

Every day, the CI should report his/her hours to the Project Engineer. The CI firm will most 

likely have some form of a time sheet that must be kept up to date by the CI. If there is no time 

sheet, the Project Engineer and CI can develop a form. See Exhibit 7.5-A for an example 

Contract Inspection Time Sheet – Receiving Report. At the end of each work period, the CI 

should sign the time sheet and have it countersigned by the Project Engineer. The CI then 

coordinates with its firm to ultimately send the invoice and time sheet to the Division office. 

Note that the hours of regular and overtime reported on the project time sheet do not 

necessarily correspond to the hours the firm is required to pay the employee under State and 

Federal law or its agreement with the employee (the CI). For example, CIs that report to the 

project late in the week may have already worked 40 hours on another (non-FLH) project, and 

therefore be eligible for overtime, while FLH’s card may show only regular time. Holidays or 

sick leave may be compensable per agreement with the employee, but not under the terms of 

the CIC. The firm is obligated to resolve these kinds of problems in its own administrative office. 

FLH is not obligated to honor agreements between the firm and its employees that are 

inconsistent with the terms of the CIC.
Quality Control/Quality Assurance Inspection March 2009

Contract Inspectors 7-25

Exhibit 7.5-A Example Contract Inspection Time Sheet – Receiving Report
Quality Control/Quality Assurance Inspection March 2009

7-26 Contract Inspectors

7.5.7 CI INVOICES

The CIC will specify the billing period, usually monthly. The COTR will receive the CI invoice. 

The CI firm must include with the invoice copies of the completed weekly T & A sheets as 

submitted by the CI (after being countersigned by the Project Engineer).

The COTR will compare the invoice and the inspection time sheet and forward this to the 

appropriate personnel for processing. Per diem expenses must also be verified.

The Prompt Payment Act applies to CIC invoices. The invoice must be paid within 30 days (as 

opposed to 14 days for construction contracts) after receipt by FLH, otherwise interest is due 

the firm.

7.5.8 CI PERFORMANCE AND/OR CONDUCT

Should a problem develop with the CI performance or conduct, the Project Engineer should 

contact the COE promptly. Examples of problems include:

 The CI does not demonstrate knowledge or experience of the duties assigned and/or for the 

level at which they were certified and hired.

 The CI is giving improper direction to the construction contractor without Project Engineer 

knowledge or consent.

 The CI demonstrates personal problems which affect his/her work. Examples include 

apparent substance abuse, chronic tardiness, belligerence, etc.

 The CI fails to recognize and report problems in a timely manner.

 The CI fails to maintain a professional relationship with employees of both FLH and the 

construction contractor. This means the avoidance of both fraternization and personal 

animosity, which might give the appearance of lack of objectivity in carrying out assigned 

duties.

The COE will discuss possible actions with the Project Engineer. Technically, all actions should 

be through the CI firm. FLH has no obligation to provide career counseling to CIs, or to deal 

directly with the CIs to resolve performance problems. From a practical standpoint, however, 

many minor problems can be resolved by providing feedback to the CI. The COTR should be 

kept advised on these matters. On more serious issues or when minor problems cannot be 

resolved on the project, the COE and the COTR should advise the CI firm and request that it 

either correct the problem or replace the CI.

An evaluation of the CI or the CI firm may be completed by the Division for internal purposes to 

document the performance of the CI or CI firm. 
Quality Control/Quality Assurance Inspection March 2009

Contract Inspectors 7-27

7.5.9 CI AND GOVERNMENT FURNISHED EQUIPMENT

The CIC will specify the type and amount of equipment to be supplied to the CI by the CI firm 

and by the Government. The Project Engineer should be familiar with these requirements. The 

firm may be required to furnish items such as vehicles, and safety items, such as hard hats. 

The Government may provide such things as office supplies and two-way radios and safety 

lights. When accountable Government property is assigned to a CI on other than a “day use”

basis, the CI should be required to sign for the equipment.

7.5.10 CI RELEASES AND TRANSFERS

The CIC provides a minimum notification period in which the COTR should notify the firm that a 

CI will no longer be needed. Some reasons for release include: end of the project, a winter 

shutdown or other work slow down, or unacceptable performance by the CI. The CIC may 

provide that certain kinds of unacceptable performance (such as unethical behavior or an 

intentional violation of the terms of the CIC) may be considered so severe as to waive any 

notification period requirements.

If a release is contemplated for reasons other than unsatisfactory performance, and there is 

more than one CI at the level in question, and with the needed skills on a particular project, then 

the firm should be allowed to select which CI is transferred or terminated. Likewise, if FLH 

desires to transfer a CI from one project to another, it has no contractual right to do so, except 

by ordering the firm to reduce the number of assignments on one project, while increasing the 

assignments on the other. The COTR may suggest or offer a preference as to which CI should 

be released or transferred, but the final determination should be the firm’s. This is because the 

CIC is a technical services contract, not a personal services contract. As long as the firm can 

provide the required services, the selection of the CIs should be the firm’s responsibility.

Quality Control/Quality Assurance Inspection (Appendix) March 2009

List of Appendices 7A-i

CHAPTER 7 – QUALITY CONTROL/QUALITY ASSURANCE INSPECTION

LIST OF APPENDICES

7A.1 EXAMPLE CONTRACTOR QUALITY CONTROL PLANS (CQCP).................... 1

7A.1.1 Good, Fair, and Poor CQCP Elements ...............................................................................1

7A.1.2 Example CQCP...................................................................................................................2

Quality Control/Quality Assurance Inspection (Appendix) March 2009

Example CQCP Elements 7A-1

7A.1 EXAMPLE CONTRACTOR QUALITY CONTROL PLANS (CQCP)

This appendix is to be used in conjunction with the guidance provided in Section 7.3 to assist 

FLH contractors in preparing acceptable CQCPs. 

7A.1.1 GOOD, FAIR, AND POOR CQCP ELEMENTS

Guardrail, Preliminary

Poor Fair Good

All guardrail materials will be 

checked for contract compliance 

before use. All employees are 

empowered to inspect and reject 

materials not complying with the 

contract. 

All guardrail materials will be 

checked by the QCT for contract 

compliance before use. Materials 

not in compliance will be isolated 

and rejected. Survey crew will 

layout guardrail in accordance with 

the plans before construction. 

Upon delivery of guardrail posts, & 

hardware QCT wiII check for proper 

identification, certification and

damage during shipment. Before 

scheduled construction, 

components will be reinventoried, 

checked and compared to layout 

requirements. QCT will review 

layout procedures with the 

Engineer. Will coordinate with 

survey crew on stakeout. Will 

check each stakeout for possible 

transition problems. WilI notify 

Engineer of opportunity to check. 

Guardrail, Startup

Poor Fair Good

QCT will inspect guardrail crew's 

operations during startup. Any 

deficiencies will be brought to the 

attention of the foreman. 

QCT will continuously work with 

stakeout crew and installation crew 

when operations begin, to assure a 

common understanding of contract 

requirements and 

standards/tolerances etc. 

Prior to scheduled beginning of 

installation, QCT will verify that 

stakeout has been accomplished in 

accordance with requirements. QCT 

wiII go over with foreman, a 

checklist of required quality 

characteristics. Foreman will be 

responsible for routine quality 

monitoring after startup. 

Guardrail, Production

Poor Fair Good

The QCT will periodically check on 

operations during construction to 

assure contract compliance.

The QCT will inspect installation 

operations everyday to verify 

specification compliance and 

document completion of each 

installation.

The QCT will inspect installation 

operations at least twice a day, 

verifying compliance with stakeout, 

as well as rail height, post 

plumbness, etc. The QCT [or the 

Foreman if QCT is not available] 

wiII document completed work and 

cleanup and advise the PE of such 

completed work for acceptance. 

Additional inspection/training will be 

provided if installation crew 

personnel changes or deficiencies 

are noted.
Quality Control/Quality Assurance Inspection (Appendix) March 2009

7A-2 Example CQCP Elements

7A.1.2 EXAMPLE CQCP
Quality Control/Quality Assurance Inspection (Appendix) March 2009

Quality Control/Quality Assurance Inspection 7A-3

7A.1.2 Example CQCP (Continued)
Quality Control/Quality Assurance Inspection (Appendix) March 2009

7A-4 Example CQCP Elements

7A.1.2 Example CQCP (Continued)
Quality Control/Quality Assurance Inspection (Appendix) March 2009

Quality Control/Quality Assurance Inspection 7A-5

7A.1.2 Example CQCP (Continued)
Quality Control/Quality Assurance Inspection (Appendix) March 2009

7A-6 Example CQCP Elements

7A.1.2 Example CQCP (Continued)
Quality Control/Quality Assurance Inspection (Appendix) March 2009

Quality Control/Quality Assurance Inspection 7A-7

7A.1.2 Example CQCP (Continued)

Project Administration March 2009

Table of Contents 8-i

Chapter 8 – PROJECT ADMINISTRATION

TABLE OF CONTENTS

Section Page

8.1 General.........................................................................................................................................8-1

8.2 Labor Requirements ...................................................................................................................8-2

8.3 Equal Employment Opportunity Requirements.......................................................................8-4

8.3.1 Nondiscrimination ......................................................................................................8-4

8.3.2 Affirmative Action.......................................................................................................8-4

8.3.3 Reports ......................................................................................................................8-4

8.4 Correspondence..........................................................................................................................8-6

8.5 Working Drawings.......................................................................................................................8-7

8.6 Project Status Reports ...............................................................................................................8-8

8.7 Opening of Sections of Project to Traffic.................................................................................8-9

8.8 Subcontracting..........................................................................................................................8-10

8.8.1 General....................................................................................................................8-10

8.8.2 Percent Subcontracted ............................................................................................8-11

8.8.3 Materials Supply Subcontracts................................................................................8-11

8.8.4 Small and Small Disadvantaged Business Concerns .............................................8-12

8.8.5 Miller Act..................................................................................................................8-12
Project Administration March 2009

8-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 8.2-A Contractor Payroll Checklist...........................................................................................8-3
Project Administration March 2009

General 8-1

CHAPTER 8

PROJECT ADMINISTRATION

8.1 GENERAL

This chapter provides guidance to assist FLH personnel in administering project requirements 

that are not directly related to a particular work item, but are still essential to ensuring successful 

project completion. Topics addressed include the following:

 Contractor compliance with respect to:

o Certified payrolls

o Equal Employment Opportunity (EEO) requirements

o Subcontracting requirements, including small business/DBE set asides and prompt 

payment of subcontractor invoices

 Procedures related to the handling of submittals, working drawings, and correspondence;

 Preparation of project status reports; and

 Opening sections of the project to traffic.
Project Administration March 2009

8-2 Labor Requirements

8.2 LABOR REQUIREMENTS

Contract labor compliance requirements are included in standard contract clauses. The FHWA 

Labor Compliance Manual provides some explanation and guidance. Specific problems should 

be discussed with the COE, who may decide to get advice from Legal Counsel.

The Project Engineer should monitor Contractor payrolls for prompt submission and proper 

certification. Spot checks should be made of classifications and wage rates. Exhibit 8.2-A is an 

example of a Contractor Payroll Checklist. The Project Engineer should also verify that all 

covered personnel, including owner operators, are included on a certified payroll. Covered 

personnel include all who operate equipment or perform labor in the construction of the project. 

It does not include supplier employees working at a commercial plant or delivering materials. 

Nor does it include salaried professional services personnel, such as surveyors and materials 

testers, unless their jobs are specifically included in the contract Davis-Bacon wage decision.

The preconstruction conference should include an overview of the labor and payroll reporting 

requirements, and the minutes should reflect that these items were covered.

If the Contractor does not make timely submission of certified payrolls, the Project Engineer 

may, after written notice, withhold progress payments until the Contractor complies with this 

requirement. In the case of subcontractor nonsubmission, the withholding of only the 

subcontractor’s portion of the work may be appropriate. The Project Engineer should discuss 

these actions with the COE to determine if they are necessary.
Project Administration March 2009

Labor Requirements 8-3

Exhibit 8.2-A Contractor Payroll Checklist
Project Administration March 2009

8-4 Equal Employment Opportunity Requirements

8.3 EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS

8.3.1 NONDISCRIMINATION

Discrimination on the basis of race, color, religion, sex, or national origin is prohibited by Federal 

law. The Department of Labor (DOL), Office of Federal Contract Compliance Programs 

(OFCCP), is responsible for enforcement and the imposition of civil sanctions (termination, 

debarment, etc.). OFCCP may also refer serious violations to the Justice Department for 

criminal prosecution.

FLH employees, as representatives of the contracting agency, have no formal authority to 

monitor nondiscrimination or to impose sanctions for apparent violations. However, project 

personnel should be alert to any indications of such violations and will report them through 

supervisory channels for possible referral to the OFCCP.

At preconstruction conferences, FLH will emphasize that discrimination on the basis of race, 

color, religion, sex, or national origin is strictly prohibited. This emphasis should be reflected in 

the minutes of such meetings.

Any FLH employee who receives a discrimination complaint (verbal or otherwise) or observes a 

case of apparent discrimination should report the incident immediately through supervisory 

channels for resolution or referral to the OFCCP.

8.3.2 AFFIRMATIVE ACTION

Affirmative action programs to correct past discriminatory practices are permitted by the 1964 

Civil Rights Act. Monitoring and enforcement responsibilities related to affirmative action 

programs are delegated to the OFCCP.

At preconstruction conferences, FLH will emphasize the Contractor’s obligations to engage in 

an effective affirmative action program. This emphasis should be reflected in the minutes of 

such conferences.

8.3.3 REPORTS

Correspondence related to civil rights will be maintained in the field project files. Copies of all 

material will be forwarded through the COE to Construction files.

Copies of the following items should be requested from the Contractor and included in the files:

1. Notice of Subcontract Award. This is required by FAR Clause 52.222-23, Notice 

Requirement for Affirmative Action to Ensure Equal Opportunity. The notice is to be 

submitted directly to OFCCP for each onsite (but not materials supply) subcontract 

exceeding $10,000.

2. Veteran’s Employment Report VETS-100. This is required by FAR Clause 52.222-37, 

Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era. It 

must be submitted annually by September 31, to the Department of Labor.
Project Administration March 2009

Equal Employment Opportunity Requirements 8-5

3. SF 100 (EEO-1). This form is required by FAR Clause 52.222-26, Equal Opportunity. It is 

required to be submitted directly to the EEOC, Joint Reporting Committee, annually by 

September 31.
Project Administration March 2009

8-6 Correspondence

8.4 CORRESPONDENCE

All correspondence, including reports originating from the Project Engineer’s office, should be 

signed or initialed by the Project Engineer, or the acting Project Engineer.

The Contractor and others who may need to correspond regarding the project should be 

advised of the FLH names and addresses with whom we prefer they correspond. Project 

correspondence will either be delivered to the COE or Project Engineer, depending on the 

Division policy. The Project Engineer will forward to the COE copies of all incoming or outgoing 

correspondence, and will retain a copy in the project office files. When the Contractor is 

corresponding with the COE, a copy is to be provided to the Project Engineer. Correspondence 

covering matters outside the authority of the Project Engineer should be noted for the COE’s 

action. Copies of correspondence to State or county highway agencies may be furnished to the 

appropriate FHWA Division Administrator as determined by the COE.

The Project Engineer should maintain a complete list of contacts related to the project that 

identifies each contact’s name, agency or company, phone and FAX number, and relationship 

to the project. This list will expedite appropriate communication of project problems and assist 

new personnel assigned to the project.

The handling of Contractor submittals, payrolls, test reports, and other non-correspondence 

items should be in accordance with Division policy as to which Divisional branch is to receive a 

copy.
Project Administration March 2009

Working Drawings 8-7

8.5 WORKING DRAWINGS

See FAR Clause 52.236-21, Specifications and Drawings for Construction.

The contract states the time requirements for submission and approval of working drawings.

The Project Engineer should go over the Contractor’s schedule for submissions at the 

preconstruction conference so that the Government can schedule its own resources. The 

Contractor should also be advised to promptly submit information on suppliers and 

subcontractors whose work will require Government inspection and testing, particularly offsite 

inspection.

Procedures for submittal and approval of working drawings will be in accordance with Division 

policy.
Project Administration March 2009

8-8 Project Status Reports

8.6 PROJECT STATUS REPORTS

The Project Engineer is required to submit a status report of project activity on a monthly basis 

or otherwise in accordance with Division procedures. Division procedures will specify the format

and to whom the reports or information will be distributed, such as to the National Park Service

or other partner agencies. 

The Project Engineer should submit reports or update progress information only when the

project is active, unless other instructions are received from the COE. Active means some type 

of construction or construction engineering being managed by the Project Engineer is in 

progress, up to and including submission of the final construction records.

The Project Engineer may also wish to, or be directed to, prepare a weekly forecast of 

upcoming construction operations. This is mainly used on more visible, controversial projects to

keep management, the cooperating agency, and the public (through the cooperating agency) 

well informed of project issues. It may be a computer updated newsletter or notice. Its function

is to apprise all who have legitimate interest of expected traffic delays, intermediate 

completions, and similar project information. The COE will be able to furnish examples of such 

reports.
Project Administration March 2009

Opening of Sections of Project to Traffic 8-9

8.7 OPENING OF SECTIONS OF PROJECT TO TRAFFIC

There are two contractual situations where the Contractor may be required to open a partially 

completed portion of the project to public traffic.

If the opening is a part of an overall stage construction scheme that is a part of the contract

requirements, no special written order or directive is required. However, it may be prudent to go 

over the incomplete work involved and agree with the Contractor on the work remaining, and the 

Contractor’s plan to protect and maintain the completed work. Generally, the Contractor is 

responsible for maintenance of the completed work, including correcting damage caused by 

vandalism and private vehicular accidents.

If the opening is unplanned (i.e. not a requirement of the contract), the Government has a right 

under the contract (FAR Clause 52.236-11) to order an opening, but may incur some liability for 

doing so. This situation should be discussed with the COE. The liability may include increased 

construction costs to complete under traffic, and increased maintenance and possible vandalism 

costs. If the Government decides to open despite this liability, a written direction signed by a 

CO is required.

The Contractor should be clearly advised that in neither of these two cases is the Government 

accepting the partially complete work and that the Contractor’s responsibility for completing and 

maintaining the work, as appropriate, remains.
Project Administration March 2009

8-10 Subcontracting

8.8 SUBCONTRACTING

8.8.1 GENERAL

Section 108.02 of the Standard Specifications allows the Contractor to subcontract a portion of 

the work. The FAR specifically encourages subcontracting to small, small disadvantaged, and 

women-owned small businesses. However, the Contractor is usually required to perform, with 

its own organization, work amounting to not less than 50 percent of the original contract amount. 

This requirement is contained in FAR Clause 52.236-1, Performance of Work by the Contractor. 

Some contracts may specify an alternate percentage. Contracts that are Small Business Set

Asides contain FAR Clause 52.219-14, Limitations on Subcontracting, which permits a far

higher percentage of the work to be subcontracted (85% less materials). For most FLH

contracts, written consent to subcontract is not required. However, contractors and

subcontractors may be required to furnish certain regulatory and administrative items before

beginning work on a subcontract. These items are as follows:

 SF 1413 - Statement and Acknowledgement. A standard form in which the prime and the 

subcontractor certify that the standard labor provisions are included in the subcontract. This

form is required for all subcontracts involving onsite (Davis-Bacon) labor. It must be 

submitted to the Government within 14 days of award of the prime contract or within 14 days 

of the award of any applicable subcontract. A blank copy is provided in Appendix 8A.1.1.

 SF 1413S – Subcontracting Certification. This form, a supplement to SF 1413, is 

designed to document the type and amount of work subcontracted, as well as identify Small 

Business Concerns. Prices shown should be based on the actual prices in the subcontract, 

regardless of the bid prices. This form should be obtained from all subcontractors, including 

supply subcontracts, whether they involve onsite labor or not. A blank copy is provided in 

Appendix 8A.1.2.

Contracts that are awarded to large business concerns and that exceed $1,000,000 (original 

contract amount) contain a Subcontracting Plan submitted by the Contractor immediately after 

award. The goals contained in the Subcontracting Plan are contractually binding and must be 

monitored by the Project Engineer to verify that they are met. Failure to comply with these

goals may result in liquidated damages being assessed in accordance with FAR Clause 52.219-

16, Liquidated Damages - Small Business Subcontracting Plan. A contractor who is operating

under a Subcontracting Plan is required to submit periodic documentation to the Small Business

Administration through the CO, FLHO, and DOT.

 SF 294 - Subcontracting Report for Individual Contracts. This form is required to be 

submitted semiannually on April 30 and October 30, for the semiannual periods ending 

March 31 and September 30, respectively. A blank copy is provided in Appendix 8A.1.3.

 SF 295 - Summary Subcontract Report. This form is required to be submitted annually on 

October 30 covering the fiscal year ending September 30. A blank copy is provided in 

Appendix 8A.1.4.

The Project Engineer should advise the COE when the Contractor fails to submit required 

documentation, when there is apparent noncompliance with the subcontracting plan, or when 

the invoking of liquidated damages appears warranted.
Project Administration March 2009

Subcontracting 8-11

During the preconstruction conference, subcontracting requirements should be described in 

detail and the required certification forms should be discussed and made available. It should be 

made clear to the Contractor that, insofar as the Government is concerned, the prime 

Contractor is responsible for all work subcontracted and resubcontracted, and that all

subcontracts must include the appropriate provisions of the original contract.

8.8.2 PERCENT SUBCONTRACTED

In order to verify compliance with FAR Clause 52.236-1, Performance of Work by the 

Contractor, it is necessary, for each subcontract, to be aware of the amount of the original 

contract work that the prime Contractor is performing with its own forces (labor). If the prime 

Contractor’s work with its own forces is less than what is required in the contract, then 

inform the COE. Only onsite subcontracts that include Davis-Bacon labor are counted as work 

not performed by the prime. Subcontracts that involve onsite services, such as testing,

surveying and inspection, are not counted unless they include at least some Davis-Bacon labor. 

Whether they include Davis-Bacon labor or not varies from State to State. Supply-type 

subcontracts do not count; nor do hauling subcontracts unless they are subject to Davis-Bacon.

FAR Clause 52.219-14, Limitations on Subcontracting, applies only to Small Business Set 

Asides. It allows the prime to perform as little as 15 percent of the amount of the original 

contract (exclusive of materials). Generally, this percentage is so low, that as long as the prime 

has some presence on the site, including the submission of payrolls, no further documentation 

is necessary to verify the 15 percent requirement. If documentation is generated, the full 

amounts of all materials supply subcontracts (at any tier) must be deducted from the original

contract amount, and from the amounts of all subcontracts before computing the amount 

subcontracted.

8.8.3 MATERIALS SUPPLY SUBCONTRACTS

For purposes of understanding the percent subcontracted, it is important to define a materials

supply subcontract. Such subcontracts provide for the furnishing of materials that are to be

incorporated in the work, such as concrete, steel, and asphalt. Other materials, such as form 

lumber, explosives, or fuel, do not count as materials supply subcontracts. Such subcontracts 

also must be in writing before material delivery, and both parties (the Contractor and the 

supplier) must have mutually enforceable obligations under the subcontract. Usually the prime

agrees to purchase certain quantities of materials, and the supplier agrees to a specific price for

the materials. Simple price quotes or the purchase of occasional concrete from a local supplier 

to build headwalls would usually not count as materials supply subcontracts.

Traditionally, in accordance with the DOL regulations, materials supply subcontractors were

simply called “suppliers” rather than subcontractors. That remains true in all DOL laws and 

regulations. However, the FAR defines suppliers as a form of subcontractor, not a separate

entity. This is important when applying DBE, Prompt Payment, and other non-Labor provisions 

in the contract.
Project Administration March 2009

8-12 Subcontracting

8.8.4 SMALL AND SMALL DISADVANTAGED BUSINESS CONCERNS

The FAR encourages small business and small disadvantaged business subcontracting. In 

order to be a disadvantaged business or a woman-owned business as defined by the FAR, the 

company must also be a small business. Whether a company is a small business is determined

by standards set by the Small Business Administration (SBA) and published in Part 19 of the

FAR. A company’s status also depends on the nature of the work it is doing. A company might 

be a large business as a general highway contractor, but a small business as an asphalt

supplier. Also, the Federal Aid regulations put additional limitations on the definition of “small 

business” that do not apply to Federal contractors. These additional definitions are such that a

company could be excluded from small business programs (like DBE subcontracting) on

Federal Aid projects, but still be eligible on FLH projects. Therefore, the lack of a State 

certification may not give an accurate indication with respect to eligibility under Federal 

contracting (FAR) rules. FHWA 1775 asks for information on the subcontractor’s small business 

and socio-economic status. This is done to ensure the subcontractor’s responses are 

consistent with the regulatory requirements and definitions. The information furnished should 

be checked by a designated specialist in the Division office. 

8.8.5 MILLER ACT

Occasionally, subcontractors or even individuals may contact the Project Engineer about unpaid 

bills for labor, materials, or services furnished to the project, and may request help in collecting 

payment from the Contractor or subcontractors. Sometimes the Project Engineer is asked to 

enforce payment or to withhold funds from the Contractor to make up the nonpayment. There is 

no specific authority in law for the Government to take either of these actions under normal 

circumstances. The only direct assistance the Government can provide is to bring the reported 

nonpayments to the attention of the prime Contractor and its bonding company. Additional 

information regarding Prompt Payment and false certifications is provided in Section 9.5.5 of 

this manual. 

The Payment Bond, required by the Miller Act, protects most subcontractors and individuals 

furnishing labor, materials, or services, just as a mechanics lien protects companies in the 

private sector. These subcontractors and individuals cannot put a lien on parts of the project, or 

repossess items. If the prime does not immediately resolve non payment issues with their sub 

contractors and suppliers, the Project Engineer should report this to the COE.

The Miller Act payment bond covers subcontractors and suppliers of material who have direct 

contracts with the prime Contractor. These are called first-tier claimants. Subcontractors and 

material suppliers who have contracts with a subcontractor, but not those who have contracts 

with a supplier, are also covered and are called second-tier claimants. Anyone further down the 

contract chain is considered too remote and cannot assert a claim against a Miller Act payment 

bond posted by the Contractor.

Appendix 8A.2 contains additional information regarding the Miller Act, including:

 pertinent parts of the law itself, a copy of which should be provided to subcontractors and 

suppliers alleging nonpayment from the prime;

 an example of a letter advising a subcontractor or supplier of its rights under the Miller Act; 

and
Project Administration March 2009

Subcontracting 8-13

 an example of a letter informing a prime contractor of a nonpayment complaint filed by one 

of its subcontractors.

Project Administration (Appendix) March 2009

List of Appendices 8A-i

CHAPTER 8 – PROJECT ADMINISTRATION

LIST OF APPENDICES

8A.1 SUBCONTRACTING FORMS.............................................................................. 1

8A.1.1 SF 1413, Statement and Acknowledgement ......................................................................2

8A.1.2 FHWA 1775, Notice of Subcontract Award.........................................................................3

8A.1.3 SF 294, Subcontracting REport for Individual Contracts ....................................................4

8A.1.4 SF 295, Summary Subcontract Report...............................................................................8

8A.2 MILLER ACT...................................................................................................... 11

8A.2.1 Miller Act Provisions..........................................................................................................12

8A.2.2 Example Miller Act Letter to Subcontractor ......................................................................14

8A.2.3 Example Miller Act Letter to Prime Contractor..................................................................15

Project Administration (Appendix) March 2009

Subcontracting Forms 8A-1

8A.1 SUBCONTRACTING FORMS

This appendix contains blank copies of the following forms:

 SF 1413

 SF 1413S (supplement to SF 1413)

 SF 294

 SF 295

Be sure to visit the GSA Forms Library to verify that the most current/updated versions of the 

standard forms are being used.

Additional information regarding the use of these forms is provided in Section 8.8.
Project Administration (Appendix) March 2009

8A-2 Subcontracting Forms

8A.1.1 SF 1413, STATEMENT AND ACKNOWLEDGEMENT
Project Administration (Appendix) March 2009

Subcontracting Forms 8A-3

8A.1.2 SF 1413S, SUBCONTRACTING CERTIFICATION
Project Administration (Appendix) March 2009

8A-4 Subcontracting Forms

8A.1.3 SF 294, SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS
Project Administration (Appendix) March 2009

Subcontracting Forms 8A-5

8A.1.3 SF 294, Subcontracting Report for Individual Contracts (Continued)
Project Administration (Appendix) March 2009

8A-6 Subcontracting Forms

8A.1.3 SF 294, Subcontracting Report for Individual Contracts (Continued)
Project Administration (Appendix) March 2009

Subcontracting Forms 8A-7

8A.1.3 SF 294, Subcontracting Report for Individual Contracts (Continued)
Project Administration (Appendix) March 2009

8A-8 Subcontracting Forms

8A.1.4 SF 295, SUMMARY SUBCONTRACT REPORT
Project Administration (Appendix) March 2009

Subcontracting Forms 8A-9

8A.1.4 SF 295, Summary Subcontract Report (Continued)
Project Administration (Appendix) March 2009

8A-10 Subcontracting Forms

8A.1.4 SF 295, Summary Subcontract Report (Continued)
Project Administration (Appendix) March 2009

Miller Act 8A-11

8A.2 MILLER ACT

This appendix contains additional information regarding the Miller Act, including:

 pertinent parts of the law itself, a copy of which should be provided to subcontractors and 

suppliers alleging nonpayment from the prime;

 an example of a letter advising a subcontractor or supplier of its rights under the Miller Act; 

and

 an example of a letter informing a prime contractor of a nonpayment compliant filed by one 

of its subcontractors.

For additional information, refer to Section 8.8.5. 
Project Administration (Appendix) March 2009

8A-12 Miller Act

8A.2.1 MILLER ACT PROVISIONS

CONTRACTS TO BE ACCOMPANIED BY A PAYMENT BOND FOR

PROTECTION OF LABORERS AND PERSONS FURNISHING MATERIALS

“MILLER ACT” 40 US CODE

270a.

(a) Before any contract, exceeding $25,000 in amount, for the construction, alteration, 

or repair of any public building or public work of the United States is awarded to 

any person, such person shall furnish to the United States the following bonds, 

which shall become binding upon the award of the contract to such person, who is 

hereinafter designated as "contractor": 

(1) A performance bond with a surety or sureties satisfactory to the officer 

awarding such contract, and in such amount as he shall deem adequate, for 

the protection of the United States. 

(2) A payment bond with a surety or sureties satisfactory to such officer for 

the protection of all persons supplying labor and material in the 

prosecution of the work provided for in said contract for the use of each 

such person. Whenever the total amount payable by the terms of the 

contract shall be not more than $1,000,000 the said payment bond shall be 

in a sum of one-half the total amount payable by the terms of the contract. 

Whenever the total amount payable by the terms of the contract shall be 

more than $1,000,000 and not more than $5,000,000, the said payment 

bond shall be in a sum of 40 per centum of the total amount payable by the 

terms of the contract. Whenever the total amount payable by the terms of 

the contract shall be more than $5,000,000, the said payment bond shall be 

in the sum of $2,500,000.

(b) The contracting officer in respect of any contract is authorized to waive the 

requirement of a performance bond and payment bond for so much of the work 

under such contract as is to be performed in a foreign country if he finds that it is 

impracticable for the contractor to furnish such bonds. 

(c) Nothing in this section shall be construed to limit the authority of any contracting 

officer to require a performance bond or other security in addition to those, or in 

cases other than the cases specified in subsection (a) of this section. 

(d) Every performance bond required under this section shall specifically provide 

coverage for taxes imposed by the United States which are collected, deducted, or 

withheld from wages paid by the contractor in carrying out the contract with 

respect to which such bond is furnished. However, the United States shall give 

the surety or sureties on such bond written notice, with respect to any such unpaid 

taxes attributable to any period, within ninety days after the date when such 

contractor files a return for such period, except that no such notice shall be given 

more than one hundred and eighty days from the date when a return for the period 
Project Administration (Appendix) March 2009

Miller Act 8A-13

was required to be filed under the Internal Revenue Code of 1954. No suit on 

such bond for such taxes shall be commenced by the United States unless notice is 

given as provided in the preceding sentence and no such suit shall be commenced 

after the expiration of one year after the day on which such notice is given. 

270b.

(a) Every person who has furnished labor or material in the prosecution of the work 

provided for in such contract, in respect of which a payment bond is furnished 

under this Act and who has not been paid in full therefor before the expiration of a 

period of ninety days after the day on which the last of the labor was done or 

performed by him or material was furnished or supplied by him for which such 

claim is made, shall have the right to sue on such payment bond for the amount, or 

the balance thereof, unpaid at the time of institution of such suit and to prosecute 

said action to final execution and judgment for the sum or sums justly due him: 

Provided, however, that any person having direct contractual relationship with a 

subcontractor but no contractual relationship expressed or implied with the 

contractor furnishing said payment bond shall have a right of action upon the said 

payment bond upon giving written notice to said contractor within ninety days 

from the date on which such person did or performed the last of the labor or 

furnished or supplied the last of the material for which such claim is made, stating 

with substantial accuracy the amount claimed and the name of the party to whom 

the material was furnished or supplied or for whom the labor was done or performed. Such notice shall be served by mailing the same by registered mail, 

postage prepaid, in an envelope addressed to the contractor at any place he 

maintains an office or conducts his business, or his residence, or in any manner in 

which the United States Marshall of the district in which the public improvement 

is situated is authorized by law to serve summons. 

(b) Every suit instituted under this section shall be brought in the name of the United 

States for the use of the person suing, in the United States District Court for any 

district in which the contract was to be performed and executed and not 

elsewhere, irrespective of the amount in controversy in such suit, but no such suit 

shall be commenced after the expiration of one year after the day on which the last 

of the labor was performed or material was supplied by him. The United States 

shall not be liable for the payment of any costs or expenses of any such suit. 

270c. 

The Comptroller General is authorized and directed to furnish, to any person making 

application therefor who submits an affidavit that he has supplied labor or materials for 

such work and payment therefor has not been made or that he is being sued on any such 

bond, a certified copy of such bond and the contract for which it was given, which copy 

shall be prima facie evidence of the contents, execution, and delivery of the original. 

Applicants shall pay for such certified copies such fees as the Comptroller General fixes 

to cover the cost of preparation thereof. 

270d. 

The term "person" and the masculine pronoun as used throughout this ACT shall include 

all persons whether individuals, associations, copartnership, or corporations. 
Project Administration (Appendix) March 2009

8A-14 Miller Act

8A.2.2 EXAMPLE MILLER ACT LETTER TO SUBCONTRACTOR
Project Administration (Appendix) March 2009

Miller Act 8A-15

8A.2.3 EXAMPLE MILLER ACT LETTER TO PRIME CONTRACTOR
Project Administration (Appendix) March 2009

8A-16 Miller Act

8A.2.3 Example Miller Act Letter to Prime Contractor (Continued)
Measurement and Payment March 2009

Table of Contents 9-i

Chapter 9 – MEASUREMENT AND PAYMENT

TABLE OF CONTENTS

Section Page

9.1 General.........................................................................................................................................9-1

9.2 Pay Notes and Computations ....................................................................................................9-2

9.2.1 General......................................................................................................................9-2

9.2.2 Computations and Supporting Documents................................................................9-2

9.3 Probables and Construction Engineering Costs.....................................................................9-4

9.4 Measurement of Quantities........................................................................................................9-5

9.4.1 General......................................................................................................................9-5

9.4.2 Quantity Significant Figures.......................................................................................9-6

9.4.3 Computation of Earthwork Quantities........................................................................9-7

9.4.3.1 General ..................................................................................................9-7

9.4.3.2 Computation Methods............................................................................9-7

9.4.3.3 Documentation and Verification.............................................................9-8

9.4.3.4 Cross-Sections.......................................................................................9-8

9.4.3.5 Wastage.................................................................................................9-8

9.4.4 Measurement of Materials (Weight Basis) ................................................................9-8

9.4.4.1 Documentation.......................................................................................9-8

9.4.4.2 Moisture Content Correction..................................................................9-9

9.4.4.3 Accuracy of Weighing Devices ............................................................9-10

9.5 Progress Payments...................................................................................................................9-11

9.5.1 General Requirements ............................................................................................9-11

9.5.2 Prompt Payment......................................................................................................9-11

9.5.3 Government’s Receiving Report Generated from the Progress Payment Report ..9-12

9.5.4 Contractor Invoices..................................................................................................9-14

9.5.5 Subcontractor Work and Payments.........................................................................9-17

9.5.6 Preparatory Work and Stockpiled Materials ............................................................9-21

9.5.6.1 Preparatory Work.................................................................................9-21

9.5.6.2 Stockpiled Materials.............................................................................9-21

9.5.7 Adjustments to Contractor’s Invoice........................................................................9-23

9.5.8 Retainage and Liquidated Damages for Poor Progress..........................................9-23

9.5.9 Pre-Final Payment...................................................................................................9-24
Measurement and Payment March 2009

9-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 9.5-A Example Project Engineer’s Receiving Report ............................................................9-13

Exhibit 9.5-B Example Contractor’s Invoice ......................................................................................9-15

Exhibit 9.5-C Example Prompt Payment Letter .................................................................................9-19

Exhibit 9.5-D Guidelines for Nonpayment Complaints from Subcontractors.....................................9-20

Exhibit 9.5-E Guidelines for Percentage Payments for Partially Complete Work .............................9-22
Measurement and Payment March 2009

General 9-1

CHAPTER 9

MEASUREMENT AND PAYMENT

9.1 GENERAL

This chapter addresses:

 Measurement and payment of contract work items, 

 Progress payments, 

 Partial payment for preparatory work and stockpiled material,

 Retainage and liquidated damages, and 

 Pre-final payment. 

Refer to Section 12.7 for information related to final payment after project acceptance.
Measurement and Payment March 2009

9-2 Pay Notes and Computations

9.2 PAY NOTES AND COMPUTATIONS

9.2.1 GENERAL

Quantities should be documented in accordance with the contract requirements and Division 

procedures.

The number and content of pay notes and computation documentation depends upon the type

of construction involved. Each Division will issue instructions or guidelines for standard notes

and methods of computations. In any case, notes must be recorded neatly, clearly, in an 

uncrowded manner, and in sufficient detail to be easily understood. Too much detail is better 

than too little.

Original entries accepted by the Project Engineer, but later determined to be in error or no 

longer applicable, are not to be deleted. A new pay note will be created to record any changes 

to an original pay note entered in error or containing incorrect quantities. 

Pay notes should be organized in chronological order, follow a logical order of progression 

throughout the duration of the project, and be summarized for each payment period. The pay 

notes should show the following, at a minimum: 

 the date, 

 item number, 

 item description, 

 location of measurement, 

 total quantity of the measurement, and 

 the names of the persons who made and checked the computations. 

Computation sketches, photos, remarks, and similar clarification, should be included within or 

attached to the pay note. Each pay note must be designated as interim or final.

When records are required to be kept by Contractor personnel, the Project Engineer should go 

over the required format, timeliness, and content, and provide constructive feedback to the 

Contractor if the records are deficient.

Pay notes are used as source documentation for work that necessitates field measurement,

stakeout, or verification. 

9.2.2 COMPUTATIONS AND SUPPORTING DOCUMENTS

Pay notes and measurements are converted to quantities for progress payments by the 

computations required or implied in the contract. For simple items, the computations may be 

included in the pay notes.

For complex items, it may be necessary to use a computer spreadsheet or other calculation 

format, to supplement the pay notes.

The pay notes for each specific item should be summarized for each payment period for entry 

into the progress payment or final payment.
Measurement and Payment March 2009

Pay Notes and Computations 9-3

Pay notes and any supporting documentation should be retained in hard copy for each item 

active for that payment period. 
Measurement and Payment March 2009

9-4 Probables and Construction Engineering Costs

9.3 PROBABLES AND CONSTRUCTION ENGINEERING COSTS

As part of the monthly progress payment procedure, the Project Engineer should estimate the 

total expected quantity for each item - its probable. The contract quantity may be used for each 

item initially, unless there is information to the contrary. Quantities are then updated based on

best available information as the project progresses. The Project Engineer prepares the 

estimate of probables, consulting with the COE or designers as needed for computation factors

and methods. The Project Engineer may wish to refer to design calculations for any item for 

which the estimated probable quantity is significantly different from the contract quantity.

Probable quantities translate to probable costs. If there is a significant net change to the 

contract amount due to changes in probable quantities, Division procedures may compel the 

processing of a contract modification to obtain additional funding. This need must be 

anticipated as far in advance as possible to avoid surprises and emergency reprogramming of 

funds.

The Project Engineer should monitor records of construction engineering cost and maintain an 

estimate of the probable construction engineering cost to complete the project. Such estimates 

should be compared to the amount assigned to the project. Any significant difference should be 

discussed with the COE. The Project Engineer should consult with the COE for assistance in

finding and interpreting Division financial records.
Measurement and Payment March 2009

Measurement of Quantities 9-5

9.4 MEASUREMENT OF QUANTITIES

9.4.1 GENERAL

The Standard Specifications prescribe methods of measuring quantities but are not intended to 

be all-inclusive. Refer to the plans, special contract requirements, and to this chapter of the 

construction manual for measurement details.

Each technical section of the Standard Specifications contains a subsection entitled 

Measurement, stating what is to be measured and how it is to be measured. Further, the 

Payment subsection of each section states how work is covered by the payment. Work that is 

not specifically identified for payment is assumed to be a subsidiary obligation and no payment 

is required.

Occasionally, plans and special contract requirements will change the standard methods of 

measurement and payment, or will include provisions for measurement and payment for items 

not in the Standard Specifications.

Before making any measurements on a project, the Project Engineer should study the plans, 

specifications, and special contract requirements to determine first, what is to be measured, and 

second, how it is to be measured.

There are three basic methods of measuring contract items – contract quantity or lump sum, 

staked or ordered quantity, and as constructed quantity. 

1. Contract Quantity or Lump Sum. For these items, the work authorized by the contract is 

verified and paid for. No detailed remeasurement is required. Changes or correction of 

errors must be documented by a contract modification. Examples of payment by contract 

quantity would be mobilization and structural concrete (usually). 

Contract quantity items should be supported by a signed and dated pay note, stating the 

item of work has been completed satisfactorily and is in substantial conformity with the plans 

and specifications.

2. Staked or Ordered Quantity. This method applies to work that is staked out or ordered by 

the Project Engineer. The quantity is defined before such work is performed, and the 

Contractor receives payment for this quantity. Again, although the Project Engineer must 

verify that the work is done, no detailed remeasurement is required. An example of this 

would be a design-build contract.

3. As Constructed Quantity. Under this method, work authorized by the contract or the 

Project Engineer is performed, measured, computed (if necessary), and paid for, subject to 

FLH inspection. Examples of this method would be paving items paid by the ton, 

subexcavation of soft spots, and watering.
Measurement and Payment March 2009

9-6 Measurement of Quantities

9.4.2 QUANTITY SIGNIFICANT FIGURES

The minimum number of significant decimal places to which quantities should be measured, 

computed, and reported is generally dependant on the value or bid price of an individual unit; 

and with the degree of precision with which it is practical to measure the item.

FLH computer programs for the receiving report (progress or final estimate) generally allow up 

to four figures to the right of the decimal point. However, usually not all of these figures are 

required to be significant.

For progress estimates, the methods used to measure quantities may sometimes be faster but 

less accurate than methods used for final payment. For this reason, progress payment 

quantities may be (but are not required to be) less precise than final quantities. For progress 

estimates, the minimum reported precision for any contract item should be the quantity that has 

a value between $10 and $100. For final payment, the minimum reported precision for any 

contract item should be the quantity that has a value between $1 and $10.

Quantities should generally be computed or measured to at least one significant figure more 

than the minimum required for reporting.

If the measurement and computational methods used yield significant figures beyond the 

minimum required, it is at the discretion of the Project Engineer whether or not to round the total 

to the minimum precision indicated. Once quantities are computed and reported on progress 

estimates, it is not recommended that they later be rounded arbitrarily to a lesser number of 

significant figures, especially for items that have been completed and for which subcontractors 

have been paid.

Items specified as contract quantity items should always be reported for final payment with the 

same precision implied in the contract.

Items measured by weigh tickets should be reported to the same precision as the ticket for both 

progress and final payments.

Examples:

(1) Item 20101 Clearing and Grubbing is bid at $3,500 per hectare. One 

hundredth (.01) hectare is valued at $35. Therefore, report clearing and grubbing 

quantities for progress payments to a precision of not less than 0.01 hectare. 

Report the final quantity to a precision of not less than 0.001 hectare.

(2) Item 60103 Concrete is bid at $18,500 lump sum. One thousandth (.001) of 

one percent is valued at $18.50. Therefore, report this lump sum item to a 

precision of not less than 0.001 percent for progress payments.

(3) Item 25303 Gabions is bid at $167.00 per cubic meter. One tenth (0.1) of a 

cubic meter is valued at $16.70. Therefore, report gabion quantities for progress 

payments to a precision of not less than 0 .1 cubic meter. Report final payment 

to a precision of not less than 0.01 cubic meter.

(4) Item 62902 Roving is bid at $0.85 per square meter. One hundred (100) 

square meters has a value of $85.00. Therefore, report roving quantities for 
Measurement and Payment March 2009

Measurement of Quantities 9-7

progress payments to a precision of at least 100 square meters Report the final 

quantity to a precision of at least 10 square meters.

9.4.3 COMPUTATION OF EARTHWORK QUANTITIES

9.4.3.1 General

Electronic computation of earthwork quantities is standard procedure. It may be necessary or 

desirable, however, to make supplementary earthwork quantity computations on the project for

minor alignment, grade, or slope changes, or for other reasons. These supplementary 

computations may be performed on computer-based software, or by manual calculations if 

necessary. The relationship to the main design computations should be clearly documented 

and checkable by others.

A pay note should include all of the current documentation used to pay for earthwork (i.e., the 

master quantity printout along with each supplement or correction to those quantities). Each 

document referenced should be dated or otherwise identified. Obsolete or superseded 

computations should not be included with current documentation.

9.4.3.2 Computation Methods

Unless otherwise provided in the special contract requirements or otherwise approved by the 

Project Engineer as providing equivalent accuracy, excavation quantities for payment are to be 

computed by the average end area method, with no correction for curvature. This method uses

the average area of end sections (taken at right angles to the centerline) and the centerline 

distances between end sections.

To avoid distorted balancing of earthwork quantities in areas of sinuous alignment through 

heavy sidehill construction, correction for curvature may be necessary. Such correction will be 

for the purpose of balance only, and payment will be made for uncorrected excavation quantities 

unless otherwise provided in the special contract requirements. In the case of contract 

modification work, the difference between actual and computed excavation quantities should be 

discussed with the Contractor during negotiation, as this difference may impact costs and 

quoted prices.

The cross-section areas generally are obtained either by direct computation from slope stake 

notes or by plotting and computing the section. Direct computation of areas from slope stakes 

is preferable because it is usually less time consuming. Planimetering of plotted sections is 

sometimes used for design, but is not acceptable for documentation of payment because it is 

less accurate and cannot be checked except by repeating the process.

A number of commercial earthwork software packages are available which compute quantities 

using cross-sections and end areas, or equivalent techniques. If commercial earthwork 

software is not available, there are several acceptable methods of manually computing crosssection areas such as the average end area method.
Measurement and Payment March 2009

9-8 Measurement of Quantities

9.4.3.3 Documentation and Verification

Cross-section notes will be entered directly in a preformatted slope stake field book. Electronic 

data collectors may also be used if the Division procedures support them. Field books for slope 

staking may be duplicate (no carbon required) type. If used, the original must be retained in the 

book to serve as the permanent record. The second copy may be detached to facilitate 

computing. This permits mailing data to the Division without exposing the original to loss. 

Likewise, if electronic data is collected, a copy should be retained prior to sending the diskette 

to the Division.

The maximum interval for cross-sectioning should usually be 20 meters, with intermediate 

sections taken as necessary to catch all breaks in terrain. For pay purposes, the volumes must 

be computed and checked mathematically, and all computations should be documented in field 

books, on computer printouts, or on cross-section rolls. Each document should be uniquely 

identified and referenced in the Summary Book. The Summary Book should contain a 

tabulation of the following: station to station; prism excavation and/or embankment volume; and 

any other quantities involved, such as subexcavation, waste, and channel changes. Grouping 

may be between balance point stations, or for example, every 500 meters when balances are 

infrequent. Plan quantities may be entered in the Summary Book originally, whether or not they 

are a specified basis for payment. Measured quantities may be added to, or substituted for, the 

plan quantities after computation and checking. Whenever changes or new sections are 

substituted, the referencing should be clear. The old sections should be discarded or identified 

as superseded.

9.4.3.4 Cross-Sections

The taking of cross-sections after completion of the grading is not normally required. Ordinarily, 

cross-sections will not be necessary except in areas where there is a dispute with the 

Contractor, where slides are involved, or in rock cuts involving overbreak or underbreak. In rock 

excavation, where it is necessary to determine the allowable overbreak, plotting of the crosssections may be necessary. 

9.4.3.5 Wastage

When borrow is paid for in its original location (borrow pit), the use of unclassified excavation 

must be carefully monitored to ensure unnecessary waste does not occur, which would increase 

the need (and payment) for borrow. Typical waste problems might be fill slopes that are too 

wide, not breaking down and incorporating rock into fills, not conserving potential topping 

material, and wasting acceptable quality material just because it is too wet or haul distance is 

excessive.

9.4.4 MEASUREMENT OF MATERIALS (WEIGHT BASIS)

9.4.4.1 Documentation

For materials paid for on a weight basis, a daily summary of all weighed and accepted loads 

should be generated. Either custom software or a spreadsheet is acceptable for this summary. 
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Measurement of Quantities 9-9

The summary should be filed with the tickets indicating certified weight and acceptance. The 

summary should also be included with the pay note. Separate summary reports are best used 

for each contract item when more than one item is being produced at once.

9.4.4.1.1 Standard Tickets

When standard tickets are used, the weigher should fill them in completely, except for the 

station of placement, and should deliver the original and duplicate to the truck driver, and retain 

the triplicate. If an original is lost or missing at the end of the shift and delivery on the road was 

accomplished, the triplicate may be used to verify the quantity, provided it can be confirmed that 

the material was delivered.

9.4.4.1.2 Scale Tickets

When approved recording scales are used, the details regarding checking and delivering 

material will vary according to the form of the tickets, but must be arranged so as to provide

both the weigher and checker with a record of each load and the Contractor with a ticket issued 

as each load is weighed. When the recording scales accommodate tickets in duplicate only, it 

will be necessary for the weigher to keep a complete tabulation showing ticket number, tare, 

total weight, and pay weight. Both tickets will then be given to the truck driver. The checker on 

the road will fill in the station of placement, initial both copies, return the duplicate to the truck 

driver, and retain the original.

Weighing by an accredited public weighmaster is acceptable, provided the same basic 

procedures as described above are used.

9.4.4.1.3 Tare Weights

Tare weights of each empty truck are to be determined at least twice daily and at such other 

times as the Project Engineer directs. It is important that tare weights be determined at random 

times during the day, and that the random selection process not be controlled by the truck driver 

or biased toward weighing when the fuel tanks are empty. The tare weights (and the date and 

time determined) should be recorded.

9.4.4.2 Moisture Content Correction

Where direct reading platform scales (those on which tares may be set on one beam and weight 

of load read directly on the other) are used, the tare weight should be recorded (automatically or 

manually) on each ticket to give additional assurance that the correct tare weight was in fact set 

on the scale prior to reading the net weight. When belt scales, batch scales, or other devices 

weigh the net weight of material without depending on gross truck weight, the ticket will be 

considered satisfactory if only net weight is shown. If scales of these types are used, a notation 

of scale type should be made in the diary.

Unless otherwise specified in the special contract requirements, no deduction will be made from 

aggregate weights for moisture content. When such deduction is specified, its method of 

determination should be specified. If a correction is required but no method specified, the
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9-10 Measurement of Quantities

deduction may be based on the daily average moisture content determined by heat drying no 

less than three representative samples taken at random intervals from each 8-hour production. 

Depending on contract requirements, the actual deduction will probably be for excess moisture 

(i.e., the difference between actual and optimum moisture).

9.4.4.3 Accuracy of Weighing Devices

The Standard Specifications require weighing devices to be accurate within 0.5 percent 

throughout the range of use, and to be inspected, tested, and sealed as often as the Project 

Engineer may deem necessary to ensure continued accuracy. For noncommercial scales, the 

Project Engineer should request a copy of the inspection documentation for the project files. 

For commercial scales, the documentation may be requested if deemed necessary.

Before starting each day’s weighing operations, and several times during the day, zero 

balancing of the scales must be carefully checked. This consists of setting the scale indicators 

at zero when the scale is unloaded and checking the beam. The beam should swing freely and 

evenly, equidistant from the top and bottom of the trig loop. For multiple-beam scales, each 

beam should be balanced individually and then collectively. Any beam not actually used should 

be securely fastened into zero position so it cannot be mistakenly used with other beams.

Adjustments and repairs of weighing devices are the responsibility of the Contractor. FLH 

personnel may adjust the balance bar but must not perform other adjustments or repairs.

If the Project Engineer has reason to doubt the accuracy of a weighing device at any time, the 

Contractor should be required to stop weighing operations and have the weighing device tested 

and sealed.

The National Institute of Standards and Technology (NIST), Handbook 44 is the standard by 

which scales are tested and sealed. FLH Divisions will provide applicable parts of this 

document, and appropriate training, to field personnel that routinely perform detailed scale 

inspections. Otherwise, problems that are not resolved by the Contractor to the satisfaction of 

the Project Engineer, should be referred to the COE, who may engage a technical consultant.
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Progress Payments 9-11

9.5 PROGRESS PAYMENTS

9.5.1 GENERAL REQUIREMENTS

The processing of progress payments became a substantially more complex process with the 

Prompt Payment Act of 1982, including amendments to the Act and additional administrative 

requirements by the Office of Management and Budget (OMB). These requirements are 

included in FAR Clause 52.232-5, Payments Under Fixed Price Construction Contracts, FAR 

Clause 52.232-27, Prompt Payment for Construction Contracts, and Subsection 109.08, 

Progress Payments, within the Standard Specifications. These clauses appear in each contract 

and should be reviewed in detail. 

9.5.2 PROMPT PAYMENT

Some of the basic requirements of the Prompt Payment Act are as follows:

 The Government is required to make payment to the Contractor within 14 days after a valid 

invoice is received at the designated billing office from the Contractor.

 The Government must advise the Contractor in writing within 7 days if the invoice is 

defective.

 The Government is obligated to pay the Contractor interest if payment is not made in a 

timely manner.

 The Contractor may invoice only subcontractor’s work for which it is committed to paying the 

subcontractor within 7 days of payment by the Government.

 The Contractor may be obligated to pay interest to the Government and an interest penalty 

to the subcontractor on any amounts for subcontractor work for which it invoices and 

receives payment from the Government, but then fails to pay the subcontractor within 

7 days.

 The Government is not to become involved in disputes between subcontractors and 

contractors, beyond providing a copy of the Contractor’s payment bond to the requesting 

subcontractor and withholding interest from the Contractor for nonpayment of a 

subcontractor for subcontracted work for which the Contractor has been paid.

The payment and invoice process as well as the Contractor’s obligations in this process should 

be emphasized at the preconstruction conference. In particular the Contractor should 

understand that failure to provide required materials documentation, test reports and 

certifications will result in nonpayment for the work in question.

While the Project Engineer should avoid getting involved in disputes between the prime and 

subcontractors, the interest on amounts due subcontractors sometimes makes the Government 

have a stake in the dispute. This means the Contractor should be requested to resolve such 

disputes and advise the Project Engineer of how they are resolved - at least to the extent we are 

satisfied that there were no Prompt Payment violations. It should be made clear to the 

Contractor that FLH is not a policing or audit agency; and if disputes linger on, or appear to 
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9-12 Progress Payments

indicate improper actions of the Contractor prejudicial to the Government, FLH will have no 

choice but to request intervention of an appropriate legal authority such as the DOT Office of the 

Inspector General.

9.5.3 GOVERNMENT’S RECEIVING REPORT GENERATED FROM THE 

PROGRESS PAYMENT REPORT

Under the Prompt Payment Act and ensuing regulations, the Government must generate a 

receiving report from the progress payment report. Its purpose is to validate the accuracy of the 

Contractor’s invoice. See Exhibit 9.5-A for an example of a Project Engineer’s receiving report. 

Together these items initiate payment. 

In order for payment to be made, the Contractor’s invoiced quantity and unit price for any item 

must not exceed the receiving report quantity and unit price for that item. Therefore, the 

Contractor must have access to measurement, quantity, and pay factor information that only the 

Project Engineer may have, at the time the receiving report is prepared (e.g., allowances for 

partially completed work or computation of quantities based on survey notes which only the 

Government has access to). The Project Engineer must provide, or concur with, all 

measurement, quantity, and pay factor information on the receiving report, in writing or in a 

meeting with the Contractor’s representative at a mutually agreeable time within 7 days after the 

estimate cutoff date. While the Project Engineer should be reasonable in resolving disputes or 

differences with the Contractor on what the receiving report should include, the Project Engineer 

has the final say (within the terms of the contract), and agreement on the content of the 

receiving report is not required.

The Project Engineer should not include on the receiving report work for which the Contractor 

has not provided the required documentation, test results, or certifications.

All quantities shown on the receiving report must be supported by pay notes and other 

supporting data. The basis of percentage payments, and temporary items like stockpiled 

materials should also be documented by a pay note. Any material pay factor adjustment to 

contract unit prices should be documented with a QL-Pay printout or manual computations.

The receiving report should show all Contract items and probable quantities to facilitate 

monitoring of the probable Contract amount. Probable quantities are normally not provided to 

the Contractor unless they are requested, or unless the Contractor needs to know this 

information (e.g., to order materials). This information may sometimes generate a request for a 

contract modification; however, it is generally better to be forthright with the Contractor than to 

obscure information. All quantities and pay items associated with contract modifications should 

be listed separately and identified with the number of the contract modification. Adjustment of a 

unit price based on a material pay factor or other specific contract provisions will not require a 

new item or a contract modification, but the pay factor should be identified as interim on the 

receiving report if it is to be subject to further adjustment.

Proposed adjustments to the Contractor’s invoice (see Section 9.5.7) may be shown on the

receiving report; however, if their approval is not delegated to the Project Engineer, they are 

considered tentative until approval of the progress payment in the Division office.
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Progress Payments 9-13

Exhibit 9.5-A Example Project Engineer’s Receiving Report
Measurement and Payment March 2009

9-14 Progress Payments

9.5.4 CONTRACTOR INVOICES

The Contractor’s invoice package must contain the items listed in Section 109 of the Standard 

Specifications. See Exhibit 9.5-B for an example of a contractor’s invoice. The contract 

specifies where the invoice must be sent or delivered in order for the 14-day turnaround to start.

This may be either the FLH Division Office or the project office. It is important to stamp or note 

the receipt date on the invoice. It is also important to know the maximum time the billing office 

may retain the invoice for processing without exceeding the 14-day limit for payment. 

There are generally three major components of a Contractor invoice:

 Tabulation of quantities and unit prices. No quantity for an individual item should exceed the 

quantity for that item on the Government’s receiving report. However, quantities for certain 

items may be less. For example, if a subcontract provided that certain work not be paid for 

until complete, payment would then be based on the lower (Contractor’s) quantity (see 

Section 9.5.5).

 Accounting of subcontractors, with the total amounts, amounts previously paid, and amounts 

to be paid from this estimate.

 Signed certification conforming to FAR Clause 52.232-5(c).

FAR Clause 52.232-27, Prompt Payment for Construction Contracts, requires interest penalties 

and similar adjustments to also be included in the invoice — that is, if the Contractor previously 

invoiced the Government for work that it then withheld from a subcontractor, it is required to 

show the interest penalty (credit to the Government) on the invoice. We expect this sort of 

adjustment to be very infrequent. However, if the occasion arises, and the Contractor needs the 

correct current interest rate, the information should be obtained from the COE.
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Progress Payments 9-15

Exhibit 9.5-B Example Contractor’s Invoice
Measurement and Payment March 2009

9-16 Progress Payments

Exhibit 9.5-B Example Contractor’s Invoice (Continued)
Measurement and Payment March 2009

Progress Payments 9-17

9.5.5 SUBCONTRACTOR WORK AND PAYMENTS

The term subcontractor as used in the payment clauses means not just onsite subcontractors, 

but supply, equipment rental, and service subcontractors as well. The Contractor may withhold 

payment from a subcontractor for cause - such as producing defective work (whether or not the 

Government considers it defective), or not completing its work on time. However, the 

Contractor cannot invoice the Government for work for which it is temporarily withholding 

payment from the subcontractor. Temporarily means the Contractor recognizes an obligation to 

pay the subcontractor as soon as the subcontractor corrects the defective work.

If the Contractor does invoice the Government for work performed by a subcontractor, it must 

pay the subcontractor within 7 days of receiving payment from the Government. Failure to 

make payment results in an interest penalty due from the Contractor to the Government.

Interest continues as long as the Contractor has received payment from the Government, but 

fails to pay the subcontractor. If the Contractor has violated the terms of the subcontract by 

failure to make payment, it may owe a second interest penalty to the subcontractor. Generally, 

the Government is not a party to the latter obligation, and the Project Engineer should not 

attempt to monitor or enforce subcontract provisions.

If the withholding from the subcontractor is permanent, that is considered a defacto reduction in 

the amount of the subcontract and should be reported in the invoice documentation as such. 

For example: A subcontractor building a box culvert is unable to obtain credit to buy ready mix

concrete. The prime purchases the concrete and deducts payment from the subcontractor’s

payments. This transaction reduces the amount of the subcontract. The prime may invoice the

Government for the full amount of the completed work, and is not obligated to pay interest to the

subcontractor or to the Government.

The Prompt Payment Act takes precedence over the terms of the contract. For example, the

contract may provide that temporary traffic control devices are paid at 50% on delivery to the

site. However, the Contractor may have a subcontract that provides payment at 5% per month 

for the first 20 months of the contract. In this case, the Contractor may invoice the Government 

only for the amounts it will pay the subcontractor, plus a proportionate share of any overhead 

and profit markup if applicable. The Project Engineer will often not have enough information to 

know if a significant difference exists between the payment terms in the subcontract and those 

in the contract. A comparison of the tabulation of the status of all subcontract payments 

required by Subsection 109.08 of the Standard Specifications, with the Project Engineer’s 

knowledge of how much subcontracted work has been paid for under the contract, may reveal 

problems that should be raised to the Contractor.

Complaints from subcontractors who say they have not been paid have two implications under 

the contract. The first is a possible Miller Act claim by the subcontractor against the 

Contractor’s surety. The second is a possible violation of the Prompt Payment Act, if the 

payment in question was invoiced to the Government and paid to the Contractor, but not passed 

on to the subcontractor.

See Section 8.8.5 for a discussion of the Miller Act, and Appendix 8A.2.2 for an example of a 

Miller Act - Prompt Payment Letter to a Subcontractor. Copies of such letters should be 

normally provided to the Contractor. The Project Engineer should discuss unusual situations, 

such as allegations of fraud or other criminal activity, with the COE.
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9-18 Progress Payments

If there is an apparent violation of the Prompt Payment Act, FLH should write to the Contractor 

detailing the allegations and facts as we know them, and request a written explanation from the 

Contractor. See Exhibit 9.5-C for an example of a prompt payment letter. Note that the 

Government’s only interest in underpayments to subcontractors is possible violations of the 

Prompt Payment Act and the interest that might therefore be due the Government. The 

Government should avoid becoming involved in disputes between the Contractor and its 

subcontractors; and should not order the Contractor to pay its subcontractors. Our position is 

simply that if the Contractor is not paying the subcontractors, it cannot invoice the Government 

for their work.

Exhibit 9.5-D summarizes guidelines for handling subcontractor/supplier complaints of 

nonpayment.
Measurement and Payment March 2009

Progress Payments 9-19

Exhibit 9.5-C Example Prompt Payment Letter
Measurement and Payment March 2009

9-20 Progress Payments

Exhibit 9.5-D Guidelines for Nonpayment Complaints from Subcontractors

Complaint Response

Verbal complaint from subcontractor or supplier of 

nonpayment.

Verbally advise subcontractor/supplier that no 

action can be taken unless a written complaint is 

provided.

Verbally advise subcontractor/supplier that in order 

to ascertain a violation of the Prompt Payment Act, 

the Government needs a detailed statement of 

payments under the subcontract, dates payments 

made, and amounts subcontractor/supplier 

believes were due on those dates.

Verbally advise contractor’s superintendent of 

complaint and remind him/her of Prompt Payment 

Act requirements.

Document all exchanges in diary. No further action 

in absence of written statement/complaint.

Written complaint from subcontractor/supplier of 

nonpayment, but without detailed accounting of 

amounts paid and dates.

Furnish copy of bond and Miller Act information to 

subcontractor/supplier.

Request a statement of payments under the 

subcontract, dates payment made, and amounts 

subcontractor/supplier believes were due on those 

dates.

No further action unless statement of payments is 

provided.

Written complaint from subcontractor/supplier of 

nonpayment, including detailed accounting of 

amounts paid and dates.

Furnish copy of bond and Miller act information to 

subcontractor/supplier.

Compare subcontractor/supplier’s detailed 

statement of payments, Contractor accounting of 

subcontractor payments, and Government’s 

payments for contract items known to be part of the 

subcontract.

Subcontractor statement of payments generally 

agrees with Contractor’s accounting and amounts 

paid by Government for subcontracted work.

No further action. Subcontractor may have 

recourse under Miller Act, but no apparent Prompt 

Payment Act violation.

Subcontractor statement indicates payments less 

than corresponding invoiced percentages of 

contract items associated with the subcontract.

Write letter to Contractor requesting resolution of 

payment discrepancies.

Contractor fails to respond to letter requesting 

resolution of alleged underpayment.

Notify Contractor in writing that without an 

adequate response to nonpayment allegations, 

further invoices including the payment in question 

must be presumed to be defective.

Refer file to Legal Counsel for possible referral to 

DOT Office of Inspector General as false claim.

Contractor responds that payment information 

provided by subcontractor/supplier is in error and 

that all payments have been made in accordance 

with the Prompt Payment Act, but does not provide 

credible evidence that this is the case.

Refer file to Legal Counsel for advice on possible 

nonpayment of invoices and referral to DOT Office 

of Inspector General as false claim.

Contractor responds in a way that confirms that 

payments made to subcontractor/supplier have 

been less than those invoiced the Government for 

the contract items associated with the subcontract.

On next invoice, require Contractor to debit 

appropriate interest from next progress payment. 

Require debit of overpayment unless Contractor 

pays subcontractor/supplier by then.
Measurement and Payment March 2009

Progress Payments 9-21

9.5.6 PREPARATORY WORK AND STOCKPILED MATERIALS

9.5.6.1 Preparatory Work

General mobilization and preparatory work for starting construction is included in the 

Mobilization pay item. See Section 151 of the Standard Specifications. Preparatory work, or 

the beginning stages of work on a particular item, should be included in the Contractor’s invoice 

and paid as an agreed percentage of that item. While it is possible to pay preparatory work on 

an actual expenses basis, this is not recommended because it entails additional bookkeeping 

and control to prevent overpayment. See Exhibit 9.5-E for guidelines related to percentage 

payments for partially complete work.

9.5.6.2 Stockpiled Materials

Stockpiled materials may be included in the Contractor’s invoice and paid for as one or more

separate (temporary) line items, provided:

 The materials are stored onsite or otherwise under the control of the Contractor. If materials 

are stored offsite, the Contractor must provide documentation that it has acquired title to the 

materials. A paid invoice from the supplier to the Contractor is normally adequate. 

However, title does not necessarily mean the Contractor has paid for the materials. Under 

the Prompt Payment Act, the obligation to pay for the materials does not begin until payment 

is received from the Government.

 The materials are designated for incorporation into the work. In contrast, materials such as 

form lumber, explosives, and diesel fuel cannot be paid as stockpiled materials. 

 Test reports, certifications, or other reasonable documentation indicates that the materials 

comply with contract requirements, or that the item into which they will be incorporated will 

comply with those requirements.

Payment for stockpiled materials is intended to allow the Contractor to order materials

sufficiently in advance of the work to avoid delivery delays. Payment does not constitute

acceptance of the material, although the Government may argue that it legally owns the

materials in the event of a default. It is also not intended as a means of providing advance

payments. Payments must represent the reasonable value of the materials as compared to the 

bid prices for the work into which they will be incorporated. Whenever there is payment for 

stockpiled materials, such payment is covered by the conditions of the Prompt Payment Act

(i.e., the Contractor is required to make payment to the subcontractor (supplier) within 7 days of 

receiving payment from the Government).

As the materials previously paid for are incorporated into the work and paid under contract

items, the temporary line item created to pay for them must be reduced or zeroed out 

accordingly.
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9-22 Progress Payments

Exhibit 9.5-E Guidelines for Percentage Payments for Partially Complete Work

Description Allowance (Cumulative)

Clearing and Grubbing

Felled and slashed 35

Bucked and piled (slashings, brush and logs) 60

Grubbed 75

Burned or chipped and removed 98

Substantially complete including cleanup 100

Excavation and Embankment

Pioneered 5

Drilled 20

Blasted 35

Roughed out to grade 85

Roadbed finished to grade 90

Slopes seeded 98

Substantially complete including cleanup 100

Structural Excavation

Excavation Complete 85

Backfill complete 98

Substantially complete including cleanup 100

Aggregate Courses

Crushed and stockpiled onsite 50

Placed on roadway 80

Spread, compacted and tested 98

Substantially complete including cleanup 100

Asphalt Pavements

Aggregates crushed and stockpiled onsite 50

Placed, compacted and tested 98

Substantially complete including cleanup 100

PCC Pavement

Forms set 35

Concrete in place 90

Forms removed and testing complete 98

Substantially complete including cleanup 100

Concrete Structures

Falsework erected 10

Forming complete 20

Concrete in place 80

Forms removed 90

Concrete tested and finished 98

Substantially complete including cleanup 100

Steel Structures

Falsework erected 10

Steel in place 80

Bolting and welding complete 90

Painting complete 98

Substantially complete including cleanup 100

Notes:

(1) These percentages are typical. They may be adjusted based on a detailed analysis of 

circumstances on a given project.

(2) Whenever partially complete work entails continuing maintenance, an appropriate percentage 

should be retained to cover those costs.
Measurement and Payment March 2009

Progress Payments 9-23

9.5.7 ADJUSTMENTS TO CONTRACTOR’S INVOICE

Generally, any change that the Government makes to the Contractor’s invoice invalidates the 

certification accompanying the invoice and should therefore be avoided. However, if an error in 

the Contractor’s invoice is based on erroneous information that the Government provided or 

failed to provide at the onsite meeting before the invoice was submitted, we should try to 

reconcile the error administratively rather than declare the invoice to be defective. Such 

reconciliations or corrections can be handled by phone, with a follow-up confirmation in writing 

to the Contractor.

Certain additions or adjustments discussed in Section 109 of the Standard Specifications may 

be made to the Contractor’s invoice. These adjustments may be documented on the receiving 

report or generated separately. The adjustments generally relate to retent, liquidated damages, 

or other liabilities to the Government, which are handled outside the normal contract items.

Some of these items, like liquidated damages, may be in dispute. It is awkward to ask a 

Contractor to certify to the correctness of liquidated damages at the same time they are being 

contested. It is therefore acceptable for the Government to make such adjustments 

administratively after the invoice is received. These adjustments do not make the certification 

invalid.

Any adjustments to the Contractor’s invoice that are an adverse action (i.e., retent, liquidated 

damages, or other liabilities to the Government) should be documented by written notice to the

Contractor explaining the reason for the adjustment, and, if temporary, the conditions under 

which the Government would rescind the adjustment. The Division should have procedures to 

assign responsibility for initiating this notice.

9.5.8 RETAINAGE AND LIQUIDATED DAMAGES FOR POOR PROGRESS

Retainage or retent is money withheld from progress payments. FAR Clause 52.232-5(e)

permits the retent of 10 percent of any progress payment when progress is unsatisfactory. See

Section 5.4 for a discussion of administration of contract time. Unsatisfactory progress means 

one of the following:

 Contractor is significantly behind the approved construction schedule.

 Contractor is following a construction schedule that shows completion beyond the contract

completion date (or time).

 Contractor does not have an approved construction schedule, or the originally approved 

schedule has been rendered obsolete and invalid, thereby making it impossible to determine 

if progress is satisfactory.

Retent is not applied to the entire amount of payments to date, but only to those payments

earned since progress became unsatisfactory. Withholding of additional retent is discontinued 

as soon as progress and the approved schedule are demonstrated to be consistent. However,

previously withheld retent will continue to be withheld until the Contractor demonstrates an

ability to complete the project by the contract completion date (as modified by any contract 

modification or incentives).
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9-24 Progress Payments

Once the contract completion date has passed without completion, the Government is to 

withhold liquidated damages for each day of delay, in accordance with Subsection 108.04 of the 

Standard Specifications.

Whereas retent is a discretionary condition of the contract, liquidated damages are mandatory 

unless there is a contract modification modifying or waiving them. If substantial retent and 

liquidated damages are being withheld, it is reasonable to estimate what the final amount of 

liquidated damages will be, and to assess a combined amount of retent and current liquidated

damages not to exceed this amount. This is done by reducing the retent to some number less 

than 10 percent. The Project Engineer should discuss this situation with the COE before taking 

action.

When Contract time is in dispute, or when there is recognized entitlement to additional time that

has not yet been quantified, the CO may modify the Government’s assessment of retent and 

liquidated damages pending the resolution of the contract time issue. If this occurs, the COE 

should be involved in any decision, and the Contractor should be advised in writing as to the 

conditions of any such arrangement.

9.5.9 PRE-FINAL PAYMENT

The provisions of the Prompt Payment Act apply to final payments as well as progress 

payments, except that final payment is required in 30 days rather than 14. For final payment, 

the Government is permitted to withhold a reasonable sum pending the checking of final 

quantity records. Because the Contractor cannot sign an accurate final invoice/voucher or 

claims release until this checking process is complete, an attempt should be made to minimize 

retainage due solely to the checking. It is recommended that not more than one percent of the 

contract amount be withheld pending the checking of final quantities. If additional amounts are 

outstanding after the work is complete, a pre-final or additional progress payment is 

recommended to reduce the amount being withheld solely to protect the Government during the 

checking process. This does not include retainage for cause, such as liquidated damages or 

failure to provide certifications and other required documentation. If extenuating circumstances 

suggest that larger amounts be withheld to protect the Government, this should be discussed 

with the COE.
Major Construction Processes March 2009

Table of Contents 10-i

Chapter 10 – MAJOR CONSTRUCTION PROCESSES

TABLE OF CONTENTS

Section Page

10.1 Introduction ...............................................................................................................................10-1

10.2 Clearing and Grubbing .............................................................................................................10-2

10.2.1 Clearing and Grubbing ............................................................................................10-2

10.2.1.1 Preliminary Review and Approval........................................................10-2

10.2.1.2 Construction Inspection .......................................................................10-2

10.2.1.3 Measurement .......................................................................................10-4

10.2.1.4 Documentation.....................................................................................10-4

10.2.2 Removal of Structures and Obstructions.................................................................10-4

10.2.2.1 Preliminary Review and Approval........................................................10-4

10.2.2.2 Construction Inspection .......................................................................10-5

10.2.2.3 Measurement .......................................................................................10-5

10.2.2.4 Documentation.....................................................................................10-5

10.2.3 Excavation and Embankment..................................................................................10-5

10.2.3.1 Preliminary Review and Approval........................................................10-5

10.2.3.2 Construction Inspection .......................................................................10-7

10.2.3.3 Measurement .....................................................................................10-15

10.2.3.4 Documentation...................................................................................10-15

10.2.4 Soil Erosion Control...............................................................................................10-16

10.2.4.1 Preliminary Review and Approval......................................................10-16

10.2.4.2 Construction Inspection and Maintenance.........................................10-16

10.2.4.3 Measurement .....................................................................................10-17

10.2.4.4 Documentation...................................................................................10-17

10.2.5 Structural Excavation.............................................................................................10-17

10.2.5.1 Preliminary Review and Approval......................................................10-17

10.2.5.2 Construction Inspection .....................................................................10-18

10.2.5.3 Measurement .....................................................................................10-18

10.2.5.4 Documentation...................................................................................10-18

10.2.6 Watering ................................................................................................................10-18

10.2.7 Finishing Roadbed.................................................................................................10-19

10.2.7.1 Preliminary Review and Approval......................................................10-19

10.2.7.2 Construction Inspection .....................................................................10-19

10.2.7.3 Measurement .....................................................................................10-19

10.2.7.4 Documentation...................................................................................10-19

10.3 Aggregate Base and Subbase Courses................................................................................10-20

10.3.1 Aggregate Base and Subbase Courses ................................................................10-20

10.3.1.1 Preliminary Review and Approval......................................................10-20

10.3.1.2 Construction Inspection .....................................................................10-22

10.3.1.3 Measurement .....................................................................................10-24

10.3.1.4 Documentation...................................................................................10-24

10.3.2 Dust Palliatives ......................................................................................................10-25

10.3.2.1 Preliminary Review and Approval......................................................10-25

10.3.2.2 Construction Inspection .....................................................................10-25

10.3.2.3 Measurement .....................................................................................10-25

10.3.2.4 Documentation...................................................................................10-25

10.4 Asphalt Construction..............................................................................................................10-27

10.4.1 Hot Asphalt Concrete Pavement ...........................................................................10-27

10.4.1.1 Preliminary Review and Approval......................................................10-27
Major Construction Processes March 2009

TABLE OF CONTENTS

(Continued)

Section Page

10-ii Table of Contents

10.4.1.2 Construction Inspection .....................................................................10-27

10.4.1.3 Measurement .....................................................................................10-41

10.4.1.4 Documentation...................................................................................10-41

10.4.1.5 References.........................................................................................10-42

10.4.2 Open-Graded Asphalt Friction Course ..................................................................10-42

10.4.2.1 Preliminary Review and Approval......................................................10-42

10.4.2.2 Construction Inspection .....................................................................10-43

10.4.2.3 Measurement .....................................................................................10-43

10.4.2.4 Documentation...................................................................................10-43

10.4.3 Open-Graded Emulsified Asphalt Pavement (OGEAP) ........................................10-43

10.4.3.1 Preliminary Review and Approval......................................................10-43

10.4.3.2 Construction Inspection .....................................................................10-45

10.4.3.3 Measurement .....................................................................................10-48

10.4.3.4 Documentation...................................................................................10-48

10.4.4 Dense-Graded Emulsified Asphalt Pavement .......................................................10-48

10.4.4.1 Preliminary Review and Approval......................................................10-48

10.4.4.2 Construction Inspection .....................................................................10-48

10.4.4.3 Measurement .....................................................................................10-48

10.4.4.4 Documentation...................................................................................10-49

10.4.5 Single or Multi-Course Asphalt Surface Treatments .............................................10-49

10.4.5.1 Preliminary Review and Approval......................................................10-49

10.4.5.2 Construction Inspection .....................................................................10-49

10.4.5.3 Measurement .....................................................................................10-52

10.4.5.4 Documentation...................................................................................10-52

10.4.5.5 References.........................................................................................10-52

10.4.6 Minor Asphalt Concrete .........................................................................................10-53

10.4.6.1 Preliminary Review and Approval......................................................10-53

10.4.6.2 Construction Inspection .....................................................................10-53

10.4.6.3 Measurement .....................................................................................10-53

10.4.6.4 Documentation...................................................................................10-53

10.5 Concrete and Structures ........................................................................................................10-54

10.5.1 Portland Cement Concrete....................................................................................10-54

10.5.1.1 Preliminary Review and Approval......................................................10-54

10.5.1.2 Construction Inspection .....................................................................10-56

10.5.1.3 Measurement .....................................................................................10-56

10.5.1.4 Documentation...................................................................................10-57

10.5.1.5 References.........................................................................................10-57

10.5.2 Concrete Structures...............................................................................................10-57

10.5.2.1 Preliminary Review and Approval......................................................10-57

10.5.2.2 Construction Inspection .....................................................................10-65

10.5.2.3 Measurement .....................................................................................10-77

10.5.2.4 Documentation...................................................................................10-78

10.5.2.5 References.........................................................................................10-79

10.5.3 Prestressed Concrete............................................................................................10-80

10.5.3.1 Preliminary Review and Approval......................................................10-80

10.5.3.2 Construction Inspection .....................................................................10-80

10.5.3.3 Measurement .....................................................................................10-81

10.5.3.4 Documentation...................................................................................10-81

10.5.3.5 References.........................................................................................10-82

10.5.4 Reinforcing Steel ...................................................................................................10-82

10.5.4.1 Preliminary Review and Approval......................................................10-82
Major Construction Processes March 2009

TABLE OF CONTENTS

(Continued)

Section Page

Table of Contents 10-iii

10.5.4.2 Construction Inspection .....................................................................10-83

10.5.4.3 Measurement .....................................................................................10-84

10.5.4.4 Documentation...................................................................................10-86

10.5.4.5 References.........................................................................................10-86

10.5.5 Piling......................................................................................................................10-86

10.5.5.1 Preliminary Review and Approval......................................................10-86

10.5.5.2 Construction Inspection .....................................................................10-89

10.5.5.3 Measurement .....................................................................................10-91

10.5.5.4 Documentation...................................................................................10-91

10.5.5.5 References.........................................................................................10-92

10.5.6 Steel Structures .....................................................................................................10-92

10.5.6.1 Preliminary Review and Approval......................................................10-92

10.5.6.2 Construction Inspection .....................................................................10-93

10.5.6.3 Measurement .....................................................................................10-95

10.5.6.4 Documentation...................................................................................10-95

10.5.6.5 Reference...........................................................................................10-95

10.5.7 Painting of Structures ............................................................................................10-95

10.5.7.1 Preliminary Review and Approval......................................................10-95

10.5.7.2 Construction Inspection. ....................................................................10-96

10.5.7.3 Measurement .....................................................................................10-97

10.5.7.4 Documentation...................................................................................10-97

10.5.7.5 References.........................................................................................10-98

10.5.8 REhabilitation of Concrete Structures ...................................................................10-98

10.5.8.1 Preliminary Review and Approval......................................................10-98

10.5.8.2 Construction Inspection .....................................................................10-99

10.5.8.3 Measurement .....................................................................................10-99

10.5.8.4 Documentation...................................................................................10-99

10.6 Miscellaneous Construction ................................................................................................10-101

10.6.1 Drainage Structures.............................................................................................10-101

10.6.1.1 Preliminary Review and Approval....................................................10-101

10.6.1.2 Construction Inspection ...................................................................10-102

10.6.1.3 Measurement ...................................................................................10-103

10.6.1.4 Documentation.................................................................................10-103

10.6.2 Guardrail and Concrete Barriers .........................................................................10-103

10.6.2.1 Preliminary Review and Approval....................................................10-103

10.6.2.2 Construction Inspection ...................................................................10-104

10.6.2.3 Measurement ...................................................................................10-104

10.6.3 Fence...................................................................................................................10-104

10.6.3.1 Preliminary Review and Approval....................................................10-104

10.6.3.2 Construction Inspection ...................................................................10-104

10.6.3.3 Measurement ...................................................................................10-106

10.6.3.4 Documentation.................................................................................10-106

10.6.4 Curb, Gutter, Waterways and Sidewalk ..............................................................10-106

10.6.4.1 Preliminary Review and Approval....................................................10-106

10.6.4.2 Construction Inspection ...................................................................10-107

10.6.4.3 Measurement ...................................................................................10-109

10.6.4.4 Documentation.................................................................................10-109

10.6.5 Signing, Delineators, and Striping .......................................................................10-110

10.6.5.1 Preliminary Review and Approval....................................................10-110

10.6.5.2 Construction Inspection ...................................................................10-111

10.6.5.3 Measurement ...................................................................................10-112
Major Construction Processes March 2009

TABLE OF CONTENTS

(Continued)

Section Page

10-iv Table of Contents

10.6.5.4 Documentation.................................................................................10-112

10.6.6 Slope Protection ..................................................................................................10-112

10.6.6.1 Preliminary Review and Approval....................................................10-112

10.6.6.2 Construction Inspection ...................................................................10-113

10.6.6.3 Measurement ...................................................................................10-113

10.6.6.4 Documentation.................................................................................10-113

10.6.7 Landscaping ........................................................................................................10-114

10.6.7.1 Preliminary Review and Approval....................................................10-114

10.6.7.2 Construction Inspection ...................................................................10-114

10.6.7.3 Measurement ...................................................................................10-115

10.6.7.4 Documentation.................................................................................10-115

10.6.8 Maintenance of Traffic .........................................................................................10-116

10.6.8.1 Preliminary Review and Approval....................................................10-116

10.6.8.2 Construction Inspection ...................................................................10-117

10.6.8.3 Measurement ...................................................................................10-122

10.6.8.4 Documentation.................................................................................10-122
Major Construction Processes March 2009

List of Exhibits 10-v

LIST OF EXHIBITS

Exhibit Page

Exhibit 10.5-A Allowable Bearing on Sandy Soils.........................................................................10-60

Exhibit 10.5-B Allowable Bearing on Clayey Soils........................................................................10-62

Exhibit 10.5-C Checklist for Falsework Inspection........................................................................10-67

Exhibit 10.5-D Report of Field Changes to Falsework/Formwork .................................................10-70

Exhibit 10.5-E Evaporation Rates in Hot Weather........................................................................10-76

Exhibit 10.5-F Identification Marks - ASTM Standard Bars ..........................................................10-83

Exhibit 10.5-G ASTM Standard Reinforcing Bars .........................................................................10-85

Exhibit 10.5-H Pile Driving Equipment Data Sheet .......................................................................10-88

Exhibit 10.5-I Pile Driving Record................................................................................................10-90

Exhibit 10.5-J ASTM Standard Structural Bolts ...........................................................................10-94

Exhibit 10.6-A Basic Checklist for Traffic Control .......................................................................10-119

Major Construction Processes March 2009

Introduction 10-1

CHAPTER 10

MAJOR CONSTRUCTION PROCESSES

10.1 INTRODUCTION

This chapter discusses construction activities. The chapter is divided into sections for each of 

the major categories of work (e.g., clearing and earthwork, aggregate and subbase, etc). These

sections are then further subdivided to provide discussion of each individual item or type of work

(e.g., clearing and grubbing, removal of structures and obstructions, etc.). These subsections 

each contain instructions, illustrations, suggestions, or references concerning the following:

1. Preliminary Review and Approval

2. Construction Inspection

3. Measurement

4. Documentation

5. Reference Materials (if appropriate)

The material within this chapter should not be considered all-encompassing and, in fact, will not 

be appropriate in all situations. It does not offer cookbook solutions to problems, but rather

suggestions to help FLH personnel identify and avoid situations that could lead to problems and, 

if problems do occur, ideas to facilitate their resolution.

Much of the material presented deals with construction processes, procedures, and equipment, 

particularly whether or not they are consistent with appropriate quality standards. This manual 

is not intended to provide Project Engineers with a level of expertise such that they can 

intervene and act on behalf of the Contractor. The Contractor is expected to provide a sufficient 

level of expertise to properly calibrate and use its equipment. If that is not happening, the 

problem should be addressed as a management problem that the Contractor must resolve to 

continue with the work. 
Major Construction Processes March 2009

10-2 Clearing and Grubbing

10.2 CLEARING AND GRUBBING

10.2.1 CLEARING AND GRUBBING

10.2.1.1 Preliminary Review and Approval

The vegetation and debris to be cleared, grubbed, removed, and disposed of under this section, 

includes all surface objects, trees, stumps, roots, and other protruding obstructions within the 

designated limits except such objects as are designated to remain in place or are to be removed 

under other contract items.

Before clearing and grubbing operations begin, the Project Engineer should perform or direct 

the performance of the following:

 Clearly mark the limits of all areas in which the Contractor will be performing work. It should 

be made clear to the Contractor what access has been provided for the Contractor and for 

those property owners adjacent to the project.

 Go over the job with the Contractor and discuss the work to be done and any special details. 

Such details should include:

o Trees to be saved, 

o Stakes and survey control points to be preserved, 

o All known utilities that could be damaged during clearing operations, 

o General clearing procedures and disposal of materials, and

o Topsoil requirements, including any special requirements that require the removal of 

topsoil prior to grubbing.

 Review all timber agreements and discuss with the Contractor the ownership of the timber 

and any special hauling or branding requirements.

 Clearly mark all trees, shrubs, survey or historical markers, objects of historical or 

archeological value, etc., that are to be preserved or remain in place, and make the 

Contractor aware of their location.

 Go over erosion control requirements. See Section 10.2.4.

 Review the disposal requirements for slash, stumps and nonmerchantable timber. Discuss 

permits and special requirements for burning with the Contractor. 

10.2.1.2 Construction Inspection

Inspection is usually a matter of intermittent checks, once the Contractor’s supervision and 

understanding of requirements has been verified. Special circumstances such as a high degree 

of environmental sensitivity in some National Parks may dictate more frequent reviews. The 

inspector will usually be concerned with the items discussed in Sections 10.2.1.2.1 through 

10.2.1.2.7 below.
Major Construction Processes March 2009

Clearing and Grubbing 10-3

10.2.1.2.1 Equipment and Methods

The choice of equipment and methods used for this work is usually left to the Contractor, so 

long as the work is performed in a satisfactory manner. However, there may be limitations to 

the Contractor’s choice as dictated by the specifications, common sense, or local laws and 

regulations (e.g., specific control of the use of explosives in congested areas).

10.2.1.2.2 Removal of Trees, Undergrowth, Stumps, and Roots

Trees, stumps, and large roots should be removed from excavation areas to a depth sufficient to 

prevent such objectionable material from becoming mixed with the material being incorporated 

in the embankment. These areas to be excavated will normally require grubbing to remove 

small bushes, vegetation, rubbish and other objectionable material. For areas under large fills, 

consult the contract to verify the fill heights for which stumps may remain and not be grubbed.

10.2.1.2.3 Removal of Material Outside Clearing Limits

It may be desirable to remove downed timber, etc., outside the originally established limits for 

clearing and grubbing. When there is no item for Individual Removal of Trees, or when these 

situations are not covered in the special contract requirements, the inspector should refer the 

situation to the Project Engineer for consideration as a contract modification.

10.2.1.2.4 Preservation of Objects Designated to Remain

Precautionary measures must be taken to protect objects designated to remain in place from 

damage during clearing and grubbing and other construction operations. These objects may

include trees, shrubs, survey or historical markers, objects of historical or archaeological value, 

utilities, and similar items. Clearly marking such objects and making the Contractor aware of 

their location will help ensure their preservation.

Trees close to the top of high cut slopes should not be designated for preservation as they may 

become a traffic hazard or threaten the stability of the slopes.

Trees at the bottom of fill slopes should be removed beyond the slope limits, including rounding, 

unless tree wells or similar provisions for protecting them are included in the contract.

10.2.1.2.5 Timber to be Saved

When merchantable timber is to be saved, it must be trimmed, sawed, and stockpiled in 

accordance with the special contract requirements. When there is no suitable place along the 

highway to stockpile timber to be saved, it may be necessary to clear an additional area for 

stockpiling. The length of haul of this timber to stockpile areas should be kept to a minimum. 

The areas of such additional clearing should be included in the measurement for payment, and 

approved by the Project Engineer in cooperation with land owning agency.
Major Construction Processes March 2009

10-4 Clearing and Grubbing

10.2.1.2.6 Rehandling

The Contractor is entitled to no additional payment in the event of any rehandling of refuse 

caused by an order from the Forest Service or other legal authority to delay burning. Such 

orders should be requested in writing and should be conveyed to the Contractor in a manner 

which makes it clear they have not been initiated by Federal Lands as a contractual action.

10.2.1.2.7 Hazards

Clearing and grubbing operations, particularly in dense, tall timber regions, can be very 

dangerous. Federal Lands personnel should make certain that the Contractor’s operation does 

not endanger them, result in potential hazards to the traveling public, or create damage to 

existing facilities in or adjacent to the right-of-way.

10.2.1.3 Measurement

Methods of measurement must be consistent with the contract. Specifications should be 

reviewed closely for any exceptions to the general practice of including all area designated for 

clearing in the measured quantity, whether some parts require physical clearing effort or not. 

For example, the area of existing roads lying within the area staked for clearing are not 

deducted from the area otherwise measured unless the contract specifically provides for such 

deduction.

10.2.1.4 Documentation

The Project Engineer is responsible for documentation of the required compliance with the 

specifications, and for the field measurement notes and computations for pay quantities. 

Compliance is usually documented by IDR or diary entries, and photographs. Original 

(authorized) quantities are generated and adjustments and additions may be required 

throughout the clearing process. Quantities are summarized in a pay note, with indications as 

to when each section is complete or partially complete noted and reflected in the computations. 

Whether field measurements and/or computations are made by Contractor or Government 

crews, the Project Engineer must arrange for reasonable verification processes. Collect load 

tickets for merchantable timber hauled off the project when required by the contract or timber 

agreement.

10.2.2 REMOVAL OF STRUCTURES AND OBSTRUCTIONS

10.2.2.1 Preliminary Review and Approval

Before operations begin, the Project Engineer should go over the project with the Contractor 

and clearly identify any structures and obstructions to be removed. When the bid schedule 

does not contain a bid item for removal of structures and obstructions, removal within the 

designated construction limits should be considered a subsidiary obligation of the Contractor. 

However if the obstruction was not apparent during the bidding, and so unusual that it could not 

reasonably have been anticipated, the Contractor may make a case that it is compensable as a 
Major Construction Processes March 2009

Clearing and Grubbing 10-5

differing site condition. There may also be instances when it is desirable to remove structures 

that are not within these limits. In such cases, if the removal of such structures is not covered in 

the special contract requirements, they should be considered for a contract modification.

10.2.2.2 Construction Inspection

As with clearing operations, precautionary measures must be taken to protect objects 

designated to remain in place from damage during these operations. Clearly marking such 

objects in the company of the Contractor will help ensure their preservation.

To aid in documentation, the project should be reviewed just after award to verify the location 

and quantity of obstructions as indicated in the plans.

10.2.2.3 Measurement

The method of measurement must be consistent with the Contract. Usually removal items are 

measured by each or lump sum. For items measured by length or area, measure the item in 

place before removal.

10.2.2.4 Documentation

The Project Engineer is responsible for documentation of the required compliance with the 

specifications. and for the field measurement notes and computations for pay quantities. For 

each structure or obstruction to be removed, the Project Engineer should document the location,

measured quantity (if appropriate), date of removal, and place of disposal (if known). 

10.2.3 EXCAVATION AND EMBANKMENT

10.2.3.1 Preliminary Review and Approval

The specifications provide that all suitable excavated material should be used in the formation of 

embankment, subgrade, shoulders, slopes, bedding and backfill of structures, and for other 

purposes shown on the plans or as directed. The specifications also provide authority for 

making changes in the plans and specifications during the course of construction to adjust them 

to field conditions. Changes that affect the Contractor’s unit costs or time of performance may 

warrant an equitable adjustment.

If the Contract requires the Contractor to furnish embankment material from sources of its own 

choosing, and if excavation from the roadway prism is incidental to an embankment pay item, 

the Project Engineer is usually concerned only with material quality, compaction, and 

geometrics.

Likewise, if the Contract indicates that borrow may be necessary, but no pay item for borrow is 

provided, the Project Engineer should prudently monitor quantities, especially noting how they 

are generated and how they are used, but normally is not required to actively manage these 

quantities.
Major Construction Processes March 2009

10-6 Clearing and Grubbing

Other contracts will require embankments to be constructed, or constructed in part, from 

materials to be excavated, and excavation will be a pay item. This is the predominant design 

scheme in many areas of Federal Lands work, particularly for projects in rugged terrain. The 

intent (which is also a condition of the Contract) is for the grading work to balance. That is, the 

cuts are to provide adequate material to make the fills. If that is not possible, then a borrow 

item, and often a source for that borrow, is provided. The designer must estimate how much the 

excavated material will shrink or swell compared to its original in-place volume as it is placed 

and compacted in the embankments. Soil is usually expected to shrink in volume as it is 

compacted at optimum moisture; whereas rock will swell upon excavation and placement in an 

embankment. The Project Engineer should attempt to monitor the early grading work for 

verification of the designer’s shrink-swell adjustment factors. This will sometimes provide lead 

time to correct for errors, perhaps by adjusting slopes in areas not worked, or by adjusting 

grades or alignment, or by finding waste or borrow areas. Failure to make the earthwork 

balance when the Contract indicates that it does, may result in a dispute over disposal of excess 

excavation or the importation of necessary borrow.

It is the responsibility of the Engineer to recommend or make changes found necessary to meet 

field conditions encountered during the progress of the work. It may be necessary to flatten 

slopes for stability or revegetation. Where more rock is encountered than anticipated, economy 

will dictate the steepening of slopes. Changes in grade, alignment, and/or slopes may be 

necessary to balance quantities, avoid wasting materials, and minimize overruns in excavation 

quantities. In making or recommending changes, the Project Engineer should be guided by 

Chapter 13 of this manual and instructions from the COE. Insofar as possible, the need for 

contract modifications should be anticipated and issued before the Contractor starts grading 

operations in the areas involved. However, it should be kept in mind that changes that increase 

the Contractor’s cost or time of performance can have an additional effect on the cost of the 

remaining work.

Periodic inspection of the construction of side slopes and drainage ditches is necessary. If the 

Contractor excavates outside the slope stakes, or below subgrade except as required, gouges 

or undercuts the slopes, or causes significant overbreak, the Project Engineer should 

immediately advise the Contractor, in writing, that the specifications do not permit payment for 

such material. Before the work is accepted, the roadway should be reasonably close to the 

required alignment, grade, and cross section.

The Project Engineer should discuss with the Contractor the importance of exercising care in 

blasting operations to ensure landscape preservation in National Forests and National Parks, 

and protection of abutting privately-owned property, where such property is involved. The 

Project Engineer should ensure that the Contractor’s Blasting Plan reflects this level of concern 

prior to approving it.

The Project Engineer should observe the Contractor’s methods of drilling, blasting, and other 

grading operations for compliance with the protection and restoration of property provisions of 

the Contract. The Standard Specifications provide for restoration (at the expense of the 

Contractor) of any landscape features damaged by Contractor operations. However, the 

objective should be to avoid such damage in the first place.

If blasting causes a scattering of material beyond construction limits, the land owner or agency 

should be consulted in the presence of the Contractor to determine an acceptable method of 

removing the material without further damage to the property. In the event that damage results 
Major Construction Processes March 2009

Clearing and Grubbing 10-7

to privately-owned property, and repairs are not promptly made by the Contractor, the COE

should be consulted and appropriate action taken.

10.2.3.2 Construction Inspection

Inspection at random intervals will usually be adequate if decisive corrective action is ordered 

relative to any deficiencies found.

10.2.3.2.1 Materials

Preliminary sampling and testing of excavation, borrow, and subgrade materials normally will 

have been performed for design purposes prior to award of the contract. The preliminary design

data furnished to the Project Engineer may include classification, moisture-density relationship, 

and color and texture of the soils sampled during the preliminary soil survey.

Samples need to be taken during construction to verify that classification, moisture-density 

relationships, soil stiffness, and other assumptions made during the design are consistent with 

the actual constructed conditions. The sampling requirements are detailed in the table at the 

end of Section 204 of the Standard Specifications. It is the responsibility of the Project Engineer 

to see that sufficient supplementary samples are taken and tested.

The Contract normally makes specific quality requirements for the subgrade and other portions 

of the embankment. Verification of those quality requirements is a part of the Project Engineer’s 

responsibility. 

The soils and/or pavement design report is provided to the Project Engineer from the designer. 

The report may provide the most significant factors considered in design, including traffic 

loading, soil support values, and climatic and environmental conditions. It will aid in making an 

assessment as to whether the conditions encountered differ from design assumptions. The 

Project Engineer and/or COE should contact the Pavements or Geotech groups responsible for 

site investigations and roadway/embankment design if significant variances in site conditions 

are encountered.

Additional information on sampling and testing is contained in Chapter 7 of this manual.

10.2.3.2.2 Borrow

When borrow excavation is included in the bid schedule, the Contractor is required to furnish 

necessary material from sources designated in the Contract, or from sources the Contractor 

provides. In either case, the material must meet the gradation and quality requirements of the 

Contract. In accordance with Section 204 of the Standard Specifications, borrow used when 

roadway excavation material would have been available will be deducted from the borrow 

volume (i.e., such use of borrow will not paid for). It is intended that borrow material not be 

placed until after all reasonably accessible roadway excavation has been used, or will be used. 

Contractors who, for reasons of efficiency want to bring in borrow before all excavation has 

been performed, should be advised that they run the risk of having borrow quantities reduced if 

excavated material is left over.
Major Construction Processes March 2009

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For projects requiring a significant quantity of material hauled in for embankment construction, 

the contract may specify the use of embankment material from the Contractor’s selected 

sources. The Contractor is then paid for the quantity of embankment rather than excavation or 

borrow. Any excavation required on such a project would be considered incidental to the 

embankment pay item, or would be called out as a separate pay item.

Selected borrow for topping is often specified on grading projects where soil conditions are 

poor. This material is obtained from Contractor provided sources, and will usually have more 

stringent gradation and quality limits specified than borrow for embankment construction.

The selected borrow for topping item may be reduced (or eliminated) if a suitable substitute is 

found in the excavation or borrow operations. Unless the Contract specifically requires such 

materials to be identified and used in the subgrade, the change would require a contract 

modification.

Even if better materials are ordered conserved for subgrade use, it is generally not economically 

practical that such materials be excavated and stockpiled, and later used in the work. 

Conservation for topping should be accomplished by leaving the material in its original position, 

whenever practical.

When a source of borrow material proposed by a Contractor for use has not been previously 

tested and approved, the Contractor must submit records of exploration and testing to support a 

request for approval. Split samples can also be requested, obtained, and tested by the central 

laboratory to verify the material quality. If the source is not an open commercial source, 

environmental and archeological clearances may also be required. Approval of the source 

should be made to apply only to those portions from which acceptable material can be obtained.

Other sources of borrow, other than those contemplated in the design, may be required to 

provide material of the quality and quantity necessary to complete the project. When additional 

borrow sources are necessary and it is determined that the Government will provide them, 

before locations are staked, the Project Engineer should obtain the concurrence of the COE and 

the approval of the local Forest or Park Service officials (where such jurisdictions are involved). 

If the sites are on private lands, right-of-way agreements shall be executed and any question of 

royalty settled before they are staked. However, it is very unusual for Federal Lands to attempt 

to negotiate a borrow site on private land, especially in the midst of an ongoing contract.

If additional right-of-way or an easement is required to expand a designated location, the Project 

Engineer should obtain necessary property descriptions and forward them to the COE for 

appropriate action. The COE should also be consulted relative to any permits likely to be 

required. These might relate to State mining laws, laws governing wetlands, etc.

Whenever practicable, a borrow source should be located outside the limits of view of the 

project. In timbered country, they should be located a minimum of 325 feet (100 meters) from 

the roadway, in open country a minimum of 1,000 feet (300 meters).

It is sometimes faster and no more expensive to assign responsibility for the source of any 

required borrow material to the Contractor, and structure the contract or contract modification on 

that basis.
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Clearing and Grubbing 10-9

10.2.3.2.3 Topsoil

When the plans or specifications provide for removal and storage of suitable topsoil, only soil 

that can sustain a growth of vegetation should be conserved. Most soil will sustain growth if 

properly fertilized. If the Project Engineer has doubts, the Federal land management agency 

associated with the project may be able to help. That is, the Forest Service, National Park 

Service, or Fish and Wildlife Service may employ specialists locally who can be consulted. 

Additional information regarding topsoil thicknesses and distribution across the project is 

available within the Geotechnical report.

10.2.3.2.4 Presplitting Rock Cuts and Blasting Plans

Before starting drilling operations for presplitting rock cuts, as specified in the specifications, the 

Contractor is required to provide a drilling and blasting plan. The drilling and blasting plan is to 

document the Contractor’s plan for accomplishing the work. Its approval or acceptance by 

Federal Lands does not absolve the Contractor of responsibility for using proper drilling and 

blasting methods to achieve the required results. The Project Engineer should evaluate the 

plan, and bring to the attention of the Contractor all apparent weaknesses or proposed 

procedures that are contrary to the Contract. The Project Engineer should closely inspect initial 

operations, methods being used, and the results obtained. When satisfactory results are not 

obtained, the Project Engineer should direct the Contractor to prepare a revised plan.

Critical factors in successful presplitting are hole diameter and spacing, hole deviation, charge 

distribution, and confinement. Test blasts, as required by the Standard Specifications, will help 

determine the optimum drill pattern for each job. In practice, it has been found that denser, less 

fractured, and more homogenous material allows for larger hole diameters, less explosives, and 

greater distance between holes, a combination that typically yields better results.

Successful presplitting operations commonly indicate a spacing of 1.3 to 2.5 feet (0.4 to 0.75 

meters), center to center, and a hole diameter of 2 to 4 inches (50 to 100 millimeters). Charges 

taped at 1 to 3 feet (0.3 to 1.0 meter) intervals to a down line of detonating cord with heavier 

loads placed at the bottom of the hole have been used; however, lighter loads are required in 

weak rock masses. Explosives packaged in long narrow cardboard tubes that can be coupled 

into a continuous column as they are placed in the hole can be used in place of the taped loads. 

These have proven to be effective.

Hole depth in presplitting is limited by the difficulty in drilling accurately aligned holes. This is 

dependent on the quality of the rock mass. Deviation of greater than 6 inches (150 millimeters)

from the desired shear plane will give inferior results. Generally, 50 feet (15 meters) is the 

maximum depth that can be used without significant deviations of alignment unless unusually 

large diameter holes are permitted.

Presplitting can be accomplished in conjunction with the primary blast by delaying the primary 

holes so that the presplitting holes will fire ahead of them. Shooting far in advance of primary 

excavation can be troublesome if the rock characteristics change and the load causes 

excessive shatter in weaker areas. By carrying the presplitting only one-half shot in advance of 

the primary blasting, the knowledge gained from the primary blasts regarding the rock can be 

applied to subsequent presplitting shots. In this manner, the loads can be modified if 

necessary, and less risk is involved as compared to presplitting the full length of the neat 

excavation line before starting the primary blasts.
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The above considerations are typical of the issues addressed by the Contractor in the Blasting 

Plan. It is not Federal Lands’ intent to order methods and procedures beyond those in the 

Contract. Certainly if the Contractor has difficulty achieving required results, these and other 

issues should be discussed with the Contractor and with trained blasting specialists if the 

Project Engineer needs assistance in dealing with certain technical issues.

Although not normally required, some contracts may, for aesthetic reasons, require the removal 

or obliteration of remaining drill holes in cut faces. For this reason, pre-splitting is rarely used on 

FLH projects. Cushion blasting is the preferred means of controlled blasting on most projects, 

and has its own set of requirements. For instance, some allowance for overbreak is often 

provided, requirements for scaling are generally included, and cut-to-cut controls are generally 

tighter to manage volumes. 

10.2.3.2.5 Prewatering Excavation Areas

In some areas, prewatering of excavation areas by sprinkling, flooding, or irrigation provides 

more uniform distribution of moisture with less water than truck watering in the embankments. 

This will also reduce the need for manipulation of the soil on the roadbed. 

When prewatering is used and water is specified as a pay item, the Project Engineer must 

closely observe and evaluate the prewatering operations to avoid payment for wasted water. 

The special contract requirements may limit the pay quantity to the amount required to provide 

the proper moisture content for compaction to specified densities.

10.2.3.2.6 Slope Rounding and Warping

Slopes are to be rounded as indicated on the plans. The method of measurement and basis for 

payment is specified in the Contract.

The Project Engineer should encourage the Contractor to perform the slope rounding as a part 

of rough grading operations, rather than doing it as a special operation after slopes are 

otherwise finished. This will usually minimize the work involved and improve its overall quality.

In order to obtain the reasonably smooth and uniform surfaces required by the specifications, 

slopes should be warped and adjusted to harmonize with existing landscape features. The 

Project Engineer can help ensure the desired results by carefully reviewing the slope stakes on 

the ground and ordering appropriate adjustments before grading work begins.

10.2.3.2.7 Waterways and Ditches

Satisfactory drainage often is difficult to secure, particularly in flat country. Except when ponds 

are specified, waterways should drain quickly and efficiently away from the highway. Cut 

ditches should be flared out away from the roadbed at the end of the cuts and extended on the 

natural ground to a point where water will not discharge along the junction of the fill slope and 

the natural ground. Abrupt changes in these outlet ditch grades should be avoided to prevent 

erosion or silting. If possible, the flow line slope of waterways should not exceed that which is 

proper for the material. Where that slope is exceeded on steep grades, the Project Engineer 

should consult with the COE to determine the need for additional cross drains, paving of 
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Clearing and Grubbing 10-11

waterways, or other corrective measures to prevent scour. Extra wide sections require special 

consideration, especially when super elevation may increase scour or erosion potential.

Where considerable surface drainage over the top of a high cut appears likely, the Project 

Engineer should consult the COE regarding the measures to be taken. One method of 

correction would be the construction of ditches above the cut to intercept and lead the flow to 

natural drainage courses. Such ditches should be far enough away from the edge of the cut to 

prevent seepage sufficient to cause sliding, and should not be so steep as to cause erosion. 

Unless shown on the plans, construction of such ditches in sensitive areas, such as on Park or 

Parkway projects, should not be undertaken without the agreement of appropriate Park Service 

officials. Right-of-way for such ditches may be a consideration for some projects.

10.2.3.2.8 Subdrainage

Thorough attention to subdrainage is essential to the life of the road and will result in reduced 

maintenance costs. Should the Project Engineer suspect the presence of subsurface water in 

such quantity as to affect the stability of the roadbed, and if corrective measures have not been 

provided in the plans and specifications, appropriate action should be taken to correct the 

problem. Mitigation of excess water may be accomplished by the simple installation of 

underdrains under certain conditions. Other conditions may require special investigation and 

more involved designs using geotextiles or other methods. The Project Engineer should consult 

with the COE or FLH specialists when simple underdrains are deemed inadequate for the field 

conditions.

Section 10.6.1 of this manual contains information on the construction of underdrains.

10.2.3.2.9 Embankment Foundation Preparation

The quality of embankment construction depends on the proper preparation of the foundation. 

The presence of subsurface slippage planes, soft or saturated material, and springs or seepage 

are some of the conditions that may cause embankment failures. These conditions require 

careful attention and should be brought to the attention of the Geotechnical Engineer if not 

already described in the Geotechnical Report.

The plans and/or special contract requirements will usually provide corrective measures for 

unstable foundation conditions known to the designer. Some may not become known until 

exposed by clearing and grubbing. Before embankment construction begins, all embankment 

areas should be examined to determine the need for corrective treatment. Some areas of 

questionable support may only require subgrading. Others will require extensive systems of

underdrains, filter blankets, rock trenches, or rock embankment.

During the construction of embankments on hillsides, particular attention should be given to 

obtaining the best possible interlock between sloping original ground surfaces and the new 

embankment. Sufficient benches should be excavated to ensure a firm bearing on solid 

material. Payment for the benching will depend on how the specifications are written. If not 

addressed in the specifications, a contract modification may be required.

One of the most frequent points of embankment failure is the area where the roadway changes 

from excavation to embankment. It is advisable to explore these areas for possible need of 
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10-12 Clearing and Grubbing

underdrains to remove seepage water. The benching operation described above should be 

very carefully followed in these transition areas.

The Project Engineer should consult the COE if the embankment area where the foundation 

treatment and/or items provided in the Contract seem inadequate for the actual field conditions.

10.2.3.2.10 Embankment Failures -- Causes and Corrective Measures

Embankment failures or displacements are due mainly to improper design or construction, or 

both. Four major causes of embankment failures are discussed below. The design should be 

based on a thorough exploration of foundation conditions and available embankment materials. 

Serious failures occurring or expected during project construction should be corrected on the 

basis of subsurface investigation and analysis. The Project Engineer should consult the COE 

and the responsible Geotechnical Engineer to arrange for such investigation and analysis.

1. Failure due to weight of the embankment displacing soft foundation material. 

This failure is usually characterized by an en masse drop and lateral movement of a portion 

of the fill. 

To provide a satisfactory embankment over a soft foundation, three approaches may be 

taken:

a. Removal and replacement of soft soil with suitable material. This may be the most 

economical method to depths of about 3 feet (1 meter). 

b. Reduction of applied shearing forces. This can be accomplished by reducing the height 

of the embankment, using light-weight material in the embankment, and by either 

flattening the side slopes or by using toe berms.

c. Strengthening of the soft foundation soil. This can often be accomplished through 

consolidation. Drainage ditches may be used to lower the water table and consolidate 

the foundation soil under its own weight. Foundation strength may be allowed to keep 

pace with increase in load by providing adequate time for foundation consolidation. A 

sand blanket placed directly on the soft foundation soil, or vertical sand drains in 

combination with a sand blanket, will increase the allowable rate of consolidation. This 

rate must be controlled by field measurements during construction.

Pavement failures due to excessive consolidation of the soft foundation soil may be reduced 

by removing the soft material, providing sufficient time for consolidation before paving, or by 

accelerating the consolidation by the use of a temporary surcharge and one of the drainage 

methods noted above.

2. Failure due to loss of stability of embankment through impounding of hillside 

seepage water causing saturation. 

This type of failure is usually identified by characteristic sloughing of part or all of the fill. 

When opened up, the impounded water will usually gush out until the hydrostatic pressure is 

relieved. Prevention of such failures usually lies in providing for the escape of seepage 
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Clearing and Grubbing 10-13

water by means of subdrains or placement of very porous material in the lower part of the 

fill.

3. Failure due to the weight of embankment causing movement on a well defined 

slippage plane in the underlying foundation. 

This type of embankment failure is generally characterized by bodily movement of the fill, 

without sloughing. The usual correction is to intercept and remove the subsurface water by 

trenching or placing subdrains above the fill.

4. Failure due to horizontal stresses produced by the weight of the fill being greater than 

the corresponding shearing resistance. 

This condition occurs when the slopes are too steep for the height of the fill and the type of 

the material, or when the material is insufficiently compacted. Proper compaction and 

correct slope design are both essential for permanent fill stability.

10.2.3.2.11 Embankment Compaction

The need for adequate compaction of embankments should be strongly emphasized. 

Compaction of the lower portions is necessary to prevent settlement and provide stable slopes. 

It is important in the upper portions to provide bearing capacity, control volume change, and 

provide uniformity.

All embankments are to be compacted in accordance with the Contract specifications. The 

specifications normally do not prescribe the type of compaction equipment to be used. Unless 

otherwise specified in the special contract requirements, the Contractor is free to use equipment 

of its own choice, provided it will compact the embankment in accordance with the Contract 

requirements.

The Contractor is required to bring the embankment material to a moisture content suitable for 

compaction and to compact the embankment until it consistently meets the Contract 

requirements.

It is the responsibility of the Project Engineer to verify that the moisture-density relationship of 

each type soil to be used in embankments is determined in accordance with the test methods 

specified. In most contracts, the actual sampling testing and documentation will be the 

responsibility of the Contractor. As discussed in Section 10.2.3.2.1 of this manual, this will 

require use of preliminary soil data and supplementary sampling and testing of any soils 

encountered during construction that are different from those sampled during the preliminary 

soil survey.

The specifications usually require density tests of compacted embankment material to be made 

in accordance with AASHTO T 310, or other approved methods. Actual requirement will be 

identified in the contract. The Project Engineer should make observations and reviews of 

density tests to ensure that prescribed procedures are being used, required density is being 

attained, and adequate documentation is being maintained.

If more than one type of soil is being compacted into embankments, the selection of the proper 

moisture-density curve becomes as important as the density test itself. It may be necessary to 
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10-14 Clearing and Grubbing

use a family of curves (AASHTO T 272) in combination with a one point proctor in order to 

select the proper curve.

In gravelly or rocky soils, a coarse particle correction (AASHTO T 224) or a family of curves may 

be necessary to correct for differing percentages of coarse particles in the field as compared to 

the original proctor. This is especially true when a nuclear gauge is used in gravelly soils. A 

sample may be required in order to compute a coarse particle correction each time a density 

test is taken.

During construction, a record of all relative density tests should be maintained on a chart drawn 

to convenient scale. This may be done on a roll of cross-section paper with both plan and 

profile plotted as horizontal lines. Depth and location tests and retests can thus be easily shown 

in relation to grade and centerline station.

The success of compaction operations is dependent to a large extent on proper moisture 

control. If the proper amount of moisture is uniformly distributed throughout the embankment 

layer, rarely will there be any difficulty in obtaining satisfactory compaction, provided the 

thickness of the layer does not exceed the capabilities of the roller being used. The common 

tendency to construct earth embankments at moisture contents on the dry side of optimum

makes the task of securing uniform moisture distribution and satisfactory compaction more 

difficult. Usually, it is better to begin compaction with the moisture content slightly high; 

however, in humid areas it may be better to begin with the moisture content near optimum.

The mixing and blending of soils and water should be thorough. Large clods and lumps must be 

broken down to ensure a uniformly moist condition. Whenever it is necessary to blend moisture 

into very plastic clays, heavy plowing and turning of the soil will usually do the job satisfactorily; 

however, in certain extreme cases, some type of mechanical mixer may be needed.

When adding water to a layer of material, care must be taken to avoid overlapping or gapping 

between successive passes of the water distribution equipment. Wet or dry streaks are 

undesirable and should be avoided. Application of water should begin on one side of the 

embankment and progress across to the other side to avoid having wet or dry streaks in the 

center of the embankment. It is better to make several light applications rather than one heavy 

application of water.

In lieu of applying water to material in the embankment to attain the proper moisture content for 

compaction, the excavation or borrow areas may be prewatered as discussed in Section 

10.2.3.2.5.

In using density tests to determine the adequacy of compaction, recognition should be given to 

causes of variations in test results that are to be expected when using this method of 

compaction control. Exact representative samples are seldom possible. When it is not possible 

to properly perform meaningful tests due to high rock content or for other reasons, explanation 

as to why the tests were not made should be entered on the form provided for recording the test 

results.
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Clearing and Grubbing 10-15

10.2.3.2.12 Disposal of Surplus Material (when off-site disposal is not a Contractor 

responsibility)

Unavoidable waste or surplus from roadway and structure excavation is to be utilized, to the 

maximum extent practical, to widen embankments, flatten slopes, and provide parking areas. 

Proper distribution is necessary to secure uniform appearance of the finished roadway. 

Boulders or rocks brought to the surface by scarifying generally are to be covered in 

embankments or disposed of as authorized by the Contract.

The necessity for widening of embankments should ideally be determined early enough that 

such widening may be incorporated in the originally planned embankment. If surplus material is 

developed after the nearby embankments have been completed, it should be used to fill pockets 

on the uphill side of embankments, or hauled and wasted in other suitable disposal areas.

Proposed disposal sites for any significant quantity of unanticipated surplus material should be 

discussed with the COE and representatives of cooperating agencies. There may be a need to 

obtain or modify permits in accordance with State or Federal regulations.

10.2.3.2.13 Finishing Earthwork

Before the finishing operations begin, the Project Engineer should carefully check the roadway 

to see that the earthwork is in reasonably close conformity with the staked lines, grades and 

cross sections. The Standard Specifications require the roadway to be finished to reasonably 

smooth and uniform surfaces. Refer to Section 1.4.4 for a discussion of tolerances not explicitly 

specified.

10.2.3.3 Measurement

Refer to Section 9.4.3 of this manual, and to the appropriate measurement sections in the 

Contract. The Standard Specifications detail what is and is not to be included as excavation 

and embankment.

Most excavation and embankment items are paid as staked quantities (i.e. the computer 

generated quantities based on field cross section and slope stakes). Often secondary 

measurements are taken to modify the original quantities (e.g. when a slope is laid back).

Adjustments to authorized quantities may also be appropriate, if, for example, the Contractor 

wastes material that could be used, or uses excavation for rip-rap, which necessitates it being 

replaced by borrow or expanded excavation. 

Some quantities are measured in place. For example, subexcavation is often inspected as it is 

excavated, and the limits of the excavation are determined at that time.

10.2.3.4 Documentation

Refer to Section 9.4.3 of this Manual.
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Generally, basic documentation will consist of the computer generated quantities. The 

computer run should be dated, cross-referenced, and included with the pay note. Obsolete 

versions of computer runs should be destroyed or clearly marked as “superseded”. 

Adjustments to the computerized quantities should be in subsequent pay note entries. It should 

be possible at any time for someone unfamiliar with the project to refer to the specific pay notes 

for this item and to follow the cross references back to the detailed quantities authorized and 

accomplished.

10.2.4 SOIL EROSION CONTROL

10.2.4.1 Preliminary Review and Approval

Construction activities that are subject to high erosion risk include clearing and grubbing, 

earthwork, ditch construction, haul roads, culvert installation, channel changes, pier or abutment 

work in streams, temporary stream crossings, borrow pit operation, and hydraulic or mechanical 

dredging.

The Contract will contain an Erosion Control Plan that reflects special concerns, measures to 

protect resources, and permit requirements. The Contractor may submit an alternate plan for 

approval, but the alternate plan must comply with Contract requirements, constraints and 

permits. No work on any segment of the project may begin until the required erosion control 

devices associated with that segment are installed.

Approval of alternate plans should be based on compliance with the requirements and 

constraints in the Contract, and, if applicable, requirements and constraints in the permit and in 

the regulatory requirements of the local water quality agency. If the Project Engineer 

encounters approval/disapproval issues that are not addressed by these documents, the subject 

should be discussed with the COE.

It is required that the Contractor incorporate all permanent erosion control features into the 

project at the earliest practicable time. This commitment should be reflected in the proposed 

progress schedule. If the Contractor subsequently fails to adhere to the schedule and is forced 

to install additional temporary devices or seeding because the site is not ready for permanent 

devices or seeding, FLH may take the position that the cost of the additional devices is not 

compensable under the Contract.

The effectiveness of the erosion control measures should be reviewed and updated prior to any 

winter shut down or expected event having the potential to cause erosion. Sediment traps, 

settling basins, stage seeding, mulching, temporary slope drains, special berms, terraces, 

ditches and/or dikes, temporary seeding, sodding, contouring, benching, serrated slopes, 

erosion control matting, silt fence or other approved devices may be placed in the construction 

contract to control soil erosion and stream pollution.

10.2.4.2 Construction Inspection and Maintenance

NPDES permits typically require inspections of control devices at least once per week or once 

every two weeks and within 24 hours of rainfall events greater than a half inch (13 millimeters). 

Prior to beginning each major construction operation phase, the Project Engineer should make 
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Clearing and Grubbing 10-17

a detailed inspection of the project with the Contractor’s representative to verify that the 

approved schedule remains adequate and to go over details not covered in that schedule. 

Once control devices are installed, additional quality assurance inspections should also be

made periodically to verify the adequacy of the plan. The contract may require the Contractor to 

conduct, participate in, and/or document these inspections. Otherwise the Project Engineer is 

responsible for them.

If inspections identify inadequacies in either the Erosion Control Plan or the performance of 

specific control devices, corrections must be made. If control devices demonstrate the need for 

maintenance or replacement, such activities should be conducted immediately. All inspections 

and maintenance actions must be documented and maintained in a separate file on the project 

site.

10.2.4.3 Measurement

Measurement for erosion control devices normally starts with the quantities authorized in the 

Contract, which are based on the specified Erosion Control Plan. If the plan is modified or 

quantities are adjusted, written authorization for the modifications is required. Once the devices 

are installed, there should be documentation in the IDRs or in the pay notes that each of the 

authorized installations has been accomplished. If additional quantities, beyond those 

authorized in the Contract are required, a contract modification may be necessary.

10.2.4.4 Documentation

Basic documentation for erosion control items consists of the following:

 The Contract or alternate approved plan for erosion control devices that is maintained to 

reflect field conditions.

 Documentation/authorization for quantities in excess of those provided in the Contract.

 Inspection documentation that the required devices have been installed, are effective and 

have been maintained for the duration of need.

The pay note documentation should be cross-referenced to these items, or these items can be 

included as referenced documents within the pay note.

10.2.5 STRUCTURAL EXCAVATION

10.2.5.1 Preliminary Review and Approval

Excavation for structures is usually bid at prices considerably higher than unclassified 

excavation. This is largely due to the smaller quantities, difficult access and special foundation 

preparation and backfill requirements that are included in the bid price for structural excavation. 

It is the latter requirement that requires the most inspection and approval efforts.
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10.2.5.2 Construction Inspection

Inspection is required after excavation and foundation preparation has occurred to verify that the 

foundation materials and their compaction meet the Contract requirements. During backfill, 

verify that the backfill materials meet contract requirements and that compaction also meets 

those standards.

Inspection frequency should be random until it is verified that the Contractor is doing a good job 

controlling the quality process. Inspection frequencies may then be reduced further. Major, 

critical structures should receive more inspection, especially the approval of the foundation prior 

to placement of forms for footings.

When the Contractor is backfilling structures, particular attention should be paid to the 

placement and construction of drainage materials. Drainage construction should not deviate 

from specified materials, such as aggregate backfill or geosynthetics. Drainage materials have 

been selected specifically for the soil/rock setting to ensure long-term drain performance. Any 

proposed changes to the drainage plan by the Contractor should be approved by the COE and 

the Geotechnical Engineer.

10.2.5.3 Measurement

Structural excavation is often not included as a bid item and no measurement is performed. 

When it is included, measurement is usually a staked quantity controlled by ground elevation 

[after unclassified excavation is removed], and vertical planes 18 inches (450 millimeters) from 

the structure. There is no remeasure of quantities outside those vertical planes, nor is there 

remeasure of quantities inside the planes not excavated [e.g. adjacent to a footing]. Sometimes 

additional excavation is ordered because the foundation does not meet the design expectation. 

These quantities may be ordered to a specific depth - say 8 inches (200 millimeters), or 

excavation may be performed under inspection and measured after a suitable foundation is 

exposed.

10.2.5.4 Documentation

If structural excavation is a pay item, documentation requirements include the original ground 

elevation, or computed elevations after unclassified excavation is removed if that is appropriate.

Actual computations of structural excavation should be the theoretical volumes below the 

natural ground or unclassified excavation. These quantities should be verified in the field after 

being performed. Volumes not excavated should not be paid for (e.g. if the Contractor 

excavated against natural ground instead of forming). Additional quantities should not be paid 

for unless the Project Engineer ordered a footing lowered or expanded.

10.2.6 WATERING

See Section 10.2.3.2.5 for a discussion concerning watering for embankment construction.

Unless otherwise provided in special contract requirements, only that water necessary for dust 

control is measured for payment. Documentation may be a tally of loads of haul vehicles. This 
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Clearing and Grubbing 10-19

may be maintained by the Contractor, so long as the Project Engineer performs verification at 

checks at reasonable intervals. The tally of loads should include the time of complete discharge 

of each load to discourage accidental double counting. The determination of haul vehicle 

capacity should be witnessed by an FLH inspector. Determination should preferably be by 

weight if scales are available, or otherwise by meter, or computed volume (least preferred).

10.2.7 FINISHING ROADBED

10.2.7.1 Preliminary Review and Approval

On new grading construction, finishing of the roadbed is usually a subsidiary obligation of the 

Contractor under other items of the Contract. Similarly, on projects providing for a base or 

surface course on a previously constructed roadbed, the finishing or preparation of the 

previously constructed roadbed is usually a subsidiary obligation.

When a project includes a section of new grading, plus construction of a base or surface course 

on a previously graded section as well as on the new work, it is common though not universal 

practice to include a bid item for finishing previously constructed roadbed. This is done for the 

primary purpose of permitting a Contractor to bid the surfacing items without the necessity of 

prorating the costs of preparing the old roadbed. In such cases, payment will be limited to the 

length of the old roadbed. If no such item is provided, the work is a subsidiary obligation.

10.2.7.2 Construction Inspection

The work is required to be performed in accordance with the specifications, whether there is a 

pay item or the work is subsidiary to other items. Inspection should include surface tolerances, 

compaction, a visual inspection for soft spots and unsuitable materials.

10.2.7.3 Measurement

Unless there is a pay item for this work, there is no measurement for payment.

10.2.7.4 Documentation

Documentation should verify that each section of roadbed has been inspected, tested if 

necessary, measured if necessary, and accepted prior to construction of subsequent layers.
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10.3 AGGREGATE BASE AND SUBBASE COURSES

10.3.1 AGGREGATE BASE AND SUBBASE COURSES

10.3.1.1 Preliminary Review and Approval

10.3.1.1.1 General

Prior to placing base or subbase materials, the subgrade must meet grade and template 

requirements. This can usually be checked well enough with sight levels (see Section 6.10). 

Sight levels are especially useful when fine grading stakes have been knocked out. And, they 

are useful for checking quarter crown and critical superelevation transition sections, whether or 

not stakes remain.

The subgrade should also be checked for large rocks (over 6 inches (150 millimeters)) in the 

surface. These will shine or reflect through subsequent aggregate and paving courses placed 

over them.

The thickness of bases, as shown on the typical sections of the plans, is based on the strength 

of subgrade soil, climatic conditions, traffic, and other factors. Base courses should be placed 

to the thickness shown on the plans unless subsequent determination indicates a different 

thickness is required, as might be the case if subgrade material proved significantly different 

than design expectations. The pavement report or other documentation provided with the 

design package should indicate the assumptions made to design the pavement structure. 

Discuss with the COE when doubt exists as to subgrade adequacy.

The Contractor should develop a spread rate for the aggregate course prior to starting the 

spreading operation. The spread rate converts the tonnage (metric tonnage) of each truck to 

the number of feet (meters) along centerline which that tonnage (metric tonnage) should cover. 

These computations should be checked by the Project Engineer. The spread rate should be 

based on the wet density at two percent or so above minimum density.

Example (U.S. Customary):

Maximum Density (Dry) - 135 lb/ft3

Optimum Moisture - 8.0%

Maximum Density (Wet) - 145 lb/ft3

Target Density (97%) - 141 lb/ft3

Spread Depth - 6 inch; Bottom Width - 30 ft; Top Width - 26 ft

Area - 13.9 ft2

Spread Factor - 141 × 13.9 = 1960 lb/ft

So a truck with a 66,000 lb net load would cover a spread of 33.7 feet.
Major Construction Processes March 2009

Aggregate Base and Subbase Courses 10-21

Example (SI):

Maximum Density (Dry) - 2160 kg/m3

Optimum Moisture - 8.0%

Maximum Density (Wet) - 2333 kg/m3

Target Density (97%) - 2263 kg/m3

Spread Depth - 150 mm Bottom Width - 9.2 m Top Width - 8.0 m

Area - 1.29 m2

Spread Factor - 2263 × 1.29 = 2919 kg/m

So a truck with a 30,000 kg net load would cover a spread of 10.28 meters.

Once laydown has started, the Contractor should perform depth checks and width 

measurements in order to verify the computed spread rate. When the operation is fine tuned to 

the point that plan dimensions are being achieved, the Project Engineer must consider yield. It 

is necessary to calculate as early as possible how well the yield, in say stations per ton (metric 

ton), will match the contract quantity for the item, if the entire course is completed at the same 

rate. This information will bear on questions of project funding adequacy, materials source 

capacity, and any necessity to negotiate relative to significant variation from plan quantity.

10.3.1.1.2 Materials

It is the responsibility of the Project Engineer to see that required samples are taken and tested 

in accordance with the specifications. This applies whether the sampling and testing is to be 

performed by the Government or the Contractor.

1. Preliminary Sampling and Testing.

Laboratory tests for a source approval determination of quality will be made before base or 

surface course material is produced or shipped. Where the source proposed for use has not 

been previously explored, tested, and approved, it is the responsibility of the Project 

Engineer to coordinate the approval process. The COE, as well as Division materials 

specialists, etc. will usually be involved in the approval decision. If the source has been 

proposed by the Contractor, the specifications may require submission of exploration and 

test data. The COE will advise the Project Engineer on the status of the Contractor’s 

submission, and how any approval letter is to be written when the decision is made.

2. Sampling and Testing by the Contractor.

Whether or not contractor testing is specified, it is the responsibility of the Contractor to 

effectively control the quality and contract compliance of the material being produced. The 

specifications include requirements for a contractor inspection system, pursuant to FAR 

Clause 52.246-12.

It is to the mutual advantage of the Contractor and the Government that the product comply 

with the specifications at the time of production. However, in the event of deficiencies, 

blending of filler and other adjustments by the Contractor prior to final mixing and blending 

may correct those deficiencies. Conversely, material that is found to comply with 
Major Construction Processes March 2009

10-22 Aggregate Base and Subbase Courses

specifications at the time of sampling at the crusher may be contaminated during further 

handling so that it fails when tested for acceptance.

While base and subbase specifications are for the most part end result type, the Contract 

will often specify proper handling and storage of materials. Therefore, if the Project 

Engineer comes to believe a Contractor’s handling and storage processes will result in 

quality problems, there is contractual basis for requiring process improvements. The COE 

should be consulted if there is disagreement with the Contractor.

3. Sampling and Testing for Acceptance.

Gradation, liquid limit, plastic limit, plasticity index, moisture and density, and other job 

control sampling and testing required by the specifications will typically be performed in the 

field. Consult the contract specifications to determine the frequency and type of testing to 

be performed by the contractor as part of the process control. The Contractor is responsible 

for establishing gradation target values, and this should be based on test results obtained 

during production.

The aggregate base material will be tested for acceptance based on samples taken from the 

windrow or roadway after final blending and prior to compaction. The frequency of samples 

and tests can be determined from the Contract specifications. 

Aggregate base control sieves for a project will be specified along with the target values and 

the allowable deviation from the target value. Aggregate base gradation conformance to 

contract requirements will be evaluated under Section 106.05 of the Standard 

Specifications. A final pay factor will be calculated based on Subsection 106.05. During 

production, it is advisable to review the pay factor of test results to date to alert the 

contractor to a reduced pay factor due to material not conforming to the submitted target 

values and the allowable deviation from the target value.

See Materials Manual for more information.

10.3.1.2 Construction Inspection

10.3.1.2.1 Inspection Intensity

The inspection of a high production base or subbase operation will usually require the full 

attention of one competent inspector even if personnel furnished by the Contractor are testing, 

weighing, and recording the receipt of materials on the grade. This inspector will be busy 

performing the following activities:

 verifying the work of the Contractor personnel, 

 designating and monitoring samples,

 inspecting subgrade ahead, 

 verifying dimensions of materials placed, 

 keeping complete records of Contractor equipment and personnel usage, and 

 consulting with the Contractor and Project Engineer.
Major Construction Processes March 2009

Aggregate Base and Subbase Courses 10-23

If Government personnel are verifying compaction or are receiving materials, these personnel 

will be able to relieve the inspector of part of the duties described above, perhaps to the point 

the inspector can monitor some other project operation also.

10.3.1.2.2 Mixing with Water

The Contractor may mix the base course by the stationary plant method, the travel plant 

method, or the road mix method. When the Contractor elects to use the road mix method, 

special attention should be given to the following:

 Excess water should not be added in such a manner that the subgrade bearing capacity is 

detrimentally affected.

 Water should be added uniformly and not in a manner that might promote segregation.

If the Contractor uses a stationary pugmill plant and storage hopper, it may be necessary to 

baffle the flow into the hopper to reduce segregation of the aggregates.

10.3.1.2.3 Compacting

The moisture density relationship for base and subbase materials is commonly determined in a 

central laboratory, but a field laboratory can usually perform the tests if time is short. The 

laboratory requires a sample of the aggregate and knowledge of the Contractor’s target values. 

The Project Engineer should require sufficient moisture determinations of the base course 

material to ensure proper compaction. With the typical material, this moisture content will be 

between 5 and 8 percent at the time of compaction. The amount necessary will vary with the 

specific gravity, surface texture, and grading of the aggregate. Preliminary tests made in the 

Division or other designated laboratory will show the percentage of moisture necessary for 

proper compaction and maximum density. It is essential that the proper amount of water be 

uniformly mixed with the aggregate before spreading and compaction is started. Base course 

must be rolled sufficiently and with such weight and type of roller as will ensure specified 

compaction. Excess water will cause flushing of fines to the surface under compaction. Rolling 

should be stopped in such cases until the excess water is removed, usually through windrow 

processing and evaporation. Water draining from haul vehicles is usually a sign of excessive 

water in the mixture. This condition should be corrected before placement and compaction 

operations are allowed to continue.

10.3.1.2.4 Stockpiling Aggregates

The Contractor may elect to stockpile base course aggregate prior to placement. However 

since testing for acceptance does not take place until placement, this is frequently a situation 

where a Contractor may initially test the material and document compliance but is later unable 

to meet gradation requirements.

With or without observing proper stockpiling techniques, the Contractor is responsible for 

providing aggregate that meets the specified grading requirements upon incorporation into the 
Major Construction Processes March 2009

10-24 Aggregate Base and Subbase Courses

project. However, compliance with specified handling and storage requirements might mean an 

overall pay factor of 1.0, as opposed to say 0.75 if proper procedures are not followed.

10.3.1.3 Measurement

The method of measurement will be in accordance with the Contract. If the measurement is by 

the ton (metric ton), the scales must meet the requirements of the specifications. Project 

Engineers should not confuse checks of contractor weighing, with checking of the scales. One 

is a personal integrity issue, the other relates to equipment.

10.3.1.4 Documentation

The area of documentation is one that is closely scrutinized by internal and external reviews, 

and deserves the Project Engineer’s careful attention.

Delivery records should be checked against weigh records to verify that material weighed was 

incorporated into the project. As a minimum, the number of loads invoiced should be checked 

against the number of loads delivered every day. Spot checks of actual tickets against the 

invoice summary should also be performed routinely.

Weight and delivery records, as described for bituminous mixes in Section 10.4.1.4, are also 

suitable for this work. When the specifications stipulate Contractor weighing, the Project 

Engineer should periodically verify weights recorded. For platform scales, this is accomplished 

by taking a truck weighed under normal circumstances and circulating that truck back across the 

scales and reweighing the vehicle in the presence of an FLH inspector.

This verification process is to be documented in the permanent weigh records. Verification 

loads are to be selected so as to preclude knowledge or anticipation by Contractor personnel. 

The Project Engineer and Contractor should have a documented understanding of acceptable 

tolerances, and what is to be done if they are exceeded. The recommended tolerance for a 

single check is 110 pounds (50 kilograms), but the average of several checks should be 

33 pounds (15 kilograms) or less. If there is evidence of biased or erratic weighing, the COE 

should be consulted. The Government may want to consider requiring the removal of the weigh 

person, and/or applying a correction factor to all invoiced weights.

For belt-scale weighing, a previously weighed truck should also be periodically directed to a 

properly certified platform scale. This verification should be documented in the permanent scale 

records. In rural areas, this may require a long trip to find such a scale.

In all cases if the Contractor has an English unit scale which otherwise meets Contract 

requirements, there is no requirement to provide a metric scale if invoices and other 

documentation are submitted in metric units.

Occasionally it may be necessary to haul material by the cubic yard (cubic meter) when 

measurement is specified by the ton (metric ton). The Project Engineer should keep this type of 

variation from the specified measurement to a minimum. Where such contract variation is 

approved, the Contractor should be required to establish the ton per cubic yard (metric ton per 

cubic meter) ratio by weighing a load of known volume on certified scales. This documentation,

along with truck volume measurements, should become a part of the permanent record.
Major Construction Processes March 2009

Aggregate Base and Subbase Courses 10-25

When the specifications stipulate volumetric measurement in the hauling vehicle, the Project 

Engineer should verify the measurement of the volume to be hauled by each hauling vehicle. In 

certain instances, it may be necessary to haul less than the capacity of the truck. When this 

occurs, the volume being hauled and documented should be accompanied by a written 

agreement between the Government and Contractor as to the volume to be paid per hauling 

vehicle.

When applicable, a copy of the QL-Pay printout should be included in the project documents for 

each estimate and for final payment.

10.3.2 DUST PALLIATIVES

10.3.2.1 Preliminary Review and Approval

Review the Contractor’s plan for controlling traffic during application and curing. Review 

supplier certifications to ensure that the specified palliative is being provided.

10.3.2.2 Construction Inspection

The preparation of the roadbed may vary with the type of dust palliative used (i.e. sometimes 

the top inch or two of material is left more loose). The roadbed to be treated should be brought 

to the proper template and compacted. Just prior to treatment, the surface should be 

dampened. Application rates should be determined and equipment calibrated. Determine 

application rates according to Section 306 of the Standard Specifications. Runoff is to be 

avoided, particularly in the vicinity of lakes and streams. Recommendations from the supplier

should be evaluated and discussed with the COE and local division technical specialist.

10.3.2.3 Measurement

Dust palliative materials are normally paid by the ton (metric ton) in concentrate form unless 

specified differently in the contract. If materials are not used, the Contractor should be 

requested to document the quantities involved and to remove them from the project without 

payment. However, if the Contractor makes a convincing argument that such materials are not 

returnable and have no further value, the Project Engineer may have to consider paying for all 

or part of the leftover quantities and ordering them removed under a contract modification. For 

this reason it is important to plan quantities carefully and communicate with the Contractor as to 

what will be needed and what will happen to leftovers.

Application of dust palliatives will be paid separately by the square meter, or by the station. The 

Project Engineer or Inspector should reach agreement with the Contractor on the quantities 

involved in each application.

10.3.2.4 Documentation

Required documentation includes certifications or other acceptable quality documentation.
Major Construction Processes March 2009

10-26 Aggregate Base and Subbase Courses

Invoices or weigh tickets should be submitted to document quantity of materials. Daily records 

of applications should be included in a pay note to document that item.
Major Construction Processes March 2009

Asphalt Construction 10-27

10.4 ASPHALT CONSTRUCTION

10.4.1 HOT ASPHALT CONCRETE PAVEMENT

10.4.1.1 Preliminary Review and Approval

The contract defines the Contractor’s responsibility with respect to the production and 

placement of asphalt mixes. The Project Engineer should be prepared with knowledge of 

proper construction procedures.

As a part of the Contractor Quality Control Plan (CQCP) approval process, the Contractor’s 

process control procedures should be reviewed both from a procedural standpoint and from a 

quantitative view. Equipment, screens, scales, etc., should be inspected and the test methods 

examined. Care must be taken to ensure that the Contractor testing personnel do not construe 

the approval of QC equipment and methods as acceptance of the material produced.

The Project Engineer should ensure that the mix design samples are adequate in size, 

representative of the material being produced, and that they are submitted as soon as 

reasonably possible. The shipment of the asphalt and antistrip agent samples should be 

coordinated through the suppliers, and the central laboratory notified of their impending arrival.

After the mix design is completed, the Project Engineer should review and compare it with the 

design criteria to understand the approval process/criteria. The Project Engineer should make 

certain that the Contractor understands that the asphalt cement content used in FLH mixes is a 

percentage of the total mix, not a percentage of the dry aggregate.

Before production of the mix begins, the statistical evaluation procedures should be thoroughly 

discussed with the plant personnel and any problems or questions concerning the procedures 

resolved before conflicts arise.

Prior to the commencement of paving operations, it is desirable for the Project Engineer and the 

Contractor to get together for a pre-paving conference. This is an opportunity for both parties to 

familiarize themselves with the contract requirements and share their plans for proceeding with 

paving operations. Such collaboration goes a long way toward minimizing surprises during 

paving and promotes good working relations.

10.4.1.2 Construction Inspection

10.4.1.2.1 Plant Operations

10.4.1.2.1.1 General

There are, in general, two types of plant operations: (1) the permanently located commercial 

plant with multiple production operations; and (2) the portable plant, erected on or near the 

project to produce solely for the project.
Major Construction Processes March 2009

10-28 Asphalt Construction

The inspection and quality control of asphalt plant operations is a Contractor or producer 

responsibility and covered in the CQCP. The Project Engineer may ask for documentation and 

verification that this QC process is effective and may perform verification inspections. Generally 

FLH oversight of Contractor QC is less necessary at commercial plants.

At the commercial plant site, or as soon as the portable plant is set up and ready to operate, the 

Contractor QC specialist should make a thorough examination of the plant layout, including 

storage areas and component parts of the equipment. If the storage areas or any part of the 

equipment fails to comply with the requirements, corrective measures must be taken before 

operations begin.

There are two general types of asphalt concrete mixing plants: the batch plant and the 

continuous mixing plant. Continuous mixing plants include pugmill mixing plants (very rare) and 

dryer drum plants. In the batch plant, the aggregates are proportioned by weight and the 

bituminous material proportioned by weight or volume. In the continuous plants, the aggregates 

and asphalt binder are proportioned by volume base correlated to weight; or in the case of the 

dryer drum plant, provided with positive weight measurement (belt scales) to allow regulation of 

the feed gates and permit automatic correction for variations in load.

10.4.1.2.1.2 Inspection of Plant Equipment

a. Pugmill Mixer

In order to properly understand the asphalt plant, it is necessary to become thoroughly 

familiar with the specification requirements and with the particular type of equipment 

being used. The components of a batch plant and continuous mix plant utilizing a 

pugmill for mixing are essentially the same. The main difference is the method used to 

proportion the components into the pugmill mixer. The dryer drum mixer uses an 

entirely different concept for mixing the aggregates and asphalt binder and will be 

discussed separately. As an additional aid for plant inspections, the functions of the 

most important components of the batch and continuous bituminous plants and some of 

the factors to be considered during the inspection are discussed below.

1. Asphalt Binder Storage Tanks. Storage tanks must be of sufficient capacity to 

maintain continuous operation while allowing for delay in asphalt binder shipments. 

They must be equipped with heating devices and must be able to hold the material at 

the required temperatures. 

Storage tanks must be inspected by Contractor or producer QC personnel to see that 

they are free of foreign material and any asphalt material other than that to be used 

in the mix. They must also not admit water, fuel oil, or other foreign substances. 

Steam coils used for heating should be checked for leaks before any asphalt binder 

is unloaded and again when the material is first heated. The asphalt binder lines and 

fittings must be adequate to provide proper circulation between the storage tanks 

and the plant. All pipes and fittings should be steam or oil-jacketed or otherwise 

insulated to prevent heat loss.

2. Cold Aggregate Feeder. The cold aggregate feeder used with a portable plant is 

generally equipped with four bins, adjustable gates, reciprocating feeders and an 

endless belt to carry the proportioned aggregate to the dryer elevator. A commercial 
Major Construction Processes March 2009

Asphalt Construction 10-29

plant is generally equipped with separate bins, adjustable gates and a tunnel and 

conveyor system. In either system, the gates must be adjusted so that the 

aggregates, in the proper amount and size, are delivered to the plant to maintain 

uniform production.

3. Dryer. From the cold feeder, the aggregate is elevated to the dryer where it is dried 

and heated to the required temperature. The component parts of the dryer are: (1) a 

revolving cylinder, usually from 3 to 10 feet (1 to 3 meters) in diameter, and from (20 

to 40 feet (6 to 12 meters) long; (2) a burner, which is either gas or oil fired; and (3) a 

fan, which may be considered part of the dust collector system, but its primary 

function is to provide the draft air for combustion in the cylinder. The cylinder is 

equipped with longitudinal cups or channels, called lifting flights, which lift the 

aggregate and drop it in veils through the burner flame and hot gases. The slope of 

the cylinder, its speed of rotation, diameter, length, and the number of flights, control 

the length of time required for the aggregate to pass through the dryer.

The aggregate passes from the dryer to the hot elevator through a discharge chute 

near the burner end of the dryer. The sensing element of a thermometric instrument 

should be located in this discharge chute to record or indicate the temperature of the 

aggregate as it passes from the dryer.

Dryers must heat the aggregate uniformly. To prevent coating the aggregate with 

fuel oil, the burners and draft must be adequate for total combustion of the fuel. 

Because of possible damage to the asphalt binder, the heating system should be 

checked to ensure that overheating of the aggregates is avoided.

4. Dust Collector. All plants are required to be equipped with dust collectors. This is 

necessary to reduce air pollution and to return dust to the hot elevator when needed 

to meet aggregate grading requirements.

In operation, a fan exhausts the draft air from the upper end of the dryer into the dust 

collector system. This draft air, containing dust particles, vapor, and gases enters 

the dust collector at the upper periphery and goes upward. The heavier dust 

particles are separated by centrifugal force into the collector shell and fall to the 

bottom. The heavier dust will be reintroduced into the flow of aggregate or wasted 

as required by the specifications or grading requirements.

To comply with established air pollution limitations, the use of a scrubber or other 

suitable device to practically eliminate dust particles from the exhaust air of hot mix 

asphalt plants is sometimes required. The Contractor is to comply with all Federal, 

State, and local laws and ordinances. The more stringent rules normally apply.

5. Hot Elevators. Hot elevators must be protected so as to prevent chilling of the 

aggregate or the blowing away of fines.

6. Screening Unit. The heated aggregates are elevated, usually by a bucket elevator, 

to a screening unit, which separates the aggregate into the required number of size 

fractions and deposits the various sizes into the graded aggregate bins. The 

screening unit on most plants is the flat table vibrating type, usually equipped with 

four decks. The size of the screens on the decks varies with the type of hot mix 
Major Construction Processes March 2009

10-30 Asphalt Construction

asphalt to be produced. The top deck is covered with a scalping screen which 

removes all oversize material and discharges this material into a reject chute.

Screens should be examined and a record made of their dimensions, length, size, 

and rotation or vibrating speed. They should not clog nor overflow during normal 

operations. Holes or breaks in a screen should be repaired promptly.

7. Hot Aggregate Bins. These bins hold the heated and screened aggregates in 

various size fractions required for the type of mixture being produced. The bottom of 

each bin is fitted with a discharge gate which can be operated manually or 

automatically. Each bin must be equipped with an adequate overflow pipe.

Inspection of the bins should include an examination of the partitions to see that they 

are tight, free of holes, and of sufficient height to prevent the intermingling of 

aggregate sizes. The closure of discharge gates must be positive enough to prevent 

leakage into the weigh box. Other leakage from bins and the accumulation of 

aggregates in the corners or elsewhere is to be avoided.

8. Scales (Batch Plants). On batch plants, a weigh hopper for the aggregates is 

located directly under the graded aggregate bins. The weigh hopper is suspended 

on the weighing mechanism, generally equipped with a springless dial scale on 

which the weight of aggregate from each bin is marked accumulatively so that the 

last mark will read the total amount of aggregate in each batch. The hopper must be 

large enough to hold the batch of dry aggregate without overflowing or reaching the 

bin gates.

The asphalt binder can be weighed in a special bucket or can be measured by a 

meter for each batch.

The scales are required to be inspected and sealed. When the plant is ready to 

operate, the scales should be cleaned and each part carefully checked. It is 

imperative that the asphalt binder scale and the aggregate scale be checked daily. 

The indicating heads must be functioning properly, that is, balanced with the dial at 

zero. The scale levers and knife edges must move freely. If the weigh hopper is 

rubbing against some part of the plant or is being supported by one of the structural 

members, the indicated weight of the material in that hopper will be incorrect.

9. Graded Aggregate Bin Control Gates (continuous plants). Up to the point of 

discharge from the graded aggregate bins, the function of the continuous mix plant 

and the batch plant are essentially the same. In continuous mixing plants, the 

proportioning of the separate sizes of aggregate is accomplished through the 

adjustable gates on the feeder of the gradation unit, which deposits the aggregates 

onto the elevator to be delivered to the pugmill. The asphalt binder is delivered to 

the pugmill through a calibrated metering pump. The aggregate feeder and the 

asphalt binder pump are required to have interlocking circuits to ensure that 

proportions of aggregate and the asphalt binder remain constant, regardless of 

variations in the rate of production. Before production begins, calibration of the flow 

of aggregates from each feeder gate must be made.

10. Pugmill Mixer. After proportioning, the aggregate and the asphalt binder are 

introduced into the pugmill for mixing. The asphalt plant is equipped with a pugmill 
Major Construction Processes March 2009

Asphalt Construction 10-31

mixer, which consists of twin shafts equipped with paddles for mixing the ingredients 

into a homogeneous mass. Efficient mixing is dependent upon the number and 

shape of the paddle tips, speed of the mixing shafts, length of mixing time, 

temperature of the materials, quantity of materials in the mixer, and the clearance 

between the paddle tips and the liner plates. The mixers of batch mix plants and 

continuous plants are essentially of the same design, except for the variation in 

arranging the paddle tips.

In the batch plant mixer, the materials are dumped into the center of the mixer and 

paddle tips are arranged to give an end-to-center mixing or a run-around (figure 

eight) mixing pattern. The material is held in the mixer for the required mixing time 

and then discharged through the discharge gate into the transporting vehicles or 

storage hopper. The mixer must be equipped with an automatic timing device to 

automatically regulate the dry-mixing and wet-mixing periods, and a batch counter to

accurately record the number of batches produced.

In a continuous mix pugmill, the materials are introduced in one end of the mixer and 

the paddle tips are set to transport the materials to the discharge end as the mixing 

is accomplished. The mixing pressure varies with the height or weight of material in 

the pugmill, which can be controlled by: (1) raising the dam on the discharge end of 

the mixer to hold the material in the mixing unit for a longer period of time at a depth 

that will intensify the mixing action; and (2) adjusting or reversing the pitch of the 

paddles to retard movement of material through the pugmill.

Linings, sides, bottoms, and gates of the mixer should be inspected to see that there 

are no leaks. Paddle tips and/or liner plates must be replaced or adjusted when they 

show excessive wear or when clearance exceeds the specified amount.

b. Dryer Drum Mixers

In dryer drum mixers, the aggregate is coated with the asphalt binder by spraying 

asphalt binder into the veil of aggregate during the drying and heating process as 

opposed to the mechanical mixing of a pugmill in the batch plant. The most important 

components of the dryer drum plants and some of the factors to be considered during 

the inspection are discussed below.

1. Cold Aggregate Feeder. The cold aggregate feeder is basically the same as that 

used with a batch type plant discussed above with the exception that the main belt 

feeding the dryer is equipped with a weigh bridge, which is used to monitor the 

amount of aggregate being fed into the plant at any given time. This weigh bridge is 

interconnected with the asphalt pump so that the appropriate amount of asphalt 

binder is added for the mix. Weights obtained from the weigh bridge include 

moisture in the aggregates, which must be taken into account to arrive at the dry 

weight of aggregate. Since dryer drum plants do not have screening units and hot 

aggregate bins, it is very important that the stockpiled aggregates be of the proper 

grading, are not segregated, and that the gate openings on the cold feeders are 

properly calibrated for the mix design.

2. Dryer. The dryer in this type plant not only heats and dries the aggregate, but is also 

the mixing chamber for the asphalt and aggregate. In a parallel flow plant, the 

aggregate enters the drum at the burner end and is lifted by the flights and veiled 
Major Construction Processes March 2009

10-32 Asphalt Construction

through, and in front of the flame, thus protecting the asphalt binder from direct flame 

contact. Newer dryer drum plants are equipped with a flame shield to protect the 

asphalt binder from the flame, but even with these plants good veiling of the 

aggregate is also necessary. In a counter-flow drum mix plant, the aggregate enters 

the drum from the upper end and moves toward the burner, which is located at the 

lower end of the drum. The aggregate moves down the drum against the flow of the 

exhaust gases in a counter-flow direction. No asphalt binder is introduced into the 

aggregate within the main portion of the drum. The mixing of the binder material with 

the dried and heated aggregate is accomplished completely outside of the exhaust 

gas stream, either behind or underneath the burner. In some plants, the mixing unit 

is folded around the outside of the aggregate dryer drum portion of the plant. In order 

to ensure a good veil of aggregate, the plant must be operated within the capacity 

range recommended by the manufacturer. The asphalt binder is introduced into the 

middle one-third of the drum through a spray pipe. 

3. Dust Collector. Dust collectors on a dryer drum plant are the same as for batch

plants as discussed above.

4. Storage Silo. Since a dryer drum is a continuous operation, the asphalt mixture is 

transported from the drum by a hot elevator to a storage silo. The silo should be of 

sufficient size to allow continuous operation of the plant and should be insulated to 

prevent temperature drop in the mix during storage. Silos should be designed so 

that segregation of the mixture will be minimized during charging. This is 

accomplished by using a rotating chute, batcher, or ladder.

5. Controls. Modern plants are fully automated with control panels that can provide a 

variety of data pertaining to the plant operation. The inspector should become 

familiar with the data output available for the plant to be used.

10.4.1.2.1.3 Calibration of Plants

It is not intended that FLH personnel take the lead in the calibration of plants. Commercial 

plants approved by a State highway agency should not have to be recalibrated for FLH mixes 

provided documentation of their calibration and accuracy is available. For portable plants, 

calibration should be a part of the Contractor’s QC Plan and subject to the review of the Project 

Engineer.

The scales (both aggregate and asphalt binder on batch plants, and the apron feeders and 

asphalt binder on continuous plants) should be calibrated before production is started. General 

information and/or suggestions for consideration by the Project Engineer are provided below.

a. Batch Plants. The specifications require that noncommercial (project) plant scales be 

inspected, tested, and sealed after relocation but not less than once per year. 

Commercial plant scales must be sealed in accordance with acceptable local/industry 

practice. However, portable plants may be used for a reasonable period of time prior to 

sealing, providing field testing indicates compliance with the accuracy specified.

For batch plant scales, field testing may be performed as follows: Asphalt binder and 

aggregate hoppers should first be balanced with the dial or beam reading zero, making 

sure that all weighing equipment operates freely. Accuracy of the scales should then be 
Major Construction Processes March 2009

Asphalt Construction 10-33

checked at various points within the anticipated operating range, using standard weights 

required to be furnished by the Contractor. Since it is not required that the Contractor 

have sufficient standard weights to reach full capacity of the aggregate hopper, the 

maximum number of weights available should first be placed in the hopper and the 

weigh beam balanced or the dial read. The weights should then be removed and 

aggregate dumped in the hopper to bring the beam back to balance or to give the same 

reading on the dial. The standard weights should again be placed in the hopper and a 

new balancing or reading obtained. The operation of adding weights, balancing, and 

replacing weights by an equivalent amount of aggregate is then repeated until the full 

capacity of the hopper is reached.

b. Continuous Plants. Continuous plants use a positive displacement asphalt pump. 

Discharge is measured through a meter similar in operation to the ordinary water meter. 

Rate of discharge is varied either by an adjustment on the pump or by changing the 

sprocket drive combination. The pump may be calibrated at different rates of discharge 

by taking initial and final meter readings for a measured length of time. This should be 

done with the specified grade of asphalt brought to the required temperature and after 

the pump has been run long enough to eliminate all air from the lines and for the pump 

to reach operating temperature.

The asphalt meter may be checked from time to time by comparing the difference in 

meter readings with the known amounts of asphalt binder that have been run through 

the plant. These known amounts may be obtained from the weights of asphalt binder 

delivered to the job or by asphalt binder storage tank measurements using the 

appropriate calibration curves.

Proportioning of aggregates in a continuous plant is by volume rather than by weight as 

in the batch plant. Calibration involves converting these volumes to weights. Discharge 

from the different bins is obtained by varying the rate of discharge by adjustments of a 

gate over an apron feeder. Continuous plants are normally equipped with gates for 

simultaneously diverting the discharge from its normal path to the pugmill to sampling 

cans - one can for each bin. The amount of aggregate discharged into each can for a 

given number of shaft revolutions and at various gate openings is weighed. From this 

data, calibration charts can be prepared that will show the proportionate rate of 

discharge for each particular type and grading of aggregate used in the calibration. The 

aggregate for calibration should be dried and screened in the same manner as will be 

used during construction. In other words, a “dry run” will be made with aggregate fed to 

the dryer, with dryer screens operated in the same manner as for actual plant-mix 

production. Calibration will normally start with the gate openings set at about 2 inches 

(50 millimeters) and then graduated to openings corresponding to the maximum capacity 

of the plant.

To facilitate calibration, the Contractor should have available a copy of the 

manufacturer’s operating instructions, which will show the operating speed of the feeder 

and the asphalt pump delivery rate for the various sprocket sizes. The sprocket size for 

the asphalt pump must be checked, for the delivery rate required, by weighing the 

amount of material pumped into a container over a carefully timed interval.

c. Dryer Drum Plant. Calibration of a dryer drum plant consists of setting the cold feeder 

gates for each aggregate size and setting the asphalt pump for the proper asphalt binder 

content. The pump should be set for the desired percent asphalt binder based on the 
Major Construction Processes March 2009

10-34 Asphalt Construction

rate of the aggregate feed as determined from the cold feed weigh bridge, remembering 

that the percent moisture in the aggregate must be deducted from the cold feed weight.

10.4.1.2.1.4 Inspection of Plant Operations

a. General. With today’s fully automated hot plants, rarely is the plant found to be the 

cause for the construction of poor quality hot asphalt concrete pavement. The plant QC 

specialist should be familiar with the operation of the plant, and be able to monitor gate 

openings, scale settings, timer settings and temperature controls. Such things as 

screening units, bins, mixers and overflow vents should be checked to ensure they are 

functioning properly.

End result specifications place the responsibility for quality control with the Contractor. 

The Project Engineer should be familiar with the Contractor’s quality control plan and 

monitor the results for any indication of change that could affect the quality of the work 

being produced. It is important that FLH personnel and the Contractor cooperate fully in 

order to produce a high quality, acceptable paving material.

During production, the QC specialist should make periodic checks of:

 Cold feeder gates and overflow vents for any overflow of the graded aggregate bins;

 Temperature of aggregates, bituminous material, and mixture;

 Proper dryer operation;

 Weighing and mixing operations; and

 Mixture in trucks for uniformity in appearance.

The Project Engineer should see that the haul tickets are properly made out and issued 

for each truckload of mixture delivered, and must see that the daily totals are promptly 

obtained, checked, entered on the daily report, and made a part of the permanent 

project records.

b. Operation of Cold Feeders. The first and most important aggregate proportioning is 

done at the cold feeders. To provide the proper flow of the right sizes of aggregates, the 

proper sizes of aggregate must be in the stockpiles and kept from segregating and 

intermixing, and the feeder gates must be kept adjusted and free from obstruction. 

Enough material must be maintained in all bins to provide a positive and uniform flow.

Plant QC should include observation of the equipment feeding the plant from the 

stockpiles and of the uniformity of the material fed to the dryer unit. Segregated 

aggregates fed through the dryer will result in uneven drying and heating, which, in turn, 

will result in nonuniform screening and ultimately in a nonuniform mix.

The specifications will normally require that the materials be separated into a minimum 

of two stockpiles. One pile will normally contain that fraction retained on a No. 4 (4.75 

mm) sieve, and that the other fraction passes the No. 4 (4.75 mm) sieve. The cold feed 

bins must be constructed so that there is no intermingling of any sizes of material.

c. Screens and Bins. The size and relative amount of fine aggregate controls the voids in 

the mix, which in turn controls the proper proportion of asphalt in the mix. Every effort 
Major Construction Processes March 2009

Asphalt Construction 10-35

should be made to hold the grading uniform. Segregation occurring in the fineaggregate bin can be corrected by properly placed chutes and baffles.

The coarse aggregate bin should be inspected occasionally for a carryover of the fine 

material. Carryover can be corrected by installing a section of a larger-opening screen, 

reducing the rate at which the material passes over the screen, or changing the length, 

diameter, pitch, or speed of the screen. The presence of more than 5 percent of smaller 

sized material in any bin is an indication that excessive carryover is occurring and 

screens are either clogged or overloaded.

Sampling of aggregates prior to mixing with asphalt binder may most conveniently be 

made of the dried and screened aggregates in the different bins. Most plants, either of 

the batch or continuous types, are equipped with sampling trays that make sampling 

from each bin quite easy.

d. Checking of Asphalt Content. Probably the most common cause of failure in asphalt 

paving mixtures is the incorrect asphalt content. Incorrect asphalt content can be 

caused by inaccurate scales (asphalt and/or aggregate), variation in aggregate grading, 

absorptive qualities of aggregates used, or poor interpretation of preliminary test results. 

Attention must be paid to the lever systems of the scales on the mixing plant to be sure 

they are functioning properly.

e. Mixing. The method of charging the mixer, which gives a homogeneous mixture in the 

least possible time, is the desired method to adopt for the job. The most commonly used 

method of charging is by dropping the weighed batch into the mixer and thoroughly 

mixing dry for a period of a few seconds before adding the asphalt binder.

The mixer should produce a uniform distribution of asphalt binder throughout its length. 

The introduction of the asphalt binder by means of a spray bar over the entire length of 

the mixer aids in obtaining uniform distribution.

Temperature of the aggregate has a marked effect on the mixture. If the aggregate is 

too cold, a nonuniform distribution of asphalt binder through the mixture will result. If too 

hot, the aggregate will cause excessive hardening of the asphalt binder and will result in 

a too thin coating on the coarse aggregate with a corresponding excess of asphalt in the 

fine aggregate portion.

The requirements for limiting the temperature of the aggregates are in the specifications. 

The temperature can be measured most conveniently on the mixture immediately after 

discharge from the plant.

During the actual mixing process, the QC process should include frequent observation of

the following:

 the operations from the mixing platform with notation of the care used by the 

operator in weighing each size of aggregate and the asphalt binder; 

 the time interval for mixing the dry aggregate; 

 whether or not the asphalt bucket is well drained; and 

 the time of mixing the asphalt binder and aggregate. 
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10-36 Asphalt Construction

The inspector should also note the action of the mixture in the mixer box to determine 

uniformity of mixing and the tendency toward segregation. The movement of the mixture 

is controlled by the position of the mixer blades. Variations in uniformity can usually be 

eliminated by changing the position of the blades. This must be done by trial. When the 

blades are satisfactorily set, they seldom need further attention.

Attention should also be given to the mixer-box to see (1) that the liners and blades are 

so set that all of the material will be incorporated into the mixture and that none lies in 

the bottom of the box to be dropped out eventually as an unmixed or partially mixed 

combination, and (2) that the discharge gate of the mixer box is neither unduly worn nor 

improperly seated. Its condition can usually be determined by observing the bottom of 

the box from the time the dry aggregate is introduced until the completed mixture is 

dropped. If a thin stream of dust and fine aggregate sifts from the gate during the drymix period, or a rich mixture of asphalt and fine aggregate seeps through during the 

wetmix period, this indicates that the gate does not fit tightly. If, as the gate opens to 

discharge the mixture, a stream of dry, uncoated aggregate appears first, there is 

indication that the gate lining is worn, or the mixer blades are not picking up the 

aggregate. In either case, the Contractor should take the necessary action to eliminate 

the problem. No useful purpose is served by accurately preparing and weighing the 

components of the mixture if they are not combined properly. A satisfactory mix is of 

uniform coating and appearance, free from segregated areas or heavy smoking. No 

more mixing should be employed than is necessary to completely and uniformly coat the 

coarse aggregate. The manufacturer’s rated capacity should not be exceeded, nor 

should the minimum specified mixing time be underrun.

Mixers should be cleaned daily with hot dry aggregate and with hand tools if necessary. 

The cleaning should not be so thorough, however, as to polish the mixer sides. This 

may occur with the hot dry aggregate cleaning. Cleaning with oil should not be 

permitted.

Where continuous mixers with volumetric proportioning devices are used, the QC 

process should include a check of the accuracy of the proportioning devices and require 

any necessary adjustments before production of the mixture is begun. The Contractor 

should have available descriptive literature and instructions published by the plant 

manufacturer for the particular plant being used in order to facilitate the checking of 

adjustments of the equipment.

During the operation of drum mixer plants, the inspector should review and observe 

operating data of the control panel and should inspect the stockpiles and cold feed for 

segregation and quality. Aggregate, mixture and asphalt binder temperatures should be 

checked periodically. Any deficiencies found should be pointed out to the Contractor 

and corrective measures taken.

10.4.1.2.2 Road Operations

10.4.1.2.2.1 General

It is the responsibility of the Project Engineer or the paving inspector to verify that the paving 

operations are performed in accordance with the contract. They must be thoroughly familiar 
Major Construction Processes March 2009

Asphalt Construction 10-37

with the plans and specifications, the Contractor’s plan of operations, necessary traffic control 

procedures, and construction equipment to be used.

Prior to paving operations, the paving inspector should thoroughly check the surface on which 

the pavement is to be placed. The surface should be checked for correct grade and template 

and all damaged areas, depressions or potholes repaired to give a firm and unyielding paving 

base. If the surface is a base or subgrade, a prime coat is often required. If so, it must be 

thoroughly cured. When an existing pavement is to be resurfaced, the surface must be cleaned 

of dirt and other extraneous matter and all weak areas repaired. If a leveling course is to be 

applied, the existing surface should be checked and the roughest areas marked to receive that 

course. A tack coat, when required, should be applied to paved surfaces. The tack coat should 

be applied to the width and length required for not more than the day’s operation.

For prime and tack coats Contractor QC personnel should document that equipment including 

meters is in proper repair and the coverage rates are properly calculated and applied. For more 

detailed guidance refer to the FLH Guidelines for Using Prime and Tack Coats. 

(http://www.cflhd.gov/techDevelopment/completed_projects/pavement/prime-tack/)

The pavement edges should be marked by stringline or paving guideline sufficiently in advance 

to ensure continuity in the paving. These should be set and nailed to the surface at intervals 

that will permit the line to be held taut, and checked to be sure that the required pavement width 

is secured. When necessary, an electronic sensor line is set rigidly supported to the required 

grade.

10.4.1.2.2.2 Inspection of Paving Equipment

The paving inspector should make an inspection of the Contractor’s paving equipment, checking 

the condition and adjustment of the component parts of the laydown machine and rollers. This 

equipment should have already been subject to the Contractor’s QC process. Therefore, if 

deficiencies are noted, the Contractor should be advised to modify that process. By making this 

inspection prior to beginning paving operations, obvious deficiencies in the condition of the 

equipment may be discovered and corrected, thus avoiding delays once the work is underway 

and ensuring that the best possible surface is obtained.

Listed below are some of the more important details the inspector should check during the 

inspection of the paving equipment.

a. Paving Machines. The inspector should become familiar with the mechanical features 

of the paver to be used on the project, so that an intelligent appraisal of the condition 

and adjustment of the machine may be made. Operating details and instructions for 

adjustments are contained in the manufacturers’ handbooks. These handbooks should 

be available to Contractor QC personnel as well as the Engineer and inspectors. The 

Contractor QC person should check the general features listed below before starting 

paving operations:

 On all paving machines the operating motor should be checked for proper governor 

operation and vibration at operating speeds.

 On track mounted machines, track linkage must be correctly adjusted and checked 

for excessive wear.
Major Construction Processes March 2009

10-38 Asphalt Construction

 On pneumatic-tired machines, all tires should be inflated to the recommended 

pressures, and the drive chains checked for correct adjustment and for excessive 

wear.

 The screed should be free from excessive play, and have the correct adjustment for 

crown and tilt.

 Screed plates should be checked for excessive wear, and the screed heating burner 

for operating efficiency. Screed extensions must be in the same true plane and flush 

with the screed bottom. Vibrators on the vibrating screed should be checked for 

proper operation.

 Automatic grade or thickness control should be checked for proper operation with ski 

or other device(s) as required.

b. Rollers. Check steel-wheel rollers to see that 

 the wheels are capable of rolling in a true plane and are free from flat spots or ridges;

 the steering and driving mechanism are free of excessive play or backlash; and the 

 motor and driving transmission free of oil leaks. 

The rollers must have scrapers for keeping the rollers clean and wetting pads to keep 

the rollers wet so they do not pick up the newly placed mat during the rolling operation. 

Water and a wetting agent should be used, not a petroleum based product.

With the widespread use of vibratory rollers for compaction of asphalt mixtures, the 

laydown inspector should become familiar with their operation. A variety of information 

is available covering the use of vibratory rollers and the effects of vibratory compaction 

variables such as frequency, amplitude, mixture, and construction parameters such as 

gradation, aggregate characteristics, type and amount of asphalt binder, environmental 

conditions, lift thickness and type of base. The inspector should become familiar with 

the rollers to be used and the adjustments that can be made to control frequency and 

amplitude. The adjustment of these two variables can have a marked effect on the 

compaction of the mixture. Roller operators have a tendency to “set it and forget it,” so 

the QC process should require frequent verification that settings are correct.

10.4.1.2.2.3 Spreading and Finishing

The specifications require the use of a paver for spreading and finishing the mixture. In irregular 

areas the mixture may be spread and finished by other suitable tools or equipment.

The paving inspector’s routine duties are to collect load tickets from the Contractor’s laydown 

foreman, and to verify that they are complete and that depths and spread distances are being 

controlled effectively. At the end of the day, the inspector must sign a daily weight record 

attesting to the acceptance of the total weight. The inspector’s principal duty is to ensure

construction of a pavement to the correct grade and template as set forth in the plans, and with 

a surface texture and riding surface as required by the Contract.

To achieve these results, the inspector must monitor the Contractor’s QC process and 

periodically check the surface to be paved, the mixture in the trucks, surface texture behind the 

machine, rolling operations, and paved surface with a straight-edge or string line for the proper 

crown and smoothness.
Major Construction Processes March 2009

Asphalt Construction 10-39

When ready to start paving operations, the screed should be heated to the proper temperature 

and the grade controls set to construct the transverse joint. This must be carefully checked to 

ensure good riding qualities and conformity with the tolerance requirements before the paver is 

allowed to proceed. Particular care should be exercised in setting the thickness control device 

to assure attainment of the spread and crown desired. When matching the edge of a previously 

laid section of pavement, the paver screed should overlap the existing edge from 1 to 2 inches 

(25 to 50 millimeters) and the thickness controls should be adjusted to leave the material slightly 

higher (as a rule of thumb, the mixture will compact 1⁄4 inch per 1 inch of loose mix) than the 

previously laid section of pavement. Overlapping this edge will force enough material into this 

area to ensure that the joint is completely filled and moisture proof. The height of the material 

above the previously laid edge should adjusted so that when the longitudinal joint is properly 

compacted, the pavement will be uniform in cross section and within the tolerances specified.

The use of any hauling unit with a frame that comes into contact with the paving machine or 

which bears down on the machine while dumping, should not be permitted. The result either or 

both of these conditions will be a rough surface.

As the paving proceeds, the grade or thickness control devices must be adjusted to give the 

spread as required by the plans. As continuity of operations is essential to secure a good 

pavement surface, the speed of the paver should be regulated to avoid stopping and starting.

By observing the surface texture behind the machine, and checking the surface with a 

straightedge, a malfunction in the paver or segregation of mixture may be detected. The 

inspector should insist on prompt action to locate and correct any trouble that occurs. Some of 

the most common difficulties encountered are listed below, along with the possible cause:

 Wavy Surface (short choppy waves)

o Worn or poorly adjusted tracks or drive chains; 

o Truck driver setting brakes too tightly; 

o Excessive paving machine speed.

 Wavy Surface (long waves) 

o Excessive variation in the amount of mix carried in the auger box; 

o Rolling too early; 

o Roller operating too fast; 

o Over controlling the screed.

 Excessively Open Surface Texture: 

o Improper adjustment of the tamper bar; 

o Improper speed of tamper bar; 

o Screed plate rough or galled; 

o Excessive machine speed.

 Varying Surface Texture: 

o Insufficient mixing; 

o Over mixing; 

o Overheating of the mixture; 
Major Construction Processes March 2009

10-40 Asphalt Construction

o Dry mixing period too long; 

o Segregation of mix in trucks; 

o Worn or damaged screed plate.

 Bleeding Patches on Surface: 

o Asphalt binder not uniformly mixed; 

o Excessive moisture in mix; 

o Excessive prime or tack coat.

 Irregular Rough Spots in Pavement: 

o Roller standing on fresh surface; 

o Abrupt reversing of roller; 

o Trucks backing into machine; 

o Poor workmanship on transverse joints.

All pavers are required to be equipped with automatically controlled screeds. Automatic control 

of transverse slope as well as proper elevation must be maintained to obtain the required 

surface. When this unit malfunctions, it tends to compound its errors; therefore, the paver must 

be stopped immediately, the pavement corrected, and the malfunction located and corrected 

before preceding with the operations. Essentially, the automatic grade control unit divorces the 

screed from the upward and downward movement of the floating arms that attach the screed to 

the machine, and transfers this control to the unit equipped with a sensor element that travels 

on a rigidly set or traveling guideline.

When the pavement is constructed in more than one course, the longitudinal joint should be 

offset from each preceding course with the surface course joint being in the center of the 

pavement. The screed should overlap the previously laid lane from 1 to 2 inches (25 to 50 

millimeters) to ensure that enough material is available to completely fill the joint.

10.4.1.2.2.4 Compaction

The Contractor is required to furnish the rollers and establish the rolling pattern required to 

arrive at the density necessary to meet the specifications. The compactive effort should be 

completed at the highest temperature possible within the mix design limits. The relationship 

between rolling and temperature must be maintained consistently in order to get consistent 

compaction results. It is recommended that the breakdown rolling be completed at 

temperatures above 200 °F (95 °C) and that pneumatic rollers be included in the compaction 

process.

10.4.1.2.2.5 Smoothness/Roughness

Most paving or overlay projects include a smoothness/roughness specification with incentives 

and disincentives. Refer to the contract for test methods and data compilation guidelines. 

Bumps or rejected areas must be corrected before the final pay factor is determined. Any 

corrective action proposed by the Contractor is subject to the Government’s approval. Often 

grinding or grinding with an emulsion flush is not an acceptable correction because the 
Major Construction Processes March 2009

Asphalt Construction 10-41

appearance and physical characteristics of the surface are even less desirable than the rough 

payment.

10.4.1.3 Measurement

Payment is normally made on a tonnage (metric tonnage) basis for all material delivered, 

incorporated in the work and accepted. The appropriate specification should be reviewed 

concerning the testing and inspection of the scales. It should be understood that payment is to 

be made for the weight of the complete mixture with no deductions for any required additives, 

and the measurements should be made on this basis. See Section 9.4.4 for details of weight 

measurement.

Asphalt binder, when paid for separately, may be measured in one of two ways. One method of 

measurement is made using the suppliers’ weigh tickets, with any asphalt binder not utilized 

(waste or returned) being deducted from the total; the second method uses the asphalt content 

test results.

10.4.1.4 Documentation

The requirements for documentation fall into two categories: quality and quantity.

10.4.1.4.1 Documenting Quality

The quality of asphalt binder will be documented using the certificate of compliance that 

accompanies each shipment and the test results of the samples taken at the hot plant.

The quality of the mix is documented with the volumetric, gradation and asphalt content test 

results and the verification tests performed in a separate laboratory. All tests should be noted 

on control charts or other production records so that when results are available there is a clear 

visual representation as to when problems occurred and where the material is on the project.

10.4.1.4.2 Documenting Quantity

Quantity documentation for the asphalt binder consists of the suppliers weigh tickets or quantity 

computations based on asphalt content test results.

The weigh tickets for the loads of mixture with the signature of both the weigh person and the 

spread person will serve as documentation of quantities involved in the project. These tickets 

should show the project number, the item number, the date delivered, and the truck number. A 

record of the empty truck weights is also necessary. Two weighings per shift of the empty 

trucks is required - at least one with the fuel tank full or nearly so. An adding machine tape or 

computer printout, indicating the item number, date, and project, will serve as documentation for 

each day’s production. It should also indicate the persons who computed and checked the 

quantity.

A copy of the QL-Pay printout should be included in the project documents for each estimate 

and for final payment.
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10-42 Asphalt Construction

For final payment, a copy of the smoothness data summary and computation worksheet is 

necessary. Paving quantities to which smoothness pay adjustments are made are determined 

in accordance with the Contract.

When estimates are paid, quantities should not include tonnage (metric tonnage) for which 

Contractor test results are delinquent.

10.4.1.5 References

The following are suggested source and/or reference materials for Project Engineers and 

inspectors on Hot Asphalt paving projects.

 National Asphalt Pavement Association (NAPA)

o TAS-15 Rolling and Compaction of Asphalt Pavement

 AASHTO, FAA, FHWA, NAPA, USACE, APWA, and NACE

o Hot-Mix Asphalt Paving Handbook

 Asphalt Institute

o MS-4 Asphalt Handbook

o MS-6 Asphalt Pocketbook of Useful Information

o ES-9 Factors Affecting Compaction

 Federal Highway Administration

o ED-88-028 Hot Mix Bituminous Paving Manual

 Center for Transportation Research, Bureau of Engineering Research, the University 

of Texas at Austin

o Compaction of Asphalt Mixtures and the Use of Vibratory Rollers

10.4.2 OPEN-GRADED ASPHALT FRICTION COURSE

10.4.2.1 Preliminary Review and Approval

See Section 10.4.1.1.
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Asphalt Construction 10-43

10.4.2.2 Construction Inspection

The guidelines given in Section 10.4.1.2. should be followed in the inspection of the plant and 

laydown equipment. Because of the characteristics of the mix, some points will merit special 

emphasis.

Normally the depth of the course will be only slightly thicker than the size of the largest 

aggregate, so the elimination of all over size aggregate is a must. The nature of the mix makes 

repair work behind the screed almost impossible, so it is imperative that control of the mixing 

and laydown operations is such that problems are corrected before the mix reaches the screed.

Necessary consolidation will be normally attained with one pass of a nonvibrating steel roller. 

Care must be exercised to avoid over rolling of the mix. Traffic, especially hauling units, must 

be kept off the newly placed mat until it has completely hardened or shoving and/or rutting will 

occur.

The temperature constraints given in the specifications should be strictly observed. Experience 

has shown that the quality of the completed mat is directly related to the weather conditions at 

laydown; the warmer the better.

10.4.2.3 Measurement

See Section 10.4.1.3.

10.4.2.4 Documentation

See Section 10.4.1.4.

10.4.3 OPEN-GRADED EMULSIFIED ASPHALT PAVEMENT (OGEAP)

10.4.3.1 Preliminary Review and Approval

10.4.3.1.1 General

The Project Engineer may obtain from the Federal Lands Division an excellent reference 

publication entitled, A Basic Asphalt Emulsion Manual, coded FHWA-lP-79-1 (Two volumes). 

Volume 1, entitled Understanding and Using Emulsions should be of particular interest to project 

personnel. Volume 2, Mix Design Methods may also be of value.

Many of the practices used for hot asphalt concrete pavement are also applicable to opengraded emulsified asphalt cold mixes. Only significant differences will be discussed in this 

section. The reader should therefore consult Section 10.4.1 in conjunction with this section.

The major difference is that an open-graded emulsion cold mix has few fines and requires no 

heat for mixing and placing. Mixture handling characteristics of hot mixes are controlled by the 

temperature of the material. The thickness of the emulsified asphalt coating controls these 
Major Construction Processes March 2009

10-44 Asphalt Construction

characteristics in the cold mix. As the emulsion breaks, the mixture viscosity increases rapidly, 

thereby making these mixes less forgiving than hot mixes during construction. They do, 

however, produce a very flexible pavement when properly placed.

Both aggregate gradation and moisture content can affect the behavior of the emulsion as it is 

mixed into the aggregate. These will also affect the behavior of the mixed material as it is 

transported to the grade and placed through the paving machine.

Emulsified asphalt is composed of finely sheared microscopic sized particles of asphalt binder

suspended in a solution of water, emulsifying agent, and oil distillate. Emulsified asphalt 

specifications place a minimum limit on the percent of asphalt binder residue; a minimum and 

maximum limit on the percent of oil distillate and the penetration of the asphalt binder residue; 

and a minimum limit on the ductility of the asphalt binder residue. Other values are also 

specified for particle charge, coating ability, and water resistance. All of these characteristics of 

the emulsified asphalt affect the behavior of the emulsion during the handling, mixing and 

laydown operations when producing an open-graded emulsified asphalt pavement. The effects 

of these emulsified asphalt properties are not all the same.

The stability of the emulsified asphalt prior to incorporation into the aggregate will be determined 

primarily by the type and amount of emulsifying agent. The stability referred to is the ability of 

the emulsified material to remain an emulsion. In other words, the emulsion’s resistance to the 

coagulation of the asphalt particles to form the residual asphalt binder. This coagulation is 

generally called “breaking”. Primary factors influencing the behavior of the mixed emulsified 

asphalt and aggregate are:

 The type and amount of emulsifying agent;

 The amount of moisture in the aggregate;

 The gradation of the aggregate and,

 The amount of manipulation the mixture is subjected to between introduction of the emulsion 

and placement through the paver.

These factors, along with the influence of the other emulsified asphalt properties, will generally 

be reflected in the performance of the completed pavement.

Controlling the moisture in the aggregates is an area of critical concern. Excellent results have 

been obtained when dryers were used to dry wet aggregates. However, for economic reasons, 

drying is usually not specified. A uniform, low aggregate moisture content is necessary to use 

the specified amount of emulsified asphalt in the mix. As in all asphalt mixes, it is important to 

have a positive interlock between the aggregate and asphalt feed systems.

The adherence to aggregate gradation specifications is also extremely important, more so than 

for standard hot mixed asphaltic concrete. A fractional percent more than the specified amount 

of minus No. 200 (75 μm) material can greatly increase mixture viscosities in the mixing 

chamber and/or paver. These increased mixture viscosities are sufficient to cause operational 

difficulties that result in rough riding pavements. Because its viscosity changes with 

temperature, it is advisable to maintain uniform emulsified asphalt temperatures. A 18 °F (10°C)

change in emulsified asphalt temperature will produce a noticeable viscosity change. Higher 

emulsified asphalt viscosities will allow the aggregate to hold more asphalt. The temperature of 
Major Construction Processes March 2009

Asphalt Construction 10-45

the aggregate should also be kept uniform and compatible with the asphalt temperature. 

Changes in either temperature will affect uniformity of the pavement.

10.4.3.1.2 Source Approval

The requirement for a very clean, surface dry aggregate at the time of mixing with emulsified 

asphalt should be kept in mind when reviewing Contractor proposed material sources. This 

requirement should be particularly stressed when writing source approval letters to the 

Contractor. This is especially so if the proposed source will require special handling to produce 

aggregates that are both clean and surface dry. Refer to more detailed discussion of source 

approval in Section 11.2.

10.4.3.1.3 Mix Design

The mix design is a process to determine how much emulsion the proposed aggregate can hold 

and to determine the compatibility of aggregate and emulsion (electrostatic charge). Visual 

observations are made on the mixing characteristics in the laboratory. These tests generally 

are simple processes. There should be no delay in furnishing materials to the FLH laboratory 

that is doing, or reviewing, the design. Emulsions may react negatively to certain aggregates 

due to their chemical composition; therefore, the aggregate or the emulsion may need changing. 

Maximum possible time for adjustments should be provided by early submission of materials for 

mix design or mix design review.

10.4.3.1.4 Pre-Operations Conference

The Project Engineer should confer with the Contractor prior to laydown operations. In addition 

to the usual topics of a prepaving conference, there is need to ensure adequate sand or other 

suitable blotter material is available, as well as proper application equipment. This is necessary 

both to apply material to the surface of the newly placed mix, as is usually specified; and to 

quickly cover any problem area to facilitate traffic and/or environmental protection. The 

potential traffic need would include any roads used to haul from the plant to the project, because 

leakage from the haul vehicles can be expected to occur.

10.4.3.2 Construction Inspection

10.4.3.2.1 General

It is desirable to have a materials specialist available from the Division to assist the Project 

Engineer during the initial paving start-up, through field testing of the design.

The Project Engineer should plan for at least as large an inspection force as for a hot mix 

operation, and to spend much personal time at inspection. This is due to the sensitivity of the 

material to minor changes in mix composition and in changes in the weather. It also relates to 

the extreme difficulty that might occur as a result of such sensitivity.
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10-46 Asphalt Construction

10.4.3.2.2 Plant Operations

The comparatively simple plant usually used for OGEAP is one of its strong points. The 

inspector needs to be concerned mainly with feed operations to the pugmill. These include the 

usual concerns for any uncontrolled mixing of separate piles of aggregate through stockpile 

overlap or misfeeding of separate cold feed bins. Aggregate moisture content also needs to be 

watched closely. Small changes in aggregate gradation or moisture content can be very critical 

with these mixes. For example, when working from a stockpile having wet and dry areas, a 

careless loader operator can vary the moisture content of the aggregate entering the pugmill. 

The non-uniform moisture content will vary the asphalt content of the mix because it is 

controlled by the aggregate belt scale feeding the pugmill. An increase in aggregate moisture 

content over that established during plant calibration will increase the percent of emulsified 

asphalt to the aggregate. The more free moisture, the less emulsion the mix will hold. Too 

much water on the aggregate will therefore mean excessive dripping from the trucks and less 

asphalt for binder in the mix.

If the loader operator were to load aggregate with too many fines, a different problem might 

result. With finer aggregate in the mix, the emulsion might break too early. If it breaks in the 

pugmill, the Contractor might be delayed while cleaning up the mess. If it breaks in the paver or 

prior to raking, some very rough pavement might be laid because of the severe handling 

problems.

The point of introduction of emulsion into the pugmill is important. This is one adjustment to be 

considered when the emulsion is breaking either too early or too late, or if the aggregates are 

not being properly coated.

10.4.3.2.3 Roadway Operations

Vertical joints at connections to existing pavement must be square cut since the comparatively 

coarse aggregate will not accommodate “feathering”. It is, however, sometimes possible to 

make special mixes using 3/8 or 1/4 inch (9.5 mm or 6.3 millimeter) minus dense graded 

aggregates for preleveling or for making approaches where feathering is necessary. These 

mixes will probably require a different type emulsion than that used for the mainline paving. 

Otherwise, these preleveling and feathering operations might best be done with a dense graded 

hot mix if it is available. In either case, a contract modification should be considered unless this 

was covered in the specifications.

Ideally, the OGEAP should begin to change from a brownish color to black, within about 

100 feet (30 meters) of the paver. The rate at which OGEAP changes color is highly dependent 

on the environmental conditions. If it is a very hot sunny day vs. a cooler partly cloudy day, the 

time for the emulsion to break will differ greatly. This color change signals the emulsion 

breaking. That is, the separation of the asphalt and the water. If this is not occurring in that 

distance, there are several adjustments which can be made. Probably the most important 

consideration is whether or not the emulsion will have broken sufficiently to withstand rainfall 

within four hours after placement. A check for this condition is pouring water from a gallon jug 

onto the completed pavement. One should look for the water to flow out from the pavement 

edge where it contacts the lower non-porous layer. When the water runs out, a paper towel is 

placed in it to determine if asphalt binder is being carried out of the pavement with the water. It 

is difficult to tell if the water contains asphalt binder because it may be discolored by the 

emulsifiers. After the paper towel has dried, it is possible to see any asphalt binder present. It 
Major Construction Processes March 2009

Asphalt Construction 10-47

is not uncommon for some emulsion and/or emulsifier to discolor water for several days after 

laydown. Actions must then be taken to prevent damage to the environment, especially 

waterways.

If it is determined from the above test that the break is too slow, the mixing time should be 

increased slightly. The additional shearing action on the emulsified asphalt in the mix, as it is 

mixed more, will accelerate the break. This can be accomplished by:

 Introducing the emulsion into the pugmill nearer to the aggregate entrance, and/or

 Placing a dam at the output of the pugmill.

If the break is still too slow in occurring, the next step would normally be to change the emulsion 

formula slightly. The Project Engineer cannot make this change nor can the Contractor. For 

this reason it is advisable for the Contractor to have a representative from the emulsion supplier 

on the project until the operation is running smoothly. A final last resort adjustment is to add 

portland cement to the aggregate prior to the introduction of the emulsified asphalt. A very 

small amount, usually not more than 0.3 percent by weight of the dry aggregate, is normally 

sufficient to dehydrate the aggregate enough to permit continued operation. The portland 

cement is usually added to the aggregate feed belt by a screw auger feeding from a small 

hopper. The screw auger should be interlocked with the aggregate feed belt in the same 

manner as the asphalt supply pump.

It is okay if the emulsion turns black during the transport or laydown operation, provided it 

passes through the paver and can be laid without causing irregularities in the pavement surface. 

These irregularities usually will take the form of the mat tearing under or behind the paver 

screed. Occasionally, it may be difficult to maintain proper lift thickness because of the 

harshness of the mix. When these conditions occur, the emulsion is breaking too soon and 

mixing time should be reduced. This can also be done by introducing the emulsion more toward 

the output end of the pugmill. If the pugmill has a dam installed in the output, it should be 

removed. If these adjustments do not provide the necessary increase in break time, other 

places in the process should be considered where a reduction can be made in the physical 

manipulation of the mix prior to its passing under the paver screed. When all of these measures 

have been implemented and the emulsion is still breaking too early, a change in the emulsion 

formula will usually be required to correct the condition. Again, this change will require the 

assistance of the emulsion supplier’s representative and will result in a loss of time.

Traffic can usually be accommodated immediately after the addition of the blotter or choker 

aggregates following the initial rolling. The pavement should soon develop enough stability to 

support even heavily laden logging trucks, provided the aggregate particles have the specified 

fracture percent. The load carrying capability of the pavement is determined by the interlock of 

aggregate particles, not by the type and/or amount of asphalt binder. The asphalt binder serves 

only to keep the aggregate particles in place in the pavement. The type and amount of asphalt 

binder determines how well and how long these particles will remain in place. The stability of 

the placed and compacted mix should continue to increase with time as the asphalt binder 

stiffens with age.

The pavement can be expected to remain much more flexible than a hot mix for a comparatively 

long time. Problems may occur with turning, stopping, and any other traffic pattern exerting 

extreme stress on the mat. For example, a truck with a locking brake might gouge the 

pavement seriously, several hours after placement. For this reason, traffic control should be 
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10-48 Asphalt Construction

established which will minimize the occurrence of these stresses. Reshaping and compaction is 

sometimes possible while the mix is in this state. However, the results are never as good as 

prevention would have been. If portland cement has been added, the set will be quicker and 

harder and it will be more difficult to correct rough areas.

10.4.3.3 Measurement

OGEAP will be measured by the ton (metric ton) of total mix, with the emulsion and mineral filler 

[portland cement] also paid separately by the ton (metric ton). If emulsion is invoiced or 

metered by the gallon (liter) it is converted to tons (metric tons) at the rate of 240 gallons per ton 

(1000 liters per metric ton). Refer to Section 10.4.1.3 for additional measurement instruction.

10.4.3.4 Documentation

See above. Refer to Section 10.4.1.4 for documentation instructions.

10.4.4 DENSE-GRADED EMULSIFIED ASPHALT PAVEMENT

10.4.4.1 Preliminary Review and Approval

Dense-graded emulsified asphalt concrete is a mixture similar to hot asphalt concrete except 

that the bituminous material and additives, when required, are of such a nature that the mixture 

may be transported, stockpiled, and placed cold. The contract specifications designate the 

types of materials to be used in the mix. The special contract requirements will provide the 

combinations of materials, based on local conditions. There are some special kinds of densegraded emulsified asphalt concrete that are patented and hence their use is subject to approval 

of the patent owner and to the payment of a royalty.

The controls expressed in Section 10.4.1.1 also apply to this section with the following additions 

and/or exceptions:

Mixing Temperature. Control of the temperature will be in accordance with the contract 

requirements.

10.4.4.2 Construction Inspection

See Section 10.4.1.2.

10.4.4.3 Measurement

See Section 10.4.1.3.
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Asphalt Construction 10-49

10.4.4.4 Documentation

See Section 10.4.1.4.

10.4.5 SINGLE OR MULTI-COURSE ASPHALT SURFACE TREATMENTS

10.4.5.1 Preliminary Review and Approval

For a chip seal or multi-layered treatment, if required by the Contract involved, a representative 

sample of this aggregate and asphalt should be sent to the Division laboratory for a mix design, 

to determine the application rate of asphalt and aggregate. This design should be reviewed to 

ensure that the application rates are sufficient to produce enough residual asphalt to provide 

proper embedment of the aggregate.

A good rule of thumb is that 40 percent of the most prevalent size aggregate will be embedded 

in the residual asphalt. It is important to remember when using emulsified asphalt, that it is 

normally shipped at a 70/30 ratio of asphalt to water, with the water being only a carrier that has 

no effect on the holding of the aggregate. A chip seal with insufficient asphalt applied has little 

or no chance of success.

The traffic control plan should be discussed thoroughly prior to the start of the work, since 

keeping the traffic off the newly worked area is important to both the success of the treatment 

and to public relations. An asphalt splattered car or a broken windshield is no laughing matter.

10.4.5.2 Construction Inspection

10.4.5.2.1 Distributor and Spreader Inspection

Prior to commencing operations, it is imperative that the distributor and aggregate spreader are 

inspected and calibrated, so that the material can be uniformly applied throughout the project. 

Areas of particular interest include the following:

a. Asphalt Distributor

1. Spray Bar

a) All nozzles same size and are free of clogs

b) All nozzles at same angle - (15° to 30° - as recommended by manufacturer)

c) Bar height is appropriate and constant regardless of load

d) Spray pattern is uniform with the proper overlap (double or triple coverage)

2. Bitumeter

a) No build up on wheel

b) Dial easily readable

3. Pumps and Circulation System
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10-50 Asphalt Construction

a) Instantaneous shut off

b) Pressure variations with relative ease

b. Aggregate Spreader

1. Storage Bin

a) Truck hook functioning properly

b) Feeder belts operating

2. Spreader Box

a) Gates spreadable

b) Spreader wheel operable

c) Speedometer or tachometer functioning 

d) Oversize or scalping screens in place and in good condition

10.4.5.2.2 Application Rates

When the Inspector/Project Engineer is satisfied that the equipment is functional, the 

calculations necessary to obtain the desired rate of application can be made. The variables in 

the application rates of asphalt from a distributer are: vehicle speed, spray bar width, and the 

pump discharge rate. Normally, the spray bar width is held constant throughout the passes. 

Often the alignment and grade of the roadway will limit the speed of the vehicle. For a typical 

prime coat application, the sequence could be as shown below.

a. Establish bar width: 36 foot (10.5 meter) roadway plus widening--use three passes at 

12 feet = 4 yards (3.5 meters) each.

b. Establish practical vehicle speed: For this example, use 5 mph (8 kph). 5 mph/60 min/hr 

= 440 feet per minute = 145 yards per minute (8 kph/60 min per hour = 133 meters per 

minute).

c. Asphalt characteristics: A typical example desired application 0.35 gal/yd2(1.6 L/m2) of 

CSS-1at 60°F (15°C). Asphalt as delivered = CSS-1 with specific gravity of 0.966 at a 

temperature of 175°F (80°C).

d. Correct asphalt for temperature: 0.35 ÷ 0.971 (factor from Asphalt Institute Pocketbook) 

= 0.36 gallons at 175°F (1.6 ÷ 0.971 = 1.65 liters at 80°C).

e. Calculate pump discharge rate required: (0.36 gal/yd2) × (145 yd/min) x (4 yd2/yd) = 

209 gal/min [(1.65 L/m2) × (133 m/min) x (3.5 m2/m)] = 768 L/min]

f. Shoot test section: ~100 feet (30 m). Observe coverage and penetration, adjust rate if 

needed, note gallons (liters) used and distance covered. Complete distributer load.

g. Check applied rate: (___gal)÷(yd × 4 yd) = ___gal/yd2

[(___L)÷(m × 3.5 m) = ___L/m2]
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Asphalt Construction 10-51

If the existing roadway is paved, brooming will be required prior to the application of a tack or 

seal coat. The broom should be checked for uneven wear, and observed during operation to 

ensure that no ridges of dirt are left on the roadway. The brooming should start at the centerline 

and proceed toward the shoulder.

When the construction requires the spreading of aggregates over the freshly sprayed asphalt, 

the specifications will usually require a self-propelled, two-axle, pneumatic-tired spreader. The 

application rate is controlled by the speed of the spreader and the opening size of the gate 

controls. The chip spreader’s calibration across the entire chipper head should be checked. 

Placing a container of known area (e.g. 1 yd2or m

2

), and weighing the stone deposited will give 

the Project Engineer an indication of whether or not the spreader is properly calibrated. 

Adjustments to the speed and/or the control gates should be made until the desired tolerance is 

attained. When placing aggregates on the freshly applied asphalt, it is imperative that the 

spreader be as close to the asphalt distributor as possible. At no time should more than 1 

minute elapse between the asphalt spray and the chip spread. The rolling should take place 

using rubber-tired rollers, treadless tires only, as close to the spreader as possible. All rolling 

must be completed before the asphalt has set. Over rolling or late rolling can break the bond 

between the stones and asphalt. If the application rate of asphalt and aggregate is rapid, more 

than one roller will be required.

The application of chips should be a single layer of stones, with small separation between 

stones. Avoid over-application of aggregate; this will result in none of the stones being correctly 

embedded. After the chips have been applied, brooming with light, even pressure may be 

required to remove the excess aggregate.

Application of a chip seal should never be attempted under adverse weather conditions. The 

stones should be as free of dust as possible. When using an asphalt binder, the aggregate 

surface should be dry. When using emulsified asphalt, the aggregate should be in a surfacedamp condition. There are many factors that will affect the success or failure of a chip seal. 

Any combination of them can cause a less than satisfactory result. Things to look out for are:

 Cool weather. Placement of a chip seal when air temperatures are lower than the minimum 

specified or when subsequent nighttime temperatures are particularly cold (i.e. 40°F or 4°C) 

may lead to excessive chip loss and immediate failures. 

 Dirty aggregate. Fine material that remains on the aggregate can create a “barrier” 

between the asphalt and aggregate that will not allow the aggregate to bond or adhere to 

the asphalt. The end result can be aggregate that pops out or dislodges.

 Insufficient asphalt. Chips are dislodged and/or chip embedment is less than 40%.

 Excessive asphalt. Bleeding, slick areas, loss of friction.

 Excessive aggregate. Poor embedment and improper orientation of the aggregate for the 

seal. This also adds more cost due to wasted aggregate that will need to be removed by 

brooming operations.

 Over-diluted emulsion. Same as insufficient asphalt.

 Dust, dirt, moisture on roadway. Bond between roadway and chip seal prevented.
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10-52 Asphalt Construction

 Improper spray bar and nozzle geometrics or operations. Streaking or drill marks 

present. 

10.4.5.3 Measurement

If payment for asphalt is by the ton (metric ton), measurement can be made by weighing or by 

using weights from the suppliers weigh tickets. If payment is by the gallon (liter), measurement 

can be made either by converting the weight to gallons at 60°F (liters at 15°C) or by measuring 

the liquid in the tanks or hauling units and converting to gallons at 60°F (liters at 15°C). For 

emulsions no correction for temperature is required. The factor of 240 gallons per ton (1000 

liters per metric ton) is always used. In any event, there must be a deduction for unused or 

wasted material.

Aggregates, if paid for by the cubic yard (cubic meter), are to be measured in the hauling units 

or by converting weights to cubic yard (cubic meters). If payment is by the ton (metric ton), 

material must be weighed in accordance with the procedures in Chapter 9.

10.4.5.4 Documentation

Documentation requirements are similar to those in Section 10.4.1.4. In addition, if aggregates 

are measured in hauling units, a system for documenting measurement and delivery must be 

devised to fit the circumstances involved.

During the course of the work, there should be periodic comparisons of the materials spread on 

the road vs. those invoiced for payment. If, due to the difficulty in controlling storage tank 

quantities, wasted materials, and those not used, the Project Engineer decides the weightbased invoices are unreliable, the use of daily spread computations/tabulations may be directed 

to be used for payment instead.

10.4.5.5 References

Useful reference materials for multi- or single-layer asphalt surface Course treatments.

 FHWA Pavement Presevation Check list series: 2 Pocket guide on Chip Seal application 

o http://www.fhwa.dot.gov/Pavement/preservation/ppcl02.pdf

 Asphalt Institute

o ES-ll Asphalt Surface Treatments

o ES-12 Asphalt Surface Treatments Construction Techniques

o MS-6 Asphalt Pocket Book of Useful Information

o MS-19 A Basic Asphalt Emulsion Manual
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Asphalt Construction 10-53

10.4.6 MINOR ASPHALT CONCRETE

This item is to provide materials from local or commercial sources where the use or quantity 

involved does not justify the use of more stringent and comprehensive FLH materials specified 

in Section 10.4.1.

10.4.6.1 Preliminary Review and Approval

The contract requirements define the required certifications and documentation to be submitted 

by the Contractor prior to the supplying of the mixture. These should be reviewed and approved 

if the proposed mix meets contract requirements. If the mixture is designed to meet a local 

agency specifications, contact should be made with the agency and the adequacy of the mix for 

the purposes intended verified. If serious doubts as to the quality of the product arise, an 

alternate submittal should be requested, or mix design and quality tests should be taken per 

Section 10.4.1.1.

10.4.6.2 Construction Inspection

See Section 10.4.1.2.

10.4.6.3 Measurement

Weigh tickets from the material producer can be used as measurement of the amount delivered.

10.4.6.4 Documentation

Copies of the producer’s certifications for the asphalt binder and the mixture will serve to 

document the quality of the product. Signed weight tickets will document the quantity delivered.
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10-54 Concrete and Structures

10.5 CONCRETE AND STRUCTURES

10.5.1 PORTLAND CEMENT CONCRETE

10.5.1.1 Preliminary Review and Approval

10.5.1.1.1 Mix Design

Responsibility for concrete mix design is normally assigned to the Contractor. Documentation is 

submitted by the Contractor to FLH. The mix design data is approved, rejected or conditionally 

approved by the Project Engineer (if so delegated) or the COE, after concurrence of materials 

specialists. Normally, FLH will not do verification testing of the mix. However, if the FLH elects 

to do verification testing, the Contractor should be so advised and samples requested as early 

as possible. The procedure may be appropriate when the following occurs:

 The specified concrete is required to have unusually high strength or other characteristics 

for which the producer has no historic records or data.

 The concrete is composed of components from sources not previously used for structural 

concrete by FLH or another organization.

 The concrete contains an admixture or additive; e.g. high range water reducer or fly ash for 

which the producer has no experience or production data.

In any case, it is the FLH’s prerogative whether or not to do mix design verification testing.

Approval is based on the quality and other specification requirements of the component 

materials; and whether the mix will comply with the strength, air and water/cement ratio 

requirements during production. Regardless of air, water and strength indicators under 

laboratory conditions, the Contractor remains obligated to comply with these specifications 

during production.

10.5.1.1.2 Batching Procedures

The Contractor is assigned responsibility for batch plant procedures. The Project Engineer may 

elect to perform occasional batch plant inspections prior to the start of production or at other 

times during production. The FLH will not normally perform full time plant inspection during 

every batching operation. The Contractor’s/supplier’s QC plan should address batch plant 

quality control.

Batch Plant Inspection Checklist:

 Storage, uniformity and identification of aggregates, cement and admixtures.

 Quality Control tests and their documentation.

 Facilities to weigh or otherwise measure components.

 Batch ticket documentation procedures.

 Facilities to measure, control and adjust for aggregate moisture.
Major Construction Processes March 2009

Concrete and Structures 10-55

 Facilities to heat or cool concrete during adverse weather operations.

 Facilities to mix and deliver concrete.

 Truck cleanout facilities and procedures.

10.5.1.1.3 Volumetric Batching

Volumetric batching, where aggregates, cement, water and admixtures are metered and mixed 

continuously is permitted by the specifications. Since volumetric batching eliminate most 

variability in batching and mixing time, it can result in more consistent mixes, especially when 

high range water reducers are used. Detailed requirements for volumetric batching are 

contained in AASHTO M 241. Some of the pertinent sections of AASHTO M 241 are 

reproduced here for information:

 Control Devices. If volume proportioning is employed, devices such as counters, calibrated 

gate openings, or flowmeters must be available for controlling and determining the quantities 

of the ingredients discharged. In operation, the entire measuring and dispensing 

mechanism must produce the specified proportions of each ingredient.

 Manufacturer’s Recommendations. The recommendations of the equipment 

manufacturer in the operation of the equipment and in calibrating and using the various 

gauges, revolution counters, speed indicators, or other control devices should be followed.

 Visibility and Access. All indicating devices that bear on the accuracy of proportioning and 

mixing of concrete shall be in full view and near enough to be read by the operator while 

concrete is being produced. The operator shall have convenient access to all controls.

 Checking. The proportioning and indicating devices shall be individually checked by 

following the equipment manufacturer’s recommendations as related to each individual 

concrete batching and mixing unit.

 Accuracy. Adequate standard volume measures, scales, and weights shall be made 

available for checking the accuracy of the proportioning mechanism. The device for the 

measurement of the added water shall be capable of delivering to the batch the required 

quantity within the accuracy of +1 percent; the device shall be so arranged that the 

measurements will not be affected by variable pressures in the water supply line.

 Yield Check. Essentially, the volume of concrete discharged from the mixer is checked by 

first weighing the amount of concrete discharged during some number of revolutions, or as 

determined by some other output indicator. This is followed immediately by a determination 

of the mass of concrete per cubic foot (cubic meter). The mass of concrete discharged 

divided by the mass per cubic foot (cubic meter) is equal to the number of cubic feet (cubic 

meters) mixed and discharged during the chosen interval. The accuracy of the output 

indicator is thus checked by this expedient.

 Yield Sample. It is recommended that about 2.5 to 3.0 cubic feet (0.07 to 0.09 cubic 

meters) be discharged for this purpose. This amount of concrete will weigh from 375 to 485 

pounds (170 to 220 kilograms) and can be discharged into, and contained in a small steel 

drum or other suitable container, which in turn can be placed on a scale of adequate 

capacity. The output of a batcher-mixer unit may be indicated by the number of revolutions, 
Major Construction Processes March 2009

10-56 Concrete and Structures

travel of a belt, or changes in gauge readings; if so, these figures should be used as a 

measure of output.

 Proportioning Check. Whenever the sources or characteristics of the ingredients are 

changed, or the characteristics of the mixture are noted to have changed, the Project 

Engineer may require a check of the fine aggregate content and the coarse aggregate 

content by use of the washout test. If the sources or ingredients change, this may constitute 

a new mix design according to the specifications. Essentially, in the washout test, 1 cubic 

foot (0.025 cubic meter) of concrete is washed through a No. 4 (4.75 mm) sieve and a No. 

100 (150 μm sieve); that retained on the No. 4 (4.75 mm) sieve is normally considered 

coarse aggregate, and that passing the No. 4 (4.75 mm) and retained on the No. 100 (150 

μm sieve) is considered fine aggregate. The mass of the retained aggregates should then 

be compared to theoretical masses computed from the mix design data. Significant 

differences suggest that the design mix is no longer being produced.

 Water. The rate of water supplied the continuous mixer shall be measured by a calibrated 

flowmeter coordinated with the cement and aggregate feeding mechanism, and with the 

mixer. The rate shall be capable of being adjusted in order to control slump at the desired 

levels and to determine that the maximum water/cement ratio is being met.

 Admixtures. Liquid admixtures shall be dispensed through a controlled flowmeter.

10.5.1.2 Construction Inspection

See Sections 10.5.2, 10.5.3, and 10.5.4 for procedures relative to falsework, forms, reinforcing 

steel and other incidentals.

During concrete placement inspection operations, the Project Engineer or inspector is normally 

concentrating on the placement at the structure, while the Contractor’s QC personnel should 

assume responsibility for placement at the structure, completion of the batch ticket, quality 

control of discharge operations, and all required tests. During the first one or two placement 

operations, extra attention by the Project Engineer may be needed to ensure that the Contractor 

properly assumes this responsibility. The Contractor, however, should not be permitted to rely 

on FLH for quality control. After the first few placement operations, intermittent monitoring of 

concrete inspection should be sufficient.

Concrete Discharge Inspection Checklist:

 Completion and receipt of batch ticket.

 Control of additional water or admixtures.

 Control of time of mixing and discharge.

 Temperature, unit mass, and slump of mix.

 Control of air content.

 Quality assurance test results to document quality of mixture.

10.5.1.3 Measurement

Concrete is normally included in the contract item in which it is incorporated. When concrete is 

paid as structural concrete, it is complete and in place in the structure. Quantities are usually 
Major Construction Processes March 2009

Concrete and Structures 10-57

determined by the theoretical dimensions of the structure and paid as a contract quantity or 

lump sum. The Project Engineer should have access to design computations, and should not 

have to recompute concrete quantities in the absence of evidence that they are in error.

10.5.1.4 Documentation

See FLH Field Materials Manual for guidelines for materials related documentation.

10.5.1.5 References

 Design and Control of Concrete Mixtures, Portland Cement Association.

 ACI Manual of Concrete Inspection, American Concrete Institute.

 CRSI Manual of Standard Practice, Concrete Reinforcing Steel Institute.

10.5.2 CONCRETE STRUCTURES

10.5.2.1 Preliminary Review and Approval

The following items normally require attention before concrete placement.

10.5.2.1.1 Contract Requirements

The Project Engineer and inspectors should have reviewed in detail all requirements of the 

contract. Any questions should be resolved with the COE, in consultation with the Bridge 

Engineer as may be necessary.

10.5.2.1.2 Submittals

The Contract will normally require a number of submittals for approval prior to the start of certain 

work activities. It is important that the Contractor and the Project Engineer communicate as to 

the schedule for these submittals, the estimated time it will take to review and approve them, 

and what the approval criteria will be. Sometimes these approvals go beyond the stated 

requirements in the Contract, and are required to be based on industry standards or even 

regulatory requirements.

At the same time, the Project Engineer and the COE must be in agreement on the issue of 

submittals, specifically which ones will be approved by the COE or Bridge Engineer and which 

ones the Project Engineer will approve.

The COE or Division policy may require the Project Engineer to review submittals for 

completeness prior to transmitting to the Division. The Project Engineer should keep the 

Contractor advised of the status of submittals. If the Project Engineer knows there are serious 

problems with a submittal, but the Bridge Engineer hasn’t officially disapproved it yet, the 

Contractor should be told verbally so that plans and schedules can be adjusted.
Major Construction Processes March 2009

10-58 Concrete and Structures

10.5.2.1.3 Falsework and Forms

10.5.2.1.3.1 Falsework Design

The Contractor’s submittal should include:

 All loads (such as finishing machine), location of loads, and loading assumptions (e.g. 

associated with rate of concrete placement for vertical members).

 Species and grade of lumber, all dimensions (span, width, thickness) of members and 

forms, allowable stresses used, calculated deflections, type, and size of bracing.

 Type, size and capacity of connections (bolts, hangers, spikes, nails, etc.).

 Manufacturer’s recommendations or tests for manufactured assemblies.

 Bearing value of supporting materials, wind, and other external load assumptions.

If the drawings are not complete, they should be returned to the Contractor to be completed 

before forwarding to the Bridge Engineer. Unless the special contract requirements waive the 

standard requirement, the drawings must be prepared and sealed by a licensed registered 

Professional Engineer.

10.5.2.1.3.2 Contractor’s Schedule and Equipment

The Contractor’s intentions for scheduling, rate of placement, equipment to be used, curing 

material, etc., should be discussed in order to adequately plan inspection and testing and to be 

sure the Contractor has adequately planned the placement operation.

10.5.2.1.3.3 Foundation Bearing Capacity

The bearing capacity of foundation material is required to be determined by the Contractor and 

reflected in the design assumptions of the falsework. The determinations may be based on 

standard tables, or in cases of marginal material or disputed assumptions, the Project Engineer 

may insist on actual tests. Exhibit 10.5-A, Allowable Bearing on Sandy Soils; and Exhibit 

10.5-B, Allowable Bearing on Clayey Soils, may be used by the Project Engineer to confirm the 

Contractor’s assumptions.

Tests and assumptions must be based on a worst case condition, i.e. if the foundation may 

become saturated during construction, the design must be based on that condition. 

Alternatively, the Contractor should include a drainage plan in the falsework drawings submitted 

for approval. The plan must provide an effective means of draining the area around the 

falsework for the duration of its use.

When tests are required, they may be simple static load vs. settlement tests, or more in-depth 

tests as may be suggested by the Contractor, and agreed to by the Project Engineer. The 

Project Engineer should be confident that the test reflects the capacity of the foundation, and 
Major Construction Processes March 2009

Concrete and Structures 10-59

not just a layer of good material overlaying poorer material. Steel scaffolding type falsework is 

particularly vulnerable to foundation problems because of its sensitivity to differential 

settlement/loading.
Major Construction Processes March 2009

10-60 Concrete and Structures

Exhibit 10.5-A Allowable Bearing on Sandy Soils
Major Construction Processes March 2009

Concrete and Structures 10-61

Exhibit 10.5-A Allowable Bearing on Sandy Soils (US Customary) 
Major Construction Processes March 2009

10-62 Concrete and Structures

Exhibit 10.5-B Allowable Bearing on Clayey Soils
Major Construction Processes March 2009

Concrete and Structures 10-63

Exhibit 10.5-B Allowable Bearing on Clayey Soils (Continued)

Notes:

1) Terzaghi & Peck Classification

3) Weak strata at some distance below footings may in cases cause more settlement than soil 

layers immediately below the footings.

4) Desiccation of clay near the surface will result in higher blow counts. An average or 

representative blow count over a depth below footing equal to the least width of the footing 

should be used.

5) For same unit pressure, large footings settle most. This is particularly so where clay strata 

are involved.

6) Greatest settlements may generally be expected at centers of loaded areas.

7) Consolidation and settlement tend to increase with the following:

Softness of the clayey material.

Thickness of the compressible strata.

Closeness of clay stratum to ground surface.

Amount proposed loading exceeds past loading.

Width of footing or loaded area.

Height of water table.

Liquid limit.

Time.

8) Shear failures are most apt to occur when:

Footings are small.

Settlements are large.

9) N represents the blows per 0.3 m to drive a 35 mm diameter (ID) sampler using a 63.5 kg 

hammer freely falling 0.76 m.
Major Construction Processes March 2009

10-64 Concrete and Structures

Exhibit 10.5-B Allowable Bearing on Clayey Soils (US Customary)
Major Construction Processes March 2009

Concrete and Structures 10-65

10.5.2.1.3.4 Used Materials

When used materials are anticipated for the falsework design, it is the Contractor’s responsibility 

to identify and reflect appropriate reductions in sections or maximum working loads. The 

documentation should be a part of the falsework submittal. When the materials are finally 

incorporated into the falsework structure, it must be verified that the assumptions on which the 

design was based are consistent with the apparent condition of those materials. If the Project 

Engineer has a basis to question any of these materials, they should be rejected unless the 

Contractor conducts tests or otherwise clearly demonstrates their validity.

10.5.2.1.4 Stakeout

The Government should furnish the Contractor data on the permanent or semi-permanent 

control points by which the structure is to be staked and constructed. If the initial control points 

will not be usable for checking during construction, then the Project Engineer should set and 

check additional control points or reference lines for checking. The Contractor should be held 

responsible for all control points, reference lines, and other surveying for the proper layout of the 

structure.

10.5.2.1.5 Quality Control Plan

See Section 10.5.1 for concrete requirements. The CQCP should have been submitted and 

approved prior to concrete placement. The CQCP should address the duties, responsibilities 

and authority of all management and QC personnel. The plan should adequately address the 

responsibility of supplier QC personnel.

10.5.2.2 Construction Inspection

10.5.2.2.1 Excavation

The excavation and foundation for both the structure and the falsework must conform to the 

contract requirements or design assumptions and must be excavated to the required elevation. 

The excavation for footings must be dewatered prior to concrete placement unless underwater 

placement is approved.

10.5.2.2.2 Falsework

10.5.2.2.2.1 Consistency with Approved Design

The Contractor is required to arrange for inspection of the falsework prior to concrete placement 

by a licensed professional engineer; and to certify in writing that the installation conforms to the 

approved design, contract requirements and acceptable engineering practice. The Engineer 

should coordinate with the Contractor to participate in this inspection. Exhibit 10.5-C, Checklist 

for Falsework Inspection, is a good outline for the inspection of falsework prior to concrete 
Major Construction Processes March 2009

10-66 Concrete and Structures

placement. Deviations from the approved drawings must be approved and concisely 

documented in the files with a copy to the Bridge Engineer, through the COE. Any changes to 

the materials, type of manufactured assembly, connections, footings or dimensional 

configurations of the various components of the falsework must also be approved and 

documented.
Major Construction Processes March 2009

Concrete and Structures 10-67

Exhibit 10.5-C Checklist for Falsework Inspection

CHECKLIST FOR FALSEWORK INSPECTION

Project: ____________________ Portion of Structure: ___________________________

Partial: _____ Final: ______ Date: ________________

A. All Falsework

Item Insp. Date

1. Approved shop drawings with all appendices and attachments 

available onsite.

2. All components identified as consistent with approved drawings. 

Identification should be by dimensional checks and/or 

manufacturer’s model numbers when available. Special grade 

lumber should be verified by markings. No significant damage 

(repairs, welds, holes, cut, etc.) to any component unless the 

damage is considered in the design computations.

3. Bearing capacity of footing foundations checked and confirmed 

consistent with design assumptions.

4. No standing water or washouts in vicinity of foundations which may 

have reduced the bearing capacity.

5. Footings, beams and leveling blocks dimensionally correct and in 

form contact.

6. Elevation adjustments made with full contact shims or 

paired/properly sized wedges.

7. Columns, towers and vertical members checked for maximum 

spacing and plumbness in both directions. Plumbness should be 

within 3.5 millimeters in one meter.

8. Lateral and diagonal bracing in place and attached per approved 

drawings.

9. All components protected from adjacent traffic and construction 

vehicles.

10. Tell-tales in place and checked.
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10-68 Concrete and Structures

Exhibit 10.5-C Checklist for Falsework Inspection (Continued)

B. Steel Tower/Screw Jack Falsework

Item Insp. Date

1. All steel support frames, jacks and assembly parts are in accordance 

with manufacturer’s model numbers and as approved in the 

falsework drawings. All components are free of dents, bends, 

cracked welds and corrosion.

2. Base plates in firm contact with footing or sill, and with decking 

support system. Plates should be attached if required by the 

approved drawings.

3. Adjustment screws snug against frame legs. Alignment devices in 

place inside legs to prevent rotation. Screws not over extended.

4. No gaps between adjacent tiers of frame legs. If gaps cannot be 

closed by adjustment screws without putting the frame out of plumb, 

the frame may be out of square and should be replaced.

5. Each tier of frames must have cross bracing or diagonal bracing.

6. Locking devices on bracing are properly closed and tight, and not 

damaged.

7. If exterior bracing for lateral stability is required, the devices which 

fasten this bracing to the frame system much be securely attached in 

accordance with manufacturer’s recommended standards and as 

required by the approved falsework drawings. Check cable clamps, 

tubing clamps and timber to steel connections.
Major Construction Processes March 2009

Concrete and Structures 10-69

10.5.2.2.2.2 Changes

Requests for approval of all changes will normally be through the COE to the Bridge Engineer. 

When the Project Engineer has substantial experience and structural knowledge, the COE may 

delegate the authority to approve minor deviations to suit field conditions or the availability of 

materials, if it is evident by inspection that the deviation neither increases the stress in, nor the 

deflection of, any falsework member beyond the maximum value allowed by the specifications; 

and does not reduce the load-resisting ability of the falsework system as a whole. Substantial 

(other than minor) changes may not be informally field approved. The following are examples of 

substantial changes that would entail a formal request and submittal from the Contractor with all 

supporting calculations and literature:

 A change in the size, spacing or placement of any primary load carrying member.

 A change in the method of providing lateral or longitudinal stability.

 Any change, however minor, which affects the falsework to be constructed over or adjacent 

to traffic opening.

 A revised concrete placing sequence, if it materially affects the stresses in load-carrying 

members.

All changes must be formally documented. The internal form, Report of Field Changes to 

Falsework/Formwork, (Exhibit 10.5-D), is provided as the mechanism to accomplish this 

documentation or initiate approval.
Major Construction Processes March 2009

10-70 Concrete and Structures

Exhibit 10.5-D Report of Field Changes to Falsework/Formwork

REPORT OF FIELD CHANGE TO FALSEWORK/FORMWORK

Project: _____________________________________ Date: ______________

Portion of Structure: ______________________________________________________

Description of Change: ____________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

__________________________________________

Action Taken: ____________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

________________________________________________

Change: ____ Approved By ____ Discussed With _______________Date: ___________

____ Waiting Approval ____ Contractor Proceeding ____ Work Suspended

____ Need Decision By ___________(Date) ____ See Drawings or Attachments

____ Other 

Comments: ______________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________

Distribution: Construction Operations Engineer, Bridge Engineer, Project Files 
Major Construction Processes March 2009

Concrete and Structures 10-71

10.5.2.2.2.3 Piling

Piles driven for falsework should be inspected for bearing capacity and alignment. The 

procedures in Section 551 of the Standard Specifications should be used to estimate bearing 

capacity.

10.5.2.2.2.4 Timber Members

Timber members should be checked to verify that they are the proper grade (if a grade is 

required or assumed) and dimension, and are not damaged or defective. The dimensions in 

question should be actual dimensions, not the nominal dimensions, unless the design is based 

on nominal dimensions. Required blocking should be included in the design submittal. 

Additional blocking, shimming and wedging should be kept to a minimum; and should be used 

primarily to ensure full bearing and to make fine adjustments in elevation.

10.5.2.2.2.5 Steel Members

Steel members must be inspected carefully for loss of section due to welding, holes or web 

openings. Welded splices, should be inspected visually for obvious defects; however, 

radiographic inspection or other methods of nondestructive testing are not required unless the 

Project Engineer’s visual inspection suggests the welds are defective. If the falsework design is 

based on steel other than A36 (A36M) grade, the Contractor must produce a certification or 

other evidence that actual steel furnished is the required grade.

Field welds designed up to 850 pounds per inch (150 Newtons per millimeter) of 1/8 inch 

(3 millimeter) fillet weld may be accepted based on visual inspection. If higher values are 

required, welding and inspection must be in accordance with AWS D1.1.

10.5.2.2.2.6 Manufactured Assemblies

Steel shoring components should be inspected before assembly to verify that all components 

are a part of the approved system. Components should also be inspected for dents, bent 

members, cracked welds, rewelding and corrosion. Such members must be rejected. After 

erection, the systems must be plumb, jacks installed at the top and bottom and in firm contact, 

all connections fitted together evenly, and locking devices in good working order. Screw jacks 

must not be extended beyond the manufacturer’s recommendations, and must be fitted with the 

proper hardware to be compatible with the frame legs and held firmly in line with the axis of the 

leg. Other manufactured assemblies should similarly be inspected and verified as being used 

consistently with the approved drawings and the manufacturer’s recommendations.

10.5.2.2.2.7 Exterior Bracing

Exterior bracing must be included in the falsework design when multi-tiered structures, wind 

loading or other factors cause concern with respect to lateral loads and stability. Exterior 

bracing should be checked for adequate sizes and for adequacy of connections. Cable 

connections must be tight and secure.
Major Construction Processes March 2009

10-72 Concrete and Structures

10.5.2.2.2.8 Traffic Openings

Openings through falsework for public traffic requires enhanced design standards in the vicinity 

of the opening to minimize the risk of damage due to errant vehicles. Falsework members 

installed adjacent to, or over traffic openings must be immediately temporarily braced until the 

entire system is in place and permanent restraints in place. Minimum vertical and horizontal 

clearance should be provided at all times and verified immediately upon erection.

10.5.2.2.2.9 During Concrete Placement

a. Tell Tales. Prior to concrete placement, the Contractor should install tell-tales under the 

structure. A tell-tale is a rigid strip of vertical wood, metal or fiberglass (25 mm by 50 

mm lumber is common) reaching from the underside of the formwork to a pin or stake 

driven firmly into the ground. The end of the pin is free, and is marked before concrete 

placement so that during placement settlement can be monitored. Tell-tales should be 

installed near the vertical supports for the falsework, but sufficiently away from falsework 

foundations which may settle.

b. Incipient Failure. As concrete is being placed, the falsework and tell-tales should be 

inspected at frequent intervals. The following items, in particular, are indications of 

incipient failure, where immediate response is required.

 Excessive compression at the tops and bottoms of posts and under the ends of 

stringers.

 Pulling of nails in lateral bracing; movement or deflection of braces.

 Excessive deflections of stringers; tilting or rotation of joists or stringers.

 Excessive settlement of tell-tales [0.4 inch (10 millimeters)] more than the anticipated 

settlement).

 Posts or towers moving out of plumb.

 The sound of falling concrete, cracking timbers or popping welds.

Any response to these problems should address safety issues first, including the 

possible evacuation of the site. The safety of workers and the public is more important 

than technical issues.

10.5.2.2.3 Form Layout

The Contractor’s surveyors should have checked all forms as to exact location and elevation. 

The Project Engineer or inspector may review this process or make spot checks. After initial 

process check type reviews, comprehensive checking by FLH should not be necessary.

10.5.2.2.4 Reinforcing Steel

See Section 10.5.4.
Major Construction Processes March 2009

Concrete and Structures 10-73

10.5.2.2.5 Deck Forms

The Contractor is responsible for setting deck forms and reinforcing steel and screed rails to 

grade. If all of these items are not set properly, they will not relate properly and the deck will be 

too thick, too thin, or the steel will not have sufficient cover.

After the screed rails are set, the entire deck placement plan should be checked in the presence 

of the Project Engineer or inspector. Note that when the screed is supported by the deck 

overhang rather than by girders, these supports must be firm enough so that there is no 

significant variability or bounce in the screed elevation. The deck should be checked on a 10 to 

15 foot (3 to 5 meter) grid over the entire deck surface. The Contractor should check the 

thickness of the deck (from the screed to the deck form) at each grid point as well as the 

reinforcing steel cover. Minor adjustments should be made by raising or lowering the deck 

forms (assuming the screed rails and settings have previously been verified as good).

If the adjustments are of such number and magnitude as to indicate the deck is not ready to be 

checked, the Inspector should arrange with the Contractor to come back at a later time or day 

when the Contractor believes the deck will be ready. It is inappropriate for the Project Engineer 

or FLH inspector to be a part of the routine deck grade setting process.

10.5.2.2.6 Cleanup

All debris, water, ice, etc. should be removed from the forms before concrete placement is 

authorized.

10.5.2.2.7 Concrete Placement

The Contractor is responsible for quality control during concrete placement. FLH’s role should 

be one of overview and verification. If the Contractor is not properly assuming the quality 

control responsibility, the problem should be addressed in specific terms. See the contract 

clauses relative to inspection of construction, material and workmanship.

Normally, small and medium sized placement operations should require only one FLH inspector 

once initial starting problems are worked out. The inspector should not be reluctant to request 

Contractor assistance whenever necessary.

The following items require attention during concrete placement.

a. Concrete Discharge. See Section 10.5.1.2.

b. Placement and Vibration. Concrete should be placed near its final location by pump, 

bucket, buggy or chute. Vibration is essential to avoid air pockets under re-steel and in 

corners.

c. Form Alignment. Tall or slender forms such as those for columns should be monitored 

for alignment as the placement progresses.
Major Construction Processes March 2009

10-74 Concrete and Structures

d. Deck Surfaces. The Contractor should be making spot checks with a 10 foot (3 meter)

straight edge to ensure proper surface tolerances. Particular attention must be paid to 

surfaces beyond the limits of the finishing machine.

e. Scheduling of Concrete Delivery. Occasionally, due to poor scheduling of trucks or 

equipment breakdowns, the delivery of concrete may not be continuous as is required by 

the specifications. If this happens, it is important that the Contractor take all appropriate 

action to minimize damage due to cold joints. Such action may consist of the following:

 Shading and/or fogging exposed concrete faces to prevent drying.

 Using a vibrator to keep the exposed concrete face plastic. This can be done for 

2 hours or more if the concrete is cool [less than 68 °F (20 °C)].

It is emphasized that these are emergency actions of limited useful duration. More 

drastic action, such as constructing an emergency construction joint or a total washout of 

a partial concrete placement operation, should be required whenever the structure may 

have been weakened.

When the Contractor’s scheduling problems are chronic and avoidable, the Project 

Engineer should communicate the deficiencies in writing and direct the Contractor to 

take corrective action such as furnishing standby equipment.

10.5.2.2.8 Curing and Protection

Curing materials and water must be available to begin curing as soon as initial set has taken 

place and the water sheen has disappeared.

In cold weather, the equipment required by the Contractor’s approved cold weather concreting 

plan must be available and ready to install.

Curing compound, mats, water, etc. must be applied as soon as possible. The Contractor 

should not wait until a large deck pour is completely finished before starting to apply these 

materials.

When forms are stripped before the curing period is over, curing materials must be applied 

immediately.

When a curing compound is used there should be periodic verification that it is being applied full 

strength at the required rate.

Particular attention must be given to sidewalk and curb construction joints that are obstructed by 

steel during the deck placement. A curing compound is normally not usable in these areas. 

Wet burlap or other acceptable procedures must be used to ensure that these areas are kept 

moist during placement and continuously during the curing period.
Major Construction Processes March 2009

Concrete and Structures 10-75

10.5.2.2.9 Hot Weather Concreting

Before concreting in hot weather, the Contractor should be required to compare the proposed 

procedures with the requirements of the Contract to determine if procedures are adequate. The 

following factors affect the evaporation rate of surface moisture from concrete:

 Air Temperature - If anticipated daytime air temperature is too high, night time (lighted) 

operations may be the only alternative.

 Wind Speed - Wind screens may be necessary to ensure relatively calm conditions and 

reduce evaporation.

 Humidity - In dry areas, fogging equipment may be used up wind from the placement 

operations to raise the humidity.

 Concrete Temperature - Through the use of ice as part of the mixing water, or other 

means, the concrete temperature should be held low enough to conform to anticipated 

conditions.

Exhibit 10.5-E, Evaporation Rates in Hot Weather, shows the relationship among these factors.
Major Construction Processes March 2009

10-76 Concrete and Structures

Exhibit 10.5-E Evaporation Rates in Hot Weather

Note: Example shown by dashed lines is for an air temperature of 65 °F, 

relative humidity of 45 percent, concrete temperature of 65 °F, and a wind 

velocity of 15 miles per hour. This results in a rate of evaporation of 0.13 

pounds per square foot per hour.

To use this chart:

1. Enter with air 

temperature, 

move up to 

relative humidity.

2. Move right to 

concrete 

temperature.

3. Move down to 

wind velocity.

4. Move left, read 

approximate rate 

of evaporation.
Major Construction Processes March 2009

Concrete and Structures 10-77

10.5.2.2.10 Cold Weather Concreting

Before concrete placement, when air temperatures might be less than 35°F (2°C) during the 

curing period, the Contractor must have an approved plan for maintaining the minimum 

temperature. This plan should address the following:

 Concrete Temperature - Provisions may be required at the plant to heat mixing water or 

aggregates in order to achieve minimum temperature.

 Forms and Insulation - Depending on circumstances, forms may have to be designed with 

insulation, or similar precautions such as flooding of footings or layers of straw may be used 

to avoid freezing.

 Heat - If artificial heat is required, the Contractor should have a comprehensive system of 

monitoring and maintaining. There should also be special precautions to be sure that 

moisture is maintained for curing during the heating process.

 Thermometer - Depending on contract requirements, either the Contractor or the 

Government is required to furnish a thermometer to monitor temperature during curing.

10.5.2.2.11 Removal of Forms and Falsework

Falsework must not be removed so as to produce excess stresses in the concrete. The contract 

may require minimum percentages of 28-day strength be reached prior to form removal. It is 

permissible to use statistically based prediction techniques to determine if the minimum 

strengths have been achieved.

The specifications may contain specific requirements regarding the removal of falsework, or a 

removal plan may be required as a part of the falsework submittal. Whether or not an approved 

removal plan is required, to prevent damage to the completed structure, and to maintain the 

safety of the public and onsite personnel, the Contractor’s removal plan should be discussed 

with the Project Engineer ahead of time. This is particularly important with respect to removal 

operations adjacent to, or over traffic openings. If temporary bracing was required during 

installation, then it is also required during removal unless another method of maintaining stability 

is provided.

Waterproof (metal, sealed etc.) forms that are part of the curing process may not be removed 

during the curing period unless provisions are made for continuing that process during stripping 

and finishing. These provisions may include curing compound, water spray, and wet burlap, or 

combinations thereof.

10.5.2.3 Measurement

10.5.2.3.1 Contract Quantities

Structural concrete is normally paid as a part of a lump sum item or on the basis of quantities 

computed by the designer and specified in the plans. It should not be necessary to recompute 
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10-78 Concrete and Structures

or verify these quantities unless discrepancies are brought to the attention of the Project 

Engineer. If discrepancies are alleged, the Project Engineer may elect to check only the parts 

of the structure in question, or all concrete may be recomputed. The designer may be asked for 

assistance if checking becomes necessary.

10.5.2.3.2 Staked or Ordered Quantities.

When final quantities are not specified in the plans, or when these quantities are adjusted or 

corrected, payment is normally on a staked or ordered quantity basis. The Project Engineer 

should determine in the field the required minimum dimensions of the structural element 

involved (e.g., a subfooting), and provide the Contractor with these authorized dimensions. 

These dimensions become the basis of the computed quantity. Upon completion, the inspection 

verifies that the structural element has been constructed within acceptable tolerances, but no 

detailed remeasurement is required. If the Contractor elects to construct slightly greater 

dimensions, no additional payment is necessary.

10.5.2.3.3 Measured Quantities

Occasionally the contract may authorize payment on a measured quantity basis. This method 

implies a higher level of control during construction, since the Government is going to pay for all 

concrete placed. This method is usually used when concrete is authorized to fill a void of 

unknown or odd dimensions. Measurement may be simply based on the quantity of concrete 

batched and placed if dimensions are inaccessible.

10.5.2.4 Documentation

The following is a list of minimum requirements for documentation of construction of concrete 

structures:

10.5.2.4.1 Falsework

All changes to actual falsework as compared to the approved design should be documented on 

the form, Report of Field Change t o Falsework/Formwork (Exhibit 10.5-D).

The Checklist for Falsework Installation (Exhibit 10.5-C), is an outline of what the Contractor’s 

QC and inspection personnel should be checking to document compliance with FAR Clause 

52.246-12, with Section 552 of the Contract, and with OSHA Regulations, Sections 1926.700, 

1926.701 and 1926.702. This checklist is provided to assist the inspector in documenting an 

independent check of the Contractor’s procedures and the ultimate conformity of the falsework 

to the approved drawings. If the Contractor is not competently performing these functions, a 

Directive ordering corrective action must be issued. At that point, if the Project Engineer thinks 

it would be helpful to provide the Contractor with a copy of the checklist for guidance, that is 

permissible. However, the Project Engineer should be wary of moving toward a situation where 

the Contractor’s inspection/quality control responsibilities are usurped by comprehensive FLH 

inspection procedures.
Major Construction Processes March 2009

Concrete and Structures 10-79

Prior to the beginning of concrete placement the Contractor is required to provide a certification 

by a licensed Professional Engineer that the installation has been inspected and conforms to 

the approved design.

10.5.2.4.2 Forms and Steel

A notation is appropriate in an IDR, a pay note, or in-placement records that falsework, forms 

and steel have been checked for compliance with the contract.

10.5.2.4.3 Quantities

If payment is by contract or plan quantity, that quantity should be referenced in a pay note. If 

payment is by ordered (computed) quantity, complete documentation of these computations is 

required.

If payment is by measured quantities, batched quantity with deduction for estimated non-usage, 

should be documented. Except if the contract provides that payment be made for all quantities 

which the Government orders, wastage will not be deducted.

10.5.2.4.4 Placement Record

The placement record should detail the structural component placed, conditions, problems, 

time, etc. This information should be filed with or cross-referenced to load tickets and test 

reports.

10.5.2.4.5 Curing and Heating

Diary entries or supplemental records must document inspection during curing/heating periods 

to verify temperatures and presence of moisture.

Approximations are adequate for progress payments if plan quantities are used for final 

payment. Usually approximations are based on an approximate breakdown of the plan 

quantities. Use of batched quantities for approximation is discouraged since errors may 

accumulate over several placement operations.

10.5.2.5 References

Same as Section 10.5.1.5, plus:

 Form Work for Concrete, American Concrete Institute
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10-80 Concrete and Structures

10.5.3 PRESTRESSED CONCRETE

10.5.3.1 Preliminary Review and Approval

10.5.3.1.1 Shop Drawings

All prestressed components must have shop drawings approved by the Bridge Engineer prior to 

fabrication.

10.5.3.1.2 Equipment and Facilities

Equipment and facilities, especially in the case of temporary fabrication sites, must be 

approved. Facilities for curing require special attention. See Section 10.5.3.1.3 for more 

information relative to remote sites.

10.5.3.1.3 Inspection and Testing

For remote fabrication sites inspection and testing may be arranged commercially or through a 

State highway department. The Materials Engineer or Quality Assurance Engineer will arrange 

this when requested.

10.5.3.1.4 Moving, Transporting and Stressing

It will be necessary to have an approved procedure for evaluating concrete strength in 

preparation for transporting or stressing the elements. A statistically based early strength 

prediction procedure is acceptable for this purpose.

10.5.3.2 Construction Inspection

Intermittent inspection is required at each stage of the operation. Comprehensive inspection is 

usually necessary during concrete placement and tensioning of steel.

10.5.3.2.1 Beds and Forms

Forms should be inspected for dimensions and stability. Anchorage tie downs should be 

available as required.

10.5.3.2.2 Reinforcing Steel and Inserts

See Section 10.5.4. Ducts and inserts for voids must be located accurately and tied down to 

counteract buoyancy.
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Concrete and Structures 10-81

10.5.3.2.3 Pretensioning

Strands must be clean and acceptably free of corrosion immediately prior to concrete 

placement. Tensioning systems must be supported by approved calculations and verification 

after tensioning. Thermal effects, slippage and elongation must be considered.

10.5.3.2.4 Concrete Placement

See Section 10.5.4. High frequency internal and/or external vibrators are often necessary to 

consolidate low slump concrete in congested forms for prestressed elements. High slump 

concrete utilizing a high-range water reducer is sometimes appropriate if requested by the 

fabricator and approved in accordance with the Contract.

10.5.3.2.5 Post Tensioning

Tensioning should comply with the approved shop drawings. Ten to twenty percent of ultimate 

load should be applied to take up slack before measurement of elongation. Anchorage and 

tensioning devices must perform without apparent defects.

10.5.3.2.6 Grouting

A guide to good practice is that grouting should be performed within 5 days of tensioning unless 

special anticorrosion precautions are taken. Ducts should be flushed and blown out with 

compressed air before grouting. Components of the grout shall have been previously approved 

prior to use. Pumps and gauges must be in proper working order with backups available.

10.5.3.3 Measurement

Prestressed elements are normally paid as a lump sum or plan quantity item. No additional 

measurement is required. If post tensioning is paid separately, the Contractor may be 

requested to furnish a breakdown for progress payment purposes. Even if it is not paid 

separately, the value of the post tensioning should not be paid in progress payments until the 

work is actually done.

10.5.3.4 Documentation

In addition to normal concrete and reinforcing steel documentation required by Sections

10.5.1.4 and 10.5.4.4, the following items should be addressed:

10.5.3.4.1 Materials Records and Certifications

Documentation should include prestressing wire and grout components.
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10-82 Concrete and Structures

10.5.3.4.2 Tensioning Records

Identification of member and prestressing wire used, jacking equipment, elongation calculations, 

gauge readings or other verification computations showing assumed slippage, compression, 

etc.

10.5.3.4.3 Stress Transfer

Concrete records should indicate that the required concrete strength has been achieved prior to 

stress transfer.

10.5.3.4.4 Equipment

Calibration records should be available and checked for all jacking equipment used in the 

operation.

10.5.3.5 References

 Manual for Quality Control for Plants and Production of Precast Prestressed Concrete 

Products, Prestressed Concrete Institute.

 Post-Tensioning Manual, Post-Tensioning Institute.

10.5.4 REINFORCING STEEL

10.5.4.1 Preliminary Review and Approval

The Contractor should submit shop drawings or cut sheets for all reinforcing steel prior to 

fabrication. It is normally not necessary to submit routine cut sheets to the Bridge Designer for 

approval. They should be fully reviewed and approved or noted differences marked and 

returned to the Contractor by the Project Engineer.

If the plans include a design reinforcing steel detail, these sheets may be used to compare to 

and approve the cut sheets. However, the fabricator may make minor changes in bar lengths to 

account for shortening at bends, etc.

The epoxy coating process may be subject to independent inspection arranged by the Materials 

Engineer or Quality Assurance Engineer. This inspection may be by FLH specialists, State 

inspectors or a commercial testing firm.

Upon delivery of the steel, the Project Engineer should be furnished certifications and mill test 

reports for all reinforcing steel. The documentation must be provided before the steel is paid 

for. Bars must be identified by markings as to grade, mill, size, and type of steel. Exhibit 

10.5-F, Identification Marks - ASTM Standard Bars, may be used to verify that the bars and 

certification grades indicated are the same.
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Concrete and Structures 10-83

It is not necessary for the Project Engineer to check dimensions of all steel upon delivery, as it 

is often difficult until it is placed in the forms. A cursory check should be made to verify the 

entire shipment has been received as represented by the documentation.

Exhibit 10.5-F Identification Marks - ASTM Standard Bars

10.5.4.2 Construction Inspection

Except for epoxy coated bars, reinforcing steel requires only intermittent inspection until a 

portion of a structure is complete and ready for concrete placement. Inspection should then be 

comprehensive in conjunction with approval to proceed with the placement. Upon delivery, 

epoxy coated bars should be checked for cracks, pinholes, and coating thickness. Special 

equipment may be obtained for checking the thickness and completeness of coating.

10.5.4.2.1 Storage and Handling

Reinforcing steel must be stored where it will be protected from dirt and grease. Minor rust is 

not normally a problem for non-coated steel, but it should be protected when stored in marine 

environments where major rust and scaling is likely.

10.5.4.2.2 Placing and Tying

Bars must be supported and tied so as not to deflect significantly under construction and 

concrete placement conditions. Refer to CRSI guidelines for specifics. Deck steel should not 

be used to support buggy ramps or other heavy equipment. CRSI and ACI contain tolerances 

for minimum cover, vertical and lateral placement, as well as minimum frequency of ties.
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10-84 Concrete and Structures

Proper placement of deck steel is particularly important. The procedure described in Section 

10.5.2.2.5 should be used to verify proper placement and cover for deck reinforcing steel.

10.5.4.2.3 Placement of Concrete

Prior to concrete placement, steel must be cleaned of form release agents or any other 

detrimental substances. In hot weather it may be necessary to shade reinforcing steel and/or 

spray with fresh water to cool it to less than 90°F (32°C).

After concrete placement, splice bars and other protruding bars must be cleaned of concrete 

splatter.

10.5.4.3 Measurement

Reinforcing steel is normally paid on a plan quantity basis. No remeasurement or computational 

checks are necessary. However, if changes are ordered by the Government or significant 

errors are discovered in the plans, the quantities should be adjusted to provide for these 

changes or errors. Minor adjustments in bar lengths to conform to fabrication standards are not 

considered significant.

Exhibit 10.5-G, ASTM Standard Reinforcing Bars, may be used to compute quantity changes in 

reinforcing steel.
Major Construction Processes March 2009

Concrete and Structures 10-85

Exhibit 10.5-G ASTM Standard Reinforcing Bars

BAR SIZE MARK Nominal 

Diameter

in (mm)

Nominal

Area

in2(mm2)

Nominal

Mass

lb/ft (kg/m)

US (Standard) 

AASHTO M31. 

M42, or M53

US (Metric) 

ASTM A 615M96a

3 10 0.11 (9.5) 0.376 (71) 0.375 (0.560)

4 13 0.20 (12.7) 0.668 (129) 0.500 (0.994)

5 16 0.31 (15.9) 1.043 (199) 0.625 (1.552)

6 19 0.44 (19.1) 1.502 (284) 0.750 (2.235)

7 22 0.60 (22.2) 2.044 (387) 0.875 (3.042)

8 25 0.79 (25.4) 2.670 (510) 1.000 (3.973)

9 29 1.00 (28.7) 3.400 (645) 1.128 (5.060)

10 32 1.27 (32.3) 4.303 (819) 1.270 (6.404)

11 36 1.56 (35.8) 5.131 (1006) 1.410 (7.907)

14 43 2.25 (43.0) 7.650 (1452) 1.693 (11.38)

18 57 4.00 (57.3) 13.600 (2581) 2.257 (20.24)

Minimum Yield Strength Grade (fy)

Grade Mark

English (ksi) Metric (MPa)

40.0 None

43.5 300 None

50.0 None

50.8 350 None

58.0 400 4 or one line

60.0 60 or one line

60.9 420 4 or one line

72.5 500 5 or two lines

75.4 520 5 or two lines
Major Construction Processes March 2009

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10.5.4.4 Documentation

The following are minimum documentation requirements for reinforcing steel:

 Certification and mill test reports must be on file covering all reinforcing steel.

 For epoxy coated reinforcing steel inspection reports covering the coating process, as well 

as inspection reports on condition after delivery should be on file.

 Prior to each concrete placement, diary entries or a placement report must document that all 

steel to be incorporated in that placement has been checked as to size, location, cover, etc.

 All changes in contract quantities must be documented by detailed computations.

10.5.4.5 References

 Placing Reinforcing Bars, Concrete Reinforcing Steel Institute (CRSI).

 Manual of Standard Practice, CRSI

10.5.5 PILING

10.5.5.1 Preliminary Review and Approval

10.5.5.1.1 Test Piles

Test piles are several ordinary piles driven in advance of ordering the remainder of the piles, in 

order to better estimate the order length of the remainder and to minimize cutoffs and splices. 

Test piles are normally tested only by their driving characteristics. If test piles are required, it 

must be determined if the test pile lengths are specified or if they must be ordered. If the latter 

is the case, the Project Engineer should consult with the COE to agree on the order lengths. 

The Geotechnical Report should also be consulted to determine appropriate test pile lengths

10.5.5.1.2 Load Tests

Static load tests may be used to determine if dynamic driving characteristics, based on Pile 

Driving Analyzer (PDA) measurements, give an accurate estimate of actual capacity. Load 

tests are very expensive and not normally performed in highway structure construction, except 

for experimental work and under unusual [usually friction pile] situations. PDA measurements 

have been found to commonly underestimate actual pile capacity, and are generally used as the 

sole driving resistance acceptance criterion. The requirement for this type of pile measurement 

should be addressed in the Geotechnical Report.

If one or more load tests are required, all equipment as well as the layout of the tests must be 

approved by FLH prior to the test.
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Concrete and Structures 10-87

10.5.5.1.3 Pile Lengths

Some contracts may specify the order lengths of piles, or minimum tip elevations, but normally 

the Project Engineer must furnish order lengths based on test pile results. The determination of 

pile length often involves economic decisions. For example, if the cost of splices is 

considerable, it may be wise to order slightly excess lengths to minimize splices. Some 

contracts require the Contractor to determine lengths, but provide payment only for the piles 

actually driven.

10.5.5.1.4 Piling Hammers and Equipment

Proposed pile hammers and equipment must be submitted to FLH for approval prior to driving. 

Geotechnical personnel should be available to assist in evaluating equipment. Hammers must 

be large enough to ensure some penetration (usually at least 1/8 inch (3 mm) per blow) at the 

design bearing; however, too large a hammer can damage some piles, or may not be able to 

reach full energy at the pile capacity. Exhibit 10.5-H, Pile Driving Equipment Data Sheet, shows 

the information required to approve pile driving equipment.
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10-88 Concrete and Structures

Exhibit 10.5-H Pile Driving Equipment Data Sheet
Major Construction Processes March 2009

Concrete and Structures 10-89

10.5.5.2 Construction Inspection

Pile driving requires essentially continuous inspection in order to verify bearing.

10.5.5.2.1 Equipment

Check hammer weight, cushion, leads and pile alignment.

10.5.5.2.2 Preparation

Have the Contractor mark piles and provide a stationary scale on the leads in order to monitor 

penetration. The inspector should have computed or otherwise know the minimum blows per 25 

mm necessary for design bearing.

10.5.5.2.3 Driving

The hammer must operate at full stroke in order to attain the specified energy. This is important 

when determining the blow per 1 inch (25 millimeter) from which bearing capacity is determined. 

Low pile resistance may initially cause the hammer to function at less than full energy. Exhibit 

10.5-I, Pile Driving Record is a convenient form for recording pile driving information.

Once a pile has reached design tip elevation and the specified bearing has not been reached, it 

may be prudent to wait a period of time and try driving again. Anticipated “set up” times are 

typically described in the Geotechnical Report. Often, in granular soils, consolidation will have 

taken place and bearing will have been achieved at the time of driving. 
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10-90 Concrete and Structures

Exhibit 10.5-I Pile Driving Record
Major Construction Processes March 2009

Concrete and Structures 10-91

10.5.5.2.4 Splicing

Splicing procedures must be approved and splicing must be performed in a skillful manner. 

Welding, in particular, must be performed under controlled conditions by a certified welder.

10.5.5.2.5 Drilled Piles

Some piles must be drilled or augered. Examples are concrete piles that are cast in place, and 

some steel and concrete piles that are predrilled to a specified tip elevation to accommodate 

poor driving conditions, or installed in a newly constructed embankment.

If the specifications require drill holes and casings to be inspected, the Contractor’s QC plan 

should cover most of this effort. Minimum embedment in rock may be a specified criterion. 

Periodically the inspector should make verification inspection and the Contractor should be 

asked to furnish assistance.

Often, cast-in-place piles must be cast in a dry casing or hole. This can require difficult sealing 

and dewatering.

10.5.5.3 Measurement

Measurement requirements depend on how pile related contract items are structured. The 

specifications must be read carefully before setting up a documentation system. Generally, all 

piles ordered by the Government must be paid for, but if the Contractor is required to determine 

order lengths, only pile lengths driven are paid for.

Often splices are paid for, but not always. Usually splices in piles less than the order length are 

not paid for.

10.5.5.4 Documentation

Comprehensive documentation is necessary for all pile driving operations. The following are 

minimum requirements:

 Pile layout, structure and numbering system

 Type of hammer and other equipment

 Material certifications for piling

 Driving log for each pile, identifying the following:

o Penetration/blow counts

o Pile lengths

o Splices

o Computed tip elevation

o Computed Bearing

o Time to restrike/redrive

o Restrike blow counts

o Summary of Pay Items
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10-92 Concrete and Structures

10.5.5.5 References

 Design and Installation of Driven Pile Foundations, by Hal W. Hunt, Associated Pile and 

Fitting Corporation.

 Inspectors Manual for Pile Foundations, Deep Foundations Institute, P.O. Box 359, 

Springfield, New Jersey 07081.

 Design and Construction of Pile Driven Foundations, FHWA, Demonstration Projects 

Division.

 A Pile Inspector’s Guide to Hammers, Deep Foundations Institute, as above.

10.5.6 STEEL STRUCTURES

10.5.6.1 Preliminary Review and Approval

10.5.6.1.1 Shop Drawings

All shop drawings for major steel structures should be submitted for approval to the Bridge 

Engineer.

10.5.6.1.2 Fabrication

The Materials Engineer, Quality Assurance Engineer or Bridge Engineer will arrange for 

inspection of fabrication.

10.5.6.1.3 Falsework

Falsework for steel structures must be approved as required by Section 10.5.2.2.2.

10.5.6.1.4 Welding

If field welding is required, the Bridge Engineer should evaluate the need for specialized field 

inspection or testing if appropriate.

10.5.6.1.5 Bolts

The Contractor is required to provide a calibrated torque wrench for inspection of high strength 

bolts.
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Concrete and Structures 10-93

10.5.6.1.6 Certifications

All materials must be accompanied by certifications. Structural plate and associated welds 

should be documented by mill test results and other required tests.

10.5.6.2 Construction Inspection

Intermittent inspection of all operations is normally adequate, except for welding and bolt 

tightening which require comprehensive inspection.

10.5.6.2.1 Delivered Steel

Upon delivery, steel should be checked for proper documentation, including mill test reports, 

certifications, and inspection reports.

Any significant damage may require repairs. The Bridge Engineer should be consulted if this is 

the case. Steel should be stored to be protected from the weather. This is especially true if it is 

to be stored for a long duration. If at the time of erection, excessive mill scale and rust has built 

up on unpainted bearing surfaces, these surfaces may require sandblasting prior to assembly.

10.5.6.2.2 Falsework and Erection Equipment

Facilities for erection must be installed to conform to the approved working drawings and 

erection plan.

10.5.6.2.3 Erection

All bearing plates must be placed within acceptable tolerances. Bearing surfaces must match or 

be ground smooth. Required gaps in expansion joints should be checked prior to securing the 

fixed end of spans.

10.5.6.2.4 Bolted Splices

If splice plates are temporarily removed, match marking should be checked to ensure proper 

replacement.

When heavy hexagon bolts and heavy semifinished hexagon nuts are used, a hardened washer 

must be installed under the bolt head or nut, whichever is the element being turned. Heavy 

hexagon bolts can be identified by three radial lines, the legend A-325, and the manufacturer’s 

mark on the top of the head. Heavy semifinished hexagon nuts can be identified by three 

circumferential marks, or by the number “2” and the manufacturer’s mark on at least one face. 

The bolts and nuts may be washer faced but these faces do not take the place of a hardened 

washer.

See Exhibit 10.5-J for standard markings of A-325 bolts. Washer dimensions can be found in 

the Standard Specifications.
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10-94 Concrete and Structures

Calibrated torque wrenches must be used to check all tightening operations. When impact 

wrenches are used, a constant check should be maintained on the initial phase of the work to 

ascertain that the bolt tensioning is slightly in excess of the minimum value given in the table on 

bolt tension and torque values in the Standard Specifications. 

AASHTO M 164 (AASHTO M 164M), Type 1 bolts, nuts, and washers are used with A36 

(A36M) steel and other steels which are to be painted. AASHTO M 253 (AASHTO M 253M),

Type 3 or AASHTO M 164 (AASHTO M 164M), Type 3 bolts, nuts, and washers are to be used 

with weathering steels. 

The Contractor is required to conduct quality assurance checking of the torque of bolts in each 

connection. Generally, not less than 10 percent or two bolts per connection should be checked. 

Quality assurance checking must be in the presence of the Project Engineer.

Exhibit 10.5-J ASTM Standard Structural Bolts
Major Construction Processes March 2009

Concrete and Structures 10-95

10.5.6.2.5 Welding

All field welding must be performed by welders certified for the specific types of welds to be 

performed. The Project Engineer may request documentation of welder certification.

10.5.6.2.6 Painting

See Section 10.5.7.

10.5.6.3 Measurement

Structural steel is always paid by lump sum or plan quantity. No remeasurement or 

computations are necessary. If an error is discovered or change is made, weights specified in 

the AISC Manual of Steel Construction may be used to compute changes. However, it is likely 

some additional cost data may be necessary to more accurately assess the increase or 

decrease in the Contractor’s costs.

10.5.6.4 Documentation

Mill test reports, certifications and shop inspection reports are required for all structural steel. 

Diary entries made during erection of steel should indicate all problem areas and solutions.

The systematic means of checking bolt tightening should be documented.

10.5.6.5 Reference

 Steel Construction Manual, American Institute of Steel Construction (AISC)

10.5.7 PAINTING OF STRUCTURES

10.5.7.1 Preliminary Review and Approval

Paint certifications must be provided prior to beginning painting.

If color samples and approval of color are required, this must be coordinated with the Contractor 

and the approving official.

Environmental concerns may have to be addressed, especially if there is nearby private 

property, traffic, or if lead or other highly toxic paints are used. In any case, the Contractor 

should be asked how any problems or potential problems will be mitigated.

If removal of old paint is a part of the Contract, the Contractor may be required to test, and, if 

necessary, dispose of the debris as hazardous waste. Laws and regulations may put 

constraints on how such debris is collected and stored prior to disposal. Negative pressure 
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10-96 Concrete and Structures

enclosures may also be required. In enclosure, workers and FLH inspectors may have to take 

special health precautions to address the presence of lead and other toxins.

10.5.7.2 Construction Inspection.

Inspection is normally intermittent at each stage of construction.

10.5.7.2.1 Surface Preparation

The specifications should contain specific requirements as to surface preparation. Mill scale, 

dirt, and loose paint must always be removed. Sandblasting of deteriorated areas and perhaps 

the entire structure may be required. The specific requirements must be reviewed with the 

Contractor to be sure they are understood. In the event that Steel Structures Painting Council’s 

(SSPC) sandblasting standards are specified, these standards should be obtained for reference. 

The presence of oil or grease may necessitate a solvent cleaning.

For some paints and conditions, neither surface preparation nor actual painting can be done 

outside certain ranges of air temperature, humidity, and dew point. For marginal cases the 

necessary equipment and expertise should be obtained. Generally, final surface preparation 

and coating application should not proceed unless the surface temperature is at least 5°F (3°C)

higher than the dew point. Or, if a spot on the steel is moistened with a damp cloth, it should 

dry within 15 minutes if the dew point is low enough to paint.

When there are airborne pollutants in the area (steam, dust, chemicals), additional precautions 

may be necessary.

10.5.7.2.2 Equipment

The equipment selected by the Contractor should comply with the specifications, be clean, and 

in good working order. The procedure for determining thickness should be discussed with the 

Contractor. Initial readings should be taken on bare surfaces and the prime coat to use as a 

base for measuring subsequent coats.

10.5.7.2.3 Paint

Mixing of paint together with all specified additives is the single most important operation prior to 

application. Paint must be mixed until it becomes smooth, homogeneous, and free of surface 

“swirls” or pigment lumps. All settlement in the bottom of cans must be thoroughly mixed with 

the liquid.

It is often useful to tint second coats of prime or other intermediate coats in order for the painter 

to monitor coverage.
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Concrete and Structures 10-97

10.5.7.2.4 Paint Application

Paint must be applied in a uniform and consistent manner. Special attention to coverage is 

necessary in corners, behind stiffeners and bolts. Brush application may be necessary in these 

areas.

10.5.7.2.5 Film Thickness

Wet film thickness gauges may be used by the Contractor for process control. Dry film 

thickness gauges are used by the Project Engineer for verification. Chalk is useful to mark 

deficient areas. If deficient areas are numerous, the Contractor should be advised that the job 

is deficient, and ordered to check and correct it; i.e., the Inspector is not obligated to spend 

many hours identifying deficiencies if it is clear that the job is not ready for acceptance. 

Remember that the thickness gauge measures total thickness, so it is necessary to establish 

average readings for the prime coat(s) in order to calculate the thickness of the finish coat.

10.5.7.2.6 Multiple Coats

When more than one coat is to be applied and dust and pollution are in the air, it may be 

necessary to clean the surface before each coat is applied.

10.5.7.2.7 Special Tests

In addition to dry film thickness readings, some projects may require special tests such as 

pinhole/holiday detection, or adhesive testing (ASTM D 3359). The ASTM test method may be 

obtained from the Materials Engineer. The pinhole/holiday detection test requires special 

equipment.

10.5.7.2.8 Samples

Although paint is normally accepted by certification, FLH may, at its discretion, take samples 

and have them tested (usually commercially).

10.5.7.3 Measurement

Painting is normally a subsidiary obligation or paid as a lump sum. That being the case, no 

measurement of quantities is necessary. Changes or added quantities may be negotiated 

based on changes in areas painted.

10.5.7.4 Documentation

Certifications are required for all paint. Certifications and paint containers should be marked as 

to lot number and date of manufacture. The contract may require specific test data supporting 

the certifications.
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10-98 Concrete and Structures

For surface preparation, the IDRs should document inspection results and approvals. 

Photographs of passing and failing surfaces are helpful. Photographs of corners, splices, bolts 

and other hard to clean areas are more so.

The Project Engineer should maintain documentation of the intermittent inspections leading up 

to the dry film thickness measurements after each coat. The results of dry thickness readings 

should be documented as well as retesting (if necessary) and final acceptance.

10.5.7.5 References

 Steel Structures Painting Manual, Volume 1, Good Painting Practice, Steel Structures 

Painting Council (SSPC)

 Steel Structures Painting Manual, Volume 2, Systems and Specifications, Steel Structures 

Painting Council (SSPC)

10.5.8 REHABILITATION OF CONCRETE STRUCTURES

10.5.8.1 Preliminary Review and Approval

Rehabilitation specifications are normally detailed and method oriented. The Project Engineer 

should go over them in detail with the Contractor to establish necessary controls at each phase. 

There are normally areas shown on the plans designated for removal or corrective action. The 

Project Engineer must ascertain if these are “estimated” areas requiring extensive rechecking 

prior to authorizing the Contractor to proceed with the work, or if they have already been 

checked and it is acceptable to begin work.

All materials and equipment used by the Contractor are usually subject to approval prior to 

commencement. Traffic control procedures must also be reviewed in detail to determine if all 

potential problems have been properly anticipated. Equipment approval is particularly important 

because if such equipment is too heavy or too large it may damage additional portions of the 

structure as defective areas are removed.

When the specifications say “all unsound concrete is to be removed,” it is important to reach an 

understanding with the Contractor as to who has the authority to designate this concrete. If the 

Contractor can perform responsibly, there is nothing wrong with giving Contractor QC personnel 

limited authority to expand designated areas if they are defective, with the understanding that 

such areas will be added to pay quantities. If, however, the Government wants to retain 

complete control of the removal process, it will be necessary to assign inspectors to the 

operation nearly full time to approve removal or to expand areas as necessary.

In any case, it is important to discuss these problems and reach at least tentative 

understandings before work begins.
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Concrete and Structures 10-99

10.5.8.2 Construction Inspection

Inspection required for rehabilitation work is nearly continuous. Problems, changes, and the 

frequent necessity to approve each stage of the work necessitate this.

10.5.8.2.1 Bridge Decks

Removal operations, using approved equipment, must remove all defective concrete without 

significant damage to the structure. Milling must be deep enough to accommodate the overlay. 

Defective areas must be identified by sounding or more sophisticated procedures. Usually two 

stages are necessary: one to identify initial removal areas and one to check/or identify additional 

areas.

The COE and the Bridge Engineer (designer) should be apprised if the conditions during 

removal are drastically different from the conditions depicted in the contract.

Joints, reinforcing steel, and miscellaneous hardware often require repair, and the actual 

conditions are often not as depicted in the plans.

Replacement concrete should be inspected as required by Sections 10.5.1.2 and 10.5.2.2 as 

modified by any additional requirements in the contract.

10.5.8.2.2 Concrete Pavement

The contract normally has specific requirements as to slab removal, replacement, and sealing. 

As with bridge decks, it is necessary to respond to conditions as they actually exist if those 

conditions are different than those depicted in the plans.

Repair of expansion joints in concrete pavement is particularly important. Dowels that are out of 

line or installed improperly will defeat the purpose of the repair work.

10.5.8.3 Measurement

The contract will normally have a wide variety of pay items for rehabilitation work. The most 

important consideration is the determination of how additional quantities will be measured; i.e., 

will the Contractor have authority to perform numerous quantities of additional work and expect 

that work to be measured for payment. Or will only the Project Engineer have authority to 

authorize additional work. The answers are different for different situations, but understandings 

should be reached before work is started.

10.5.8.4 Documentation

Complex documentation is required for rehabilitation work. Removal, replacement, and repair 

items must be documented in detail, usually with drawings or sketches.

All material must be documented with certifications or test and inspection results.
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10-100 Concrete and Structures

Photographs are particularly important for rehabilitation work because they provide good 

feedback so that future designs can be improved.
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Miscellaneous Construction 10-101

10.6 MISCELLANEOUS CONSTRUCTION

10.6.1 DRAINAGE STRUCTURES

10.6.1.1 Preliminary Review and Approval

10.6.1.1.1 Pipe Culverts and Storm Drains

After the project has been slopestaked, the Project Engineer should analyze the approximate 

design of drainage culverts as shown on the plans, and if required, make or recommend 

adjustments or redesign to meet field conditions.

The contract may require that the Contractor perform this analysis and submit proposed 

adjustments to the Project Engineer for approval; or it may be silent on this issue, which means 

the Project Engineer must perform the analysis and make the adjustments prior to authorizing 

the Contractor to order materials and install the culvert.

The analysis will usually require that stakeout data at the culvert installation be taken and 

plotted in order to verify the design. 

Careful consideration should be given to the following pertinent factors:

1. Location of Structure. The alignment and grade of the channel adjacent to the inlet and 

outlet of the proposed structure should be carefully studied to ensure efficient operation. If 

the location for any structure as indicated on the plans appears incorrect, the Project 

Engineer must take the necessary action to properly correct the situation, contacting the 

COE if there are technical or procedural questions.

2. Type and Size of Structure. Based on actual field conditions, the Project Engineer may 

come to question the type of a structure, arch versus round culvert perhaps, or the size. The 

Project Engineer should review design information in these situations, and should consult 

the COE if the question persists. Prior to establishing the lengths of manufactured culverts, 

the Project Engineer should review with the Contractor how culvert length are cut or 

manufactured. If culverts only come in say 0.25 meter or 1.0 meter increments, they should 

be ordered that way if possible. However, if this would involve technical compromises or 

waste, the culvert should be staked as necessary and the Contractor should deal with the 

odd length, and cutting problem.

3. Limiting Heights of Fill. The Project Engineer must see that the design gauge or strength 

of culvert pipes meets the prescribed design criteria for the heights of fill to be placed over 

them, if either the fill or culvert varies from what was anticipated by the designer. The design 

criteria are normally shown on the plans. If not, this information will be furnished by the COE

via the appropriate design office personnel.

Past culvert design methods increased metal thickness to control pipe deflection. The 

present emphasis, however, is on the use of proper bedding and backfill to control pipe 

deflection. This method has produced fill height tables with less pipe thickness for 
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10-102 Miscellaneous Construction

corresponding maximum fill heights. It has also, of course, increased the need for care in 

inspecting bedding and backfill.

10.6.1.1.2 Underdrains

Adequate design of underdrains at the time of preliminary engineering and preparation of plans 

is often difficult or impossible due to limited information and time. The Project Engineer must 

therefore carefully evaluate the conditions on the project as the work progresses, and require 

underdrains as conditions warrant.

The location and depth of underdrains are governed by the characteristics of the particular soil 

involved, the location of the water to be intercepted, and the terrain. Numerous alternate 

perforated pipe materials are acceptable and have been approved for use. Prior to installation, it 

should be determined which material the Contractor intends to furnish from the list of specified 

alternates. Then their properties should be reviewed for compliance with specifications.

All available alternate pipe materials are not approved for installation beneath the traveled way. 

The Project Engineer must check to ensure any proposed pipe materials different from those 

designated on the plans are acceptable. This information can be obtained from the COE via 

appropriate Division personnel.

When geotextile fabric is used, the certified physical properties as well as the performance tests 

require review prior to installation to ensure compliance with the specifications. Division 

procedures may require samples for additional testing.

Granular backfill material is a vital component to the complete system. The Project Engineer is 

responsible for arranging evaluation of the location and volume of underground water to be 

carried and the permeability of the intended granular backfill material when there is any doubt 

the true situation was known to the designer. A change in the design of the system may be 

required. Assistance should certainly be requested when failure of an expensive or 

environmentally sensitive portion of a project seems possible. Assistance from Geotechnical, 

hydraulics and other design personnel may be arranged through the COE.

10.6.1.2 Construction Inspection

Once the Project Engineer and/or Inspector have reached an understanding with the contractor 

on proper installation, inspection of routine installations should be an occasional, as opposed to 

a constant task. Underdrains may require closer attention, particularly if the design is being 

done as excavation proceeds.

10.6.1.2.1 Pipe Culverts and Storm Drains

The Project Engineer must ensure a stable foundation is being prepared for all structures. 

Stable foundation, rock foundation, and yielding foundation all require different methods of 

bedding. Construction requirements and instructions will usually be found in the specifications 

and project plans. Information on good practice may be obtained from any of several 

publications available to the Project Engineer.
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Silting around an inlet or outlet is caused by retarding the velocity of the stream just above or 

below the culvert. If sedimentation is anticipated, erosive velocities should be reduced by means 

of a broken grade line, stilling basins, or spillways. In unusual situations, the matter should be 

referred to the COE for special consideration. For pipe installation and construction procedures, 

refer to the CSPI publication, Handbook of Steel Drainage & Highway Construction Products or 

ACSPA publication, Installation Manual for Corrugated Steel Drainage Structures.

10.6.1.2.2 Underdrains

In general, the underdrain gradient should be not less than 2 percent, and stringline or grade 

points set by instrument should be used to eliminate pockets.

Installation for underdrain systems often reveal sources of underground water adjacent to the 

excavated trench and the inspector should be alert to the need for branch connections.

Outlets to underdrain pipes should be located so as not to interfere with future maintenance, be 

subject to damage or blockage, and cause erosion problems.

10.6.1.3 Measurement

Methods of measurement are described under the appropriate section of the Standard 

Specifications, Special Contract Requirements, and/or Project Plans. They should be reviewed 

with the Contractor in the early stages of the project, to avoid arguments later when the 

Contractor compares invoice length to pay length. Any confusion should be resolved early, 

before a significant quantity of pipe is buried.

10.6.1.4 Documentation

The Project Engineer should ensure there is a record of the field check for compliance of 

materials to specifications, normally by signed and dated notes and copies of invoices or 

certifications.

Field measurement records are required along with records of computation of all pay quantities. 

These measurements, computation, locations, and pay quantities should be recorded in the pay 

notes. 

10.6.2 GUARDRAIL AND CONCRETE BARRIERS

10.6.2.1 Preliminary Review and Approval

Field conditions unknown to the designer and/or changes in the design may result in changes in 

guardrail needs for the project. The Project Engineer must carefully evaluate all field situations 

to determine if guardrail can be eliminated or if guardrail should be installed in areas where 

changes have occurred.
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Field changes that affect drainage or slope flattening should be consistent with the 404 Permit, 

or an amended permit must be secured. The Project Engineer should notify the COE as soon as 

any permit deficiencies are known or suspected. The permit process can be a long time, so 

early review is best.

The AASHTO publication, Roadside Design Guide, is the guide for the Project Engineer when 

evaluating changes.

10.6.2.2 Construction Inspection

Once the Project Engineer has approved the location, length and termini of all installations, 

inspection should be intermittent.

Culverts and structures near guardrail areas should be checked to prevent damage during 

guardrail post or anchor installation.

Wooden guardrail post installation should be monitored to discourage installers shortening post 

lengths upon encountering impenetrable objects. Look for saw dust or cut off ends. Also areas 

with extra length posts specified will require extra monitoring. If problems are encountered, they 

should be dealt with as violations of the Contractor’s QC management responsibilities.

In areas of contorted geometrics and unusual superelevation configurations, rail must be 

checked to ensure design height above ultimate finished grade.

10.6.2.3 Measurement

Methods of measurement must be done in accordance with instructions found in specifications.

10.6.3 FENCE

10.6.3.1 Preliminary Review and Approval

The right-of-way line is nominally the fence line, however, unless otherwise directed, the fence 

will be located 1 foot (0.3 meter) inside the right-of-way line. The purpose for installing fence is 

usually to keep livestock off of the highway. For the fence to be most effective, the wire and the 

livestock should be on the same side of the post. One exception to this rule is when placing 

fence on sharp curves the wire must be on the outside of the curve. Another exception is when 

the cooperating agency wants the fence on the road side for aesthetic reasons.

10.6.3.2 Construction Inspection

Fence inspection requires the Project Engineer to ensure that the fence is properly installed. 

This entails checking for the following:

 Post and wire spacing and gate, cattleguard, and brace panel locations are in accordance 

with the plans and specifications. 
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Miscellaneous Construction 10-105

 The Contractor has a QC system to check all fence materials delivered to the project for 

compliance with specifications. 

 Wood posts are of the specified soundness, quality, straightness and physical dimensions. 

 Wire is of the proper gauge and meets contract requirements. 

 Steel posts have the proper weight, length, cross section and finish. 

 Cattleguard materials comply with contract requirements.

It is usually necessary for the Contractor to grade the fence line before installing fence, 

particularly if woven wire is being installed. The amount of grading to be done depends on the 

terrain and cover and should be held to a minimum. The unnecessary removal of native 

vegetation encourages weed growth and erosion. The Contractor will probably be inclined to do 

too much grading rather than too little, particularly if equipment such as a motor patrol is used. 

To prevent unnecessary disturbance, it may be necessary to require the use of hand tool 

grading methods. Care must be taken to preserve stakes, reference points, bench marks, etc.

It is the Contractor’s responsibility to establish post locations, and the inspector is responsible 

for checking to see that the spacing is correct. When checking post location and spacing, it is 

advisable to keep in mind that the brace panels are the “anchors” for runs of fence and strong 

vertical post installation is necessary to provide an adequate anchorage. Line posts should be 

checked to make sure they are on line and plumb. Vertical alignment can be checked quickly 

with a makeshift plumb bob, and occasional post holes should be checked for proper depth.

Posts should be set vertical, tightly tamped, or set in concrete. Those set in concrete should be 

properly cured for 7 days before having wire stretched to them. The top of the concrete should 

be crowned to provide drainage away from the post.

When the Contractor is stretching and fastening wire to the posts, the inspector should bear in 

mind the following: 

 Wire should be stretched from panel to panel and not between single posts. 

 The top wire should be stretched first, wrapped around the post, and fastened back on itself. 

 Removal of enough barbs or stays to allow for wrapping the wire around the post and back 

on itself will make for a nice tight wrap splice. 

 Stretching the top wire first places the maximum pull on the post and the lower wires can 

then be added without loosening the first wires. 

 Stapling should begin in the middle of the runs and progress to the ends to ensure a 

uniformly tight fence. 

 Staples should be driven at about a 45° angle to the centerline of the post to minimize 

splitting. 

 Staples should be driven slightly downward on level runs and over hills and slightly upward 

into the post in draws or depressions where the wire has a tendency to lift. 
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 Staples should not be driven over barbs and not driven deep enough to pinch the wire. This 

allows the wire to move freely through the staple to allow for expansion and contraction.

When crossing ditches or gullies, deadmen should be installed to keep the fence in position. 

This helps keep the wire from pulling posts out of the ground and plugs holes that livestock 

might otherwise use to go through the fence.

Wire spacing should be checked periodically. The use of a notched lath or stick can be used to 

simplify this procedure. Appearance of a fence is very important. A sound fence can be an 

attractive fence, but a fence that does not provide a pleasing appearance is a detriment to the 

project whether or not it is structurally sound.

10.6.3.3 Measurement

Fence is usually measured by the foot (meter) along the top wire from outside to outside of end 

post for each run of fence. Gates are usually measured by the each for the type and size 

specified in the contract. Cattleguards are usually measured by the each for the type and size 

specified in the contract.

Unless the plans and specifications indicate otherwise, any related work necessary to construct 

fence, gates, and cattleguards is not paid for separately but is considered to be included in the 

price paid for these items. Examples of work for which the Contractor may feel entitled to extra 

pay might be the installation of deadmen and any clearing and grubbing necessary to construct 

the fence.

10.6.3.4 Documentation

Clear, concise records must be kept of each type of fence, gate, and cattleguard installed. 

Information to be kept should include location, installation date, type, size, or length installed as 

well as any special details of construction. This might include the removal and disposal of 

existing facilities, any changes in type or locations, labor and equipment used, or any other 

information that may be considered pertinent. Certifications of compliance for manufactured 

materials incorporated in the work must also be included.

10.6.4 CURB, GUTTER, WATERWAYS AND SIDEWALK

10.6.4.1 Preliminary Review and Approval

Curbs primarily contain, control, and direct surface runoff to inlets, catch basins, outlet ditches, 

and other drainage control features, but they also serve to define the limits of the roadway and 

help confine vehicular traffic to the traveled way. They are a part of the roadway that is most 

visible to the public and as such, finished appearance is of utmost importance.

The inspector should begin by becoming familiar with the layout details shown on the plans. 

Curb and gutter profile should be closely checked to minimize constructing birdbaths. The 

location of curb and gutter must be closely coordinated with other drainage features to ensure 

construction of an efficiently functioning drainage control system.
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10.6.4.2 Construction Inspection

10.6.4.2.1 Preparation

It is the Contractor’s responsibility to set stakes for these items, but it is the inspector’s 

responsibility to check the accuracy of those stakes. Particular care must be taken on checking 

the profile grade when roadway grades are relatively flat. Steeper grades tend to minimize the 

potential for birdbaths, but grades are still important from the standpoint of appearance. Steeper 

grades tend to magnify irregularities in profile grade. Horizontal alignment is primarily important 

from the standpoint of appearance. Existing edges of pavements or sidewalks cannot be 

depended on for accurate line and grade and often, the final alignment must be an eyeball 

adjustment.

Waterways will often have to be slightly deeper where steep downhill slopes transition to flatter 

slopes. Waterways may also need special treatment on the outside of horizontal curves where 

water may have a tendency to overflow. The typical curb and gutter cross section will normally 

show a gutter cross slope intended to keep the water in the gutter and away from the roadway. 

With gutter installations on the high side of a superelevation, the design should provide for an 

inlet or ditch to get rid of the water before it crosses the road. Then the slope on the gutter 

should be transitioned to match the superelevation of the roadway.

Curb, gutter, and sidewalk is normally placed on a foundation of compacted crushed aggregate 

base course. Before placing this crushed aggregate, the existing soil must be brought to the 

proper grade and compacted. Any soft, muddy or unstable material must be removed, replaced,

and compacted with good stable material. Nonuniform or inadequate compaction of the crushed 

aggregate or underlying soil will result in settlement of the curb, gutter, and sidewalk, creating 

drainage problems and increased maintenance costs.

When waterways and similar structures are placed on very steep slopes, the use of highly 

permeable foundation material should be avoided; otherwise piping under the structure can 

cause undermining.

10.6.4.2.2 Concrete Placement and Finishing.

Concrete design, production, placement, and testing is to be performed in accordance with the 

appropriate sections of the specifications as indicated on the plans.

Immediately prior to placing concrete, the forms and compacted base course should be 

moistened with water. It is desirable for the material with which the plastic concrete comes into 

contact to be damp, but standing water (puddles) should not be allowed. For proper curing of 

the concrete to occur, the mixing water in the concrete must be retained. This is achieved 

through prewetting and proper curing procedures.

Proper consolidation of the concrete is important and often neglected. Proper vibration of such a 

small (shallow) mass of concrete is not easily accomplished, but should be required.

The reason for consolidating (compacting) the concrete is to mold it in and around the forms 

and imbedded parts such as reinforcement, and to eliminate rock pockets and entrapped air.
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Placement is more easily accomplished if the slump is to the high side of the specification range 

but finishing and forms stripping may be delayed. Concrete should be placed in the forms as 

close as possible to its final position. Any vibration or manipulation of the mixture should be only 

that necessary to form a dense, consolidated mass.

Strikeoff or screeding is the process of striking off excess concrete to bring the top surface to 

the proper grade. In manual methods, the device used is called a straightedge; however, in 

some instances it may be curved to achieve the desired template. It may be desirable, for 

instance, for a sidewalk to have a slightly curved surface to facilitate drainage. The screed, or 

straightedge, is moved across the concrete in a sawing motion as it progresses with a slight 

surplus of concrete ahead of it to fill the low areas as it passes.

Edging, jointing, and floating all must take place somewhat simultaneously. Edging densifies 

and compacts the concrete slab next to the form where floating and troweling are less effective, 

making it more durable and less vulnerable to spalling and chipping. Jointing, when properly 

done, can control unsightly random cracking. Contraction joints can be formed with the use of a 

jointing tool or form material and should be approximately 1/8 inch (3 mm) wide. Expansion 

joints are normally 3/4 inch (20 mm) and formed with some type of preformed joint material. 

Spacing should be as indicated on the plans.

Floating accomplishes several things. It imbeds the aggregate particles just beneath the 

surface; it removes imperfections in the surface; and it keeps the surface open so excess 

moisture can escape. Floating produces a relatively even texture that has good slip resistance 

and is a good finish for sidewalks. In some cases it may be necessary to lightly roughen the 

surface with a broom to achieve a good nonskid surface. Overworking of the surface during 

finishing should be avoided, as this will bring an excess of water and fine material to the surface 

and defects can result. Floating, or finishing, should not commence until the plastic concrete has 

lost its initial sheen of moisture. No water should be added to the surface during finishing

operations. The tendency is to float the surface too soon while the concrete is too soft.

If slip form installation is used, the Contractor’s QC plan should address significant quality 

issues, particularly grade control, foundation preparation, and density. Sometimes slipform 

crews have a tendency to overtake the grading crews.

10.6.4.2.3 Final Finishing and Curing

Forms should be removed as soon as the concrete has taken its initial set. This will permit the 

timely repair of minor defects in the surface with mortar (1 part cement/2 parts sand). The curbs 

should be inspected for irregularities in line and grade. Since the concrete is still plastic, minor 

adjustments in alignment can be made by placing a long board against the curb and striking it 

with a sledge hammer.

After final finishing and while the concrete is still moist, it should be cured in accordance with 

specification requirements. If curing is accomplished with the use of some form of covering to 

retain the moisture (e.g., moist burlap or mats), the covering must be checked periodically to 

ensure the concrete remains moist for the required curing period (usually 3 days). If curing 

compounds or seals are used, care must be taken to ensure it is sprayed uniformly over the 

entire exposed surface area of the concrete. The purpose is to seal in the moisture in the 

concrete so care must be taken to achieve this result. During the curing period, the concrete 

must also be protected from damage by people and vehicles. Sidewalks being cured with clear 
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Miscellaneous Construction 10-109

or lightly pigmented curing compound are particularly susceptible to pedestrian traffic because 

to some, it may not appear to be fresh concrete. Clear curing compound normally has a slight 

pigment that aids in monitoring proper coverage but will dissipate soon after application.

10.6.4.2.4 Asphalt Installations

Asphalt curbs and waterways usually require an experienced crew and special equipment. 

Increased asphalt content is necessary since compaction will not be as high as with paving 

mixes. However, the Contractor should have a means to get reasonably good compaction and a 

tight surface texture.

10.6.4.3 Measurement

Concrete curb and curb and gutter combination is usually paid for by the foot (meter) measured 

along the front face of the curb at finished grade elevation. While in theory measurement should 

be on an as staked or as ordered basis, in reality it is easier to measure after construction. 

However lengths and areas clearly not authorized by the Project Engineer, should not be paid 

for.

Measurement is normally continuous through drainage structures and curb cuts (driveways).

Sidewalks are usually measured and paid for by the square yard (meter) of finished surface. 

Items often found in a sidewalk such as junction boxes, valve boxes, etc. are normally not 

deducted from the measured quantity for sidewalk as long as these individual appurtenances 

have a surface area of one square yard (meter) or less. It is always advisable to check the 

method of measurement for these particular items in the specifications to determine how they 

should be measured.

10.6.4.4 Documentation

Records should show the following:

 date the forms were ready, 

 dates concrete was placed, 

 type of curing utilized, weather conditions, 

 name of inspector and description of work inspected, 

 quantities placed, and 

 any corrective actions that may be taken. 

A brief narrative of the concrete placement operations becomes invaluable if it is necessary to 

retrace events should some type of failure occur.

Concrete quality records should be kept to reflect the specification requirements in the contract. 

If the specifications allow acceptance by certification, the certification should be checked to 

ensure specification requirements are met.
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10.6.5 SIGNING, DELINEATORS, AND STRIPING

10.6.5.1 Preliminary Review and Approval

10.6.5.1.1 Signing

The Project Engineer should, when possible, review the plans and specifications applicable to 

the permanent signing well in advance of the actual placement. The following areas should be 

reviewed:

 Sign location for possible obstructions to visibility and possible right-of-way problems;

 Effectiveness of locations;

 Appropriateness of the sign message for the situation; and

 Adequacy of signs to convey guidance, regulation or needed information to the traveling 

public.

If there are any changes considered to be necessary for complete and accurate signing, the 

Project Engineer should coordinate these matters with the appropriate designer and COE.

10.6.5.1.2 Delineators

Although delineators are one of the last items to be constructed, it is important to generally 

review the standards and specifications early on with the Contractor so it is known exactly what 

hardware is needed from the supplier. The Contractor should also be made aware of its 

responsibilities related to staking and placing the delineators.

10.6.5.1.3 Striping

Although striping is one of the last items to be constructed, it is important to generally review the 

applicable standards and specifications early on with the Contractor so the material and 

equipment needs are known.

The plans should contain a striping location plan. If not, the Project Engineer should consult with 

the designer for help in arriving at a suitable plan. 

If the striping location plan does not provide detailed information concerning location for nopassing zones, the Project Engineer should not eyeball such. The Manual on Uniform Traffic 

Control Devices is very specific concerning layouts for no-passing zones. Special equipment 

and know how is required to determine where the no-passing zones should be located. Again, 

consult with the designer for help.
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10.6.5.2 Construction Inspection

10.6.5.2.1 Signing

The construction inspection should generally consist of the following:

1. Specifications. Check the sign hardware for conformance with the applicable standard plan 

and specifications.

2. Layout & Legend. Check the sign locations and applicability of sign legends as per the 

approved plans.

3. Alignment. Check the sign panel alignment as per applicable standard plan and/or the 

Manual on Uniform Traffic Control Devices.

4. Night Check. When permanent signing is complete, drive the project at night as a final 

check as to the clarity and visibility of the signing network.

10.6.5.2.2 Delineators

Prior to actual placement of the delineators, the Project Engineer should discuss with the 

Contractor the appropriate horizontal spacing and lateral offset for the delineators. Usually the 

actual staking of the delineators will be done by the Contractor using the spacing guide provided 

in the plans.

The Project Engineer should be ensured during the course of delineator placement that the 

placement locations are adequate. In the absence of a Standard Plan for delineator placement, 

the Project Engineer should use the Manual on Uniform Traffic Control Devices for delineator 

placement criteria.

The Project Engineer should take the necessary precautions to ensure that the delineator posts 

are materially acceptable.

10.6.5.2.3 Striping

Prior to actual placement of pavement markings, the Project Engineer should discuss with the 

Contractor the general process that will be required to develop a specification product. This 

discussion should include the following:

1. Equipment. The requirements for the paint application machine.

2. Geometrics. The geometrics of the paint stripe, including the stripe width and skip pattern.

3. Application Rates. The application rates for the paint and beads.

4. Temperature. The application temperatures.

5. Preparation. Necessary preparatory work prior to striping.
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During the actual placement of paint stripes, the Project Engineer should randomly check the 

application rates for the stripes and beads. This check should be recorded appropriately.

10.6.5.3 Measurement

Signs and delineators are usually paid for by each; therefore, no physical measurement is 

required for pay quantities.

When payment is by the square foot (meter), computations should be based on the dimensions 

shown in the plans, after occasional verification. Striping materials are normally paid by the foot 

(meter) for each type of striping. Measurement of broken lines includes gaps. Measurement 

based on centerline stationing is adequate for conventional roadways.

When paint for striping is paid for by the gallon (liter), measurement should be based on the 

quantity used after a yield check to verify coverage in an acceptable range (plus or minus 10 

percent recommended). Wastage or quantities outside the acceptable range should be 

deducted.

10.6.5.4 Documentation

Adequate recorded notes bearing a validated acceptance statement for each sign installation 

along with appropriate certification for sign face material is acceptable in a pay note record for 

payment justification. 

The installed delineators should be physically counted and the actual number recorded in a pay 

note. The pay note entry should contain a validated acceptance statement, which will be used 

as the source document for payment justification. 

The record should also include documentation concerning FLH’s physical evaluation of the 

weight and cross-section properties of the delineator posts. This does not have to be part of the 

source document. Documentation should include certifications for beads and paint based on 

AASHTO standards.

The Contractor should furnish the Project Engineer with correspondence documenting the total 

gallons (liters) of paint used. The Project Engineer should check the application rate with a yield 

analysis. The actual quantity for payment along with the yield analysis should be documented in 

a pay note. This and the certifications as discussed above will be source documents for 

payment justification.

10.6.6 SLOPE PROTECTION

10.6.6.1 Preliminary Review and Approval

Section 404 of the Clean Water Act requires permits for the alteration of banks within waters or 

wetlands. The Project Engineer must be aware of conditions that require a permit and verify that 

the 404 permit was obtained. Stipulated conditions contained in the permit should be reflected in 

the plans, and in any event should be adhered to during construction.
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Riprap is discussed in the specifications and will generally call for a certain gradation and quality 

requirements and will probably be paid for under a riprap item. Slope protection may be used to 

accomplish the same intent but will more than likely be produced from unclassified excavation 

and may be specially sorted or preserved material paid for as a normal unclassified excavation 

or embankment item. It will probably not have a specified gradation or quality requirement.

References to riprap that follow will also generally pertain to slope protection.

Field conditions unknown to the designer and/or changes in the design may result in change of 

beginning and ending points for riprap. The area where riprap is to be placed should be 

reviewed after field staking to be sure intended bank stabilization or erosion prevention will be 

accomplished. Field changes should fit the 404 Permit, or an amended permit secured. The

Project Engineer should notify the COE as soon as any permit deficiencies are known or 

suspected. The permit process can take a long time, so early review is best.

Sources proposed by Contractors for rock riprap should be considered as described in Chapter 

11 herein, and the project specifications.

10.6.6.2 Construction Inspection

Foundation trenches, when required, must be constructed and measured for payment as 

detailed on the project plans prior to placement of riprap. 

Filter blankets and/or filter fabric, when required, must be placed on the prepared slope prior to

placement of riprap. Except as inspector presence is required for these purposes, or to make or 

review riprap quantity records depending on basis of payment, slope riprap need only be 

inspected at critical points.

10.6.6.3 Measurement

Method of measurement must be in accordance with instructions found in the specifications.

Riprap is normally measured in place, but may also be weighed, or perhaps be incidental to the 

excavation item.

10.6.6.4 Documentation

The Project Engineer is responsible for arranging documentation of the required compliance 

with specifications and for the field measurement notes and computation for all pay quantities. 

However, if payment is incidental to another item(s), diary records may well be adequate. If 

measured in the haul vehicle, weigh ticket collection is appropriate. Photographs are particularly 

helpful after a flood in documenting that subsequently covered riprap was placed.
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10.6.7 LANDSCAPING

10.6.7.1 Preliminary Review and Approval

Commercially produced landscaping materials including seed, fertilizer, mulch and irrigation 

hardware are normally accepted by certification. Topsoil, sod, and plants may be inspected and 

accepted on delivery, or agreement may be reached with the Contractor for inspection and 

preliminary approval of the source. The Project Engineer may request assistance from the COE

if the source is a long way away or if more expertise is needed.

It is important to meet and reach agreement with the landscaping Contractor prior to beginning 

work. Such agreement should include:

 Use of previously approved or certified materials only.

 Final layout or staking of limits of the work.

 Level of inspection and notice to the Government when work is to be done.

 Limitations of planting seasons.

 Groupings of plant areas for purpose of acceptance and/or beginning of plant establishment 

period.

In the very rare situation where there is a separate landscaping contract related to a 

construction contract, it is important that the construction contractor be advised of the 

landscaper’s schedule and intentions in order to prepare all areas for planting in a timely 

manner. Although the two contractors are obligated to cooperate, the Government is obligated 

to provide reasonable site availability to the separate landscape contractor.

10.6.7.2 Construction Inspection

Landscaping requires intermittent inspection at the completion of various phases.

Comprehensive inspection is normally required at the beginning of seeding operations and 

perhaps for the duration of such operations if the Contractor seems incapable of functioning 

responsibly without inspection.

10.6.7.2.1 Seeding and Sod

The limits of the work must clearly be communicated to the Contractor by stakes or by the 

continuous direction of the inspector.

Quantities for seeding should have already been computed by the inspector so that yield and 

quantity checks of seed, fertilizer, mulch, etc. can be made.

10.6.7.2.2 Plants

The Project Engineer may locate and stake each individual plant or group of plants, or the

Contractor may simply be advised to rely on the plans if the plans are detailed enough to use 

without staking.
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Holes for plants must be prepared in accordance with the plans and specifications including all 

topsoil, mulch, and fertilizer as required.

Plants that are significantly damaged through mishandling, drying or freezing must be rejected 

even if they were previously accepted.

10.6.7.2.3 Establishment Periods

The beginning and end of establishment periods for each plant or group of plants should be 

clearly understood by the Contractor and so documented. On large, complex projects, 

acceptance by large groupings is recommended to avoid the necessity of keeping track of 

individual plants. Normally, replacement of dead plants is required only at the end of the 

establishment period, and there is only one establishment period; i.e., a new establishment 

period is not started if a dead plant is replaced. However, all plants must be simultaneously alive 

at final acceptance.

10.6.7.2.4 Watering and Maintenance

Normally, if there is an establishment period, the Contractor is responsible for watering and 

maintenance during that period without additional compensation. If payment is provided for 

watering, the Project Engineer or inspector must exercise some control over when it is needed 

and how much is needed.

10.6.7.3 Measurement

Items paid by the square yard (square meter) or area measurement are measured parallel to 

the ground surface. Measurement should be made prior to installation of the work, and copies of 

computation should be furnished to the Contractor for use in settlement with its subcontractor.

Plants are normally paid by the unit of each. Payment may be made for planting except that if 

there is an establishment period, the contract may authorize a retent until the end of the 

establishment period. A 25 percent retent is suggested if none is specified.

If watering is measured for payment, the Contractor may be requested to keep a daily log of 

quantities and placement locations. Occasional checks of the adequacy of this log will usually 

suffice unless there is reason to suspect it is not being properly kept.

10.6.7.4 Documentation

Certifications or inspection reports are required for all materials. Quantity computations for items 

paid by area may be recorded in the pay notes.

Plants require documentation as to:

 when planted,

 scheduled end of establishment period,

 condition at end of establishment period, and
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10-116 Miscellaneous Construction

 when replaced (if so ordered).

For water, the log completed by the Project Engineer, or the Contractor if authorized, should 

show each load, quantity, time, and where placed. If the Contractor is keeping the log, it should 

be collected and reviewed daily.

10.6.8 MAINTENANCE OF TRAFFIC

10.6.8.1 Preliminary Review and Approval

At the time of the Preconstruction Conference, the Contract Traffic Control Plan should be 

reviewed with the Contractor. Modifications within the latitude of the contract will be made 

depending on the Contractor’s plan of operations and existing field conditions. The Project 

Engineer will then direct the Contractor, in writing, to furnish the required devices.

Prior to beginning construction, the Project Engineer will reach an understanding with the 

Contractor relative to the following items:

 The identity of Contractor personnel directly responsible for traffic control and maintenance 

of devices.

 Procedures for anticipating the need for, and ordering, of signs and traffic control devices. In 

situations where there is high attrition or substantial lead time in ordering replacements, 

spare signs and replacements should be ordered and stockpiled.

 Procedures for setting up and removing groups of devices.

 Procedures for inspecting, cleaning and maintaining devices.

 Procedures for off-duty hours inspections.

 Procedures for covering or removal of unnecessary signs.

 Training and procedures to be followed by flaggers.

 Training and instruction of other Contractor personnel.

 Procedures for movement of Contractor equipment through the project.

 Facilities for employee parking.

 Emergency (accident) procedures.

 Storage of equipment and materials.

Substantive points deriving from these discussions should be documented in the project files.

The continuing effectiveness of the Contractor’s traffic control procedures will require monitoring 

by the Project Engineer. This monitoring will be systematic and thorough until it is determined 

that the Contractor’s procedures are adequate. At that point, the Project Engineer’s efforts can 
Major Construction Processes March 2009

Miscellaneous Construction 10-117

be reduced to periodic monitoring. Monitoring efforts will include after hours, nighttime, and 

non-workday situations.

A dialog should be established between FLH personnel and the local policing authority, which 

will result in feedback on the effectiveness of the traffic control schemes, warnings of potential 

deficiencies, and advice on possible improvement. The police should be supplied with 

emergency telephone numbers of the Contractor and FLH personnel who can take action to 

restore major traffic control devices that are destroyed or damaged.

As a part of normal field reviews, COEs and other FLH personnel will review the adequacy of 

the traffic control procedures, discuss findings, and ensure necessary corrective actions are 

taken by the Contractor.

10.6.8.2 Construction Inspection

10.6.8.2.1 General

All FLH project staff should be cognizant of the quality and effectiveness of the Contractor’s 

traffic control. On complex projects with high exposure, an experienced inspector should be 

assigned to have primary responsibility for monitoring the Contractor’s traffic control. The 

Contractor, however, should not be allowed to let FLH assume responsibility for the traffic 

control. If this seems to be happening due to lack of commitment by the Contractor, written 

notice should be provided. 

The following are guidelines for evaluation of construction traffic control.

 Work sites should never present a surprise to the motorist. Thus, frequent or abrupt 

changes in geometrics should be avoided. Well-delineated transitions, long enough to 

accommodate driving conditions and the speeds vehicles are realistically expected to travel, 

should be provided at lane drops, reductions in roadway or lane width, detours, etc.

 The roadway should be kept clear of obstacles as much as possible. Flaggers, other 

workers, and objects such as traffic-control devices and construction equipment should not 

be permitted in the roadway except when their useful presence clearly outweighs the 

hazards they present.

 Obsolete pavement markings should be removed in such a manner as to eliminate any 

misleading cues to drivers under all conditions of light and weather. Where temporary 

pavement markings are required, consideration should be given to use of highly visible 

markings that can be easily placed and removed, such as raised reflective markers. 

 On very short-term maintenance projects, removing existing markings for the projects’ 

duration may be more hazardous to both workers and motorists than leaving the markings in 

place. If so, special attention must be paid to providing additional guidance by other traffic 

control measures to overcome the misleading effect of the markings left in place. Special 

treatment should be given to areas where a joint between pavements of different colors or 

textures may create a misleading cue.
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10-118 Miscellaneous Construction

 All devices used in the traffic-control setup should be clearly visible to motorists at all times. 

This means they must be adequately reflectorized or illuminated, as appropriate, and kept 

clean and in good repair. All devices should be removed immediately when no longer 

needed. Signs that do not apply to the existing conditions should be removed, completely 

covered, or turned so as not to be read by passing motorists.

 Areas outside the traveled way should be designed to accommodate errant vehicles. 

Equipment, materials, and debris should be located as far from the roadway as possible, 

and protected by effective, safe barriers when within 30 feet (10 meters) of the roadway. 

Barriers are warranted at work site locations where the severity of a collision with a roadside 

feature would be greater than with the barrier or where encroaching traffic may threaten 

workers safety.

 All vehicles, including workers’ and Contractor’s, should be prohibited from parking adjacent 

to the traffic lanes. Special parking areas, well out of the recovery area, should be 

designated.

 Provisions should be made for disabled vehicles or other emergency situations on all but the 

shortest projects. If it is impossible to provide a continuous, substantial shoulder throughout 

the project, other alternatives should be provided, such as periodic turn-outs or heavy 

patrolling of the project.

 When a firm schedule and final traffic control plan have been decided on, a public 

information campaign should be conducted to alert motorists. Often the local government or 

cooperating agency will assist in such efforts. The amount and type of effort will depend on 

the type of control (short time, off-peak periods, etc). In addition, cooperation of the 

responsible enforcement agencies should be enlisted.

 Work sites should be carefully monitored under varying conditions of traffic volume, light, 

weather, etc., to ensure that traffic-control measures are operating effectively.

Exhibit 10.6-A is a basic checklist for construction traffic control, usable by inspectors and 

Contractor personnel in the monitoring of work zones. Consult the project plans, specifications 

and design narrative for additional requirements.

Adverse answers to any of these questions should result in action to eliminate or minimize the 

problem.
Major Construction Processes March 2009

Miscellaneous Construction 10-119

Exhibit 10.6-A Basic Checklist for Traffic Control

CHECKLIST FOR TRAFFIC CONTROL INSPECTION

Project: ____________________ Inspector : ___________________________

Date: ________________

1. Advance Signing

Item Yes No Comment

a. Are signs clean, visible, and well maintained?

b. Are inappropriate signs removed or 

completely covered?

c. Do the signs concisely tell the driver exactly 

what to do (preferred) or what to expect?

d. Is delineation and channelization adequate if 

the driver fails to heed the advance signing?

2. Hazards

Item Yes No Comment

a. Are hazards in the construction zone 

delineated properly?

b. Is it clear how pedestrians, bicycles as well as 

cars are to pass through the construction zone 

safely?

c. Are there hazardous conflicts with 

construction traffic?

d. Is opposing traffic clearly and effectively 

separated?

e. Are "blind" or unexpected hazards given 

special attention?

f. Is the roadway surface being properly 

maintained?
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10-120 Miscellaneous Construction

Exhibit 10.6-A Basic Checklist for Traffic Control (Continued)

3. Delineation

Item Yes No Comment

a. Is the path through the construction zone 

clearly delineated with drums or other suitable 

devices.?

b. Is delineation adequate in nighttime or bad 

weather conditions?

4. Flaggers

Item Yes No Comment

a. Are flaggers clearly visible with advance 

signing?

b. Are flaggers effectively in control of traffic?
Major Construction Processes March 2009

Miscellaneous Construction 10-121

10.6.8.2.2 Analysis of Accident Data

On all projects, and in particular complex projects with high exposure, the Project Engineer 

should analyze the circumstances of accidents occurring in and around the work zone. This 

procedure should involve contacts with the policing agency, including a request to obtain copies 

of accident reports. Analysis should be critical of the Contractor’s traffic control; i.e., even if an 

accident was caused by driver error, a better traffic control scheme may have prevented it. 

There should be periodic feedback to Project Development as to the effectiveness of standards 

for construction traffic control.

10.6.8.2.3 Detours

For the protection of the public, or for the protection of the highway from damage during storms 

or particular construction operations, the Contractor may find it advisable to bypass traffic over 

detours in lieu of maintaining traffic along the improvement as provided by the contract 

documents. Such a change will require the issuance of a contract modification. The detour may 

be opened to traffic after the general plan has been approved by proper authority and the 

contract modification approved. In order that the State or County may be advised, and the public 

in turn notified several days in advance of the opening, the Project Engineer should notify the 

COE of the exact date that the highway will be closed and the detour put into use. The same 

procedure of notification will be followed in the case of special detours shown on the plans. This 

procedure need not be followed when traffic is bypassed around a structure, or other work, for 

comparatively short distances and for short periods of time. This type of bypass will generally be 

considered as maintaining traffic along the traveled way.

Under emergency conditions, the Project Engineer may close a highway to traffic for the 

protection of life and property without prior approval, but the COE should be notified as soon as 

possible. Should such circumstances arise, the Project Engineer must immediately notify law

enforcement and local authorities having jurisdiction over the road.

If a highway is closed without prior warning to the public, the Contractor should be required to 

station flaggers at each barricade to advise the public that the road is closed, why it has been 

closed, what detours can be used to best reach desired destinations, and the approximate 

length of time the highway will be closed. Detours and temporary roads must be adequate to 

accommodate the volume and type of traffic using them. Unless otherwise proved in the plans, 

they should be two-way roads of sufficiently high standard that traffic may be maintained with 

safety and without undue inconvenience to the traveling public. The Contractor cannot be 

expected to improve the standards or raise the surface of an existing road used as a detour, 

without compensation. Whenever a detour is to be discontinued and the highway opened to 

traffic, the Project Engineer must so notify the jurisdictional authority.

The permission to close or not close a public road to traffic is considered a condition of the 

contract and therefore, the Contractor should not be permitted to close a road solely for 

convenience unless:

1. The COE obtains approval

2. The cooperating agency concurs and
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10-122 Miscellaneous Construction

3. An equitable price reduction or determination that the closure is in the Government’s interest 

is made.

10.6.8.2.4 Nonconstruction Traffic Control

No FLH survey or other activities should be attempted on or adjacent to a traveled roadway 

without traffic warning/control procedures conforming to Part VI of the Manual on Uniform Traffic 

Control Devices and other FLH standards. When such activities are performed adjacent to a 

construction project, the Contractor may be ordered (and paid) to provide proper signing and 

control. Otherwise the party chief or team leader should arrange for such signs and devices 

prior to embarking on the assigned task.

10.6.8.3 Measurement

Orders for traffic devices should include replacement or standby devices if high attrition is 

expected and delays in ordering replacements are anticipated. Once ordered, the Contractor is 

responsible for reordering and replacing devices at no additional cost.

If the Contractor’s maintenance of traffic control devices is deemed unsatisfactory, the 

Government may withhold payment for such devices and ultimately may make permanent 

deductions in accordance with FAR Clause 52.246-12(f). If this is done, there must be written 

notice of the deficiency giving the Contractor the opportunity to take corrective action.

10.6.8.4 Documentation

Inspections and deficiencies should be documented in the project diaries or IDRs along with the 

corrective action ordered and accomplished.
Materials March 2009

Table of Contents 11-i

Chapter 11 – MATERIALS

TABLE OF CONTENTS

Section Page

11.1 General.......................................................................................................................................11-1

11.2 Source Approval .......................................................................................................................11-2

11.2.1 General....................................................................................................................11-2

11.2.2 Government Provided Sources ...............................................................................11-2

11.2.3 Contractor-Located Sources ...................................................................................11-3

11.3 Material Production...................................................................................................................11-4

11.3.1 Number of Samples to Submit for Verification Testing ...........................................11-4

11.3.2 Material Not Meeting Contract Requirements .........................................................11-4

11.3.3 Pay Factor Projections ............................................................................................11-5

11.4 Material Storage ........................................................................................................................11-6

11.5 Sampling and Testing...............................................................................................................11-7

11.5.1 Records and Reports of Materials...........................................................................11-7

11.6 Acceptance ................................................................................................................................11-8

11.6.1 Determining Acceptance .........................................................................................11-8

11.6.1.1 Visual ...................................................................................................11-8

11.6.1.2 Certification ..........................................................................................11-8

11.6.1.3 Measured and Tested ..........................................................................11-9

11.6.1.4 Statistical..............................................................................................11-9

11.6.2 Non-Conforming Material or Work.........................................................................11-10

Materials March 2009

General 11-1

CHAPTER 11

MATERIALS

11.1 GENERAL

Materials incorporated into highway work are of three basic types:

1. Off-the-shelf commercial items, which are represented by the manufacturer as meeting a 

standard or industry specification (e.g., guardrail, traffic paint, and culvert pipe).

2. Commercial items manufactured specifically to meet the requirements of FLH, or that are of 

sufficient criticality to require inspection and quality assurance by FLH or an organization 

engaged by FLH (e.g. structural steel and precast structural elements). Testing and 

inspection of commercial items, other than off-the-shelf items will generally be conducted at 

the site of manufacture by specialists engaged by FLH. Often, State DOT personnel will be 

engaged to perform these quality assurance functions. Tests for locally produced materials 

will be performed by Contractor or FLH personnel as per the contract requirements.

3. Items manufactured at or near the site of work by the Contractor, subcontractor, or supplier, 

and that are subject to routine inspection and quality assurance procedures by FLH (e.g., 

asphaltic concrete and aggregate base course).

This chapter provides guidance for source approval, sampling and testing, and acceptance of 

materials produced at the project, as well as guidance for accepting commercially produced or 

manufactured items.

Specific materials requirements are stated in the Standard Specifications, special contract 

requirements, and plans. The FLH Field Materials Manual is the primary guide for sampling and 

testing materials.
Materials March 2009

11 Source Approval -2

11.2 SOURCE APPROVAL

11.2.1 GENERAL

The Standard Specifications require the Contractor to notify the Project Engineer of all proposed 

sources of materials at the earliest date possible. These sources should be reported 

immediately to the COE so that necessary arrangements may be made for the testing of 

materials. If the Contractor is to do sampling and testing (e.g., as for Contractor-proposed 

sources of crushed aggregates), the COE will make known, before the work is started, any 

requirements relative to the size and numbers of samples not otherwise explicit in the contract.

The Standard Specifications usually provide the Contractor the option to furnish materials from 

sources shown on the plans or described in the special contract requirements, or from 

Contractor-furnished sources. In any case, the Contractor is to determine the amount of 

equipment and character of the processing required to produce specification materials.

11.2.2 GOVERNMENT PROVIDED SOURCES

Copies of all preliminary engineering, materials, and subsurface data, such as soil profiles, 

boring log data, materials sources, borrow area diagrams, material source options, use permits, 

and test reports, should be on file at the project office. The Project Engineer should consult with 

the COE to ensure that all preliminary materials information has been made available.

If the Contractor attempts, using reasonable and accepted industry processing practices, to 

produce specification material from a Government source, and is unable to do so, the 

Contractor may be eligible for an equitable adjustment for increased costs incurred in producing 

material from a new source. This additional compensation may include the costs of equipment 

moves and setup, additional haul, and additional costs, if any, of producing the material. To 

determine if the situation calls for a contract modification, the COE and appropriate specialists 

will have to evaluate the situation and agree that the Government source is not acceptable.

The Contractor is responsible for producing a material that meets gradation and plasticity 

requirements by appropriate crushing, screening, and even reasonable wastage. On the other 

hand, processing cannot change characteristics such as soundness, abrasion, or stripping 

resistance of the aggregate, nor the quantity of material in the deposit. Therefore, the 

Government is responsible for the ability of its proposed sources to yield material of the 

character and quantity indicated in the contract.

Care should be taken to ensure that all reasonably available material is secured from a source 

before the Contractor is authorized to move to a new source. Different formations in sources 

and other factors affecting production should not be used as reasons for abandonment, when 

acceptable material can be reasonably produced.

Extraction methods, land use, and quantities of material located on U.S. Government property 

should be discussed with a representative of the land managing agency prior to beginning 

construction to ensure understanding of what is in the contract.
Materials March 2009

Source Approval 11-3

11.2.3 CONTRACTOR-LOCATED SOURCES

The Contractor is required to submit certain information relative to any proposed materials 

source other than a source shown by the Government in the contract as acceptable. The COE 

will, with consultation with Materials, review the Contractor’s test results and quantity data 

before approving and authorizing Contractor-located sources.

Exploration requirements to demonstrate aggregate source quality can be found in the contract. 
Materials March 2009

11-4 Material Production

11.3 MATERIAL PRODUCTION

The FP identifies the production sampling and testing requirements in the table included at the 

end of each section ordering the work (e.g., Section 301, Section 401, etc.). Review these 

tables to determine what sampling and testing is required during production of the intended 

item(s). 

11.3.1 NUMBER OF SAMPLES TO SUBMIT FOR VERIFICATION TESTING

To determine the number of samples required for verification testing, FLH quality assurance

personnel should do the following:

 As the Contractor is producing material, obtain the Government’s split of all samples taken 

by the Contractor. Forward the split samples to the Materials Lab for verification testing

according to Division procedures. 

 Compare the lab’s results to the Contractor’s results to verify the quality control process. 

 If the Contractor’s results are verified, only submit 10% (at random) of the remaining 

samples. You should still obtain all of the split samples, but hold the other 90% at your 

project office until all of that particular material has been placed on the project and you have 

discussed material disposition with the COE or Materials Engineer. 

The test results must also be reviewed to determine compliance with the Contract 

specifications. Because gradation target values would not be established at this point, the test 

results should indicate consistent production that is within the broadband specification limits. 

Consult with the COE or Materials Engineer to discuss all quality control test results. 

If the test results indicate even the smallest of problems, Division policy may require that the 

Project Engineer forward all samples to the Materials Lab for testing until you and the COE are 

confident that problems are corrected and that acceptable material is being produced. Alert the 

Contractor to the problems and do not hesitate to obtain assistance from the Materials 

Engineer. 

11.3.2 MATERIAL NOT MEETING CONTRACT REQUIREMENTS

If the test results indicate that the material does not meet the requirements for one or more 

characteristics, the Contractor is required to modify its material production methods. It may be 

necessary to issue a stop work order for material production. The Contractor may want to 

continue at its own risk. Every situation and project is different, but it is suggested that you do 

not allow the Contractor to proceed with production. If production proceeds, it could result in 

40,000 tons of unacceptable material instead of 1,000 tons. Also, allowing the Contractor to 

proceed doesn’t solve the problem. It only pushes the issue to a later, and more costly, point in 

the project.

The stop work order is a serious action, and it must be discussed with the COE and CE before 

issuance.
Materials March 2009

Material Production 11-5

11.3.3 PAY FACTOR PROJECTIONS

Enter the production test results into the QL-Pay program to project the pay factor. For most 

items, the pay factor can be reasonably predicted if the material is handled properly and 

segregation is minimized. For items such as paving aggregates, which usually have multiple 

stockpiles, it becomes difficult to predict the pay factor because the blend ratios usually won’t be 

established until after crushing is complete.

In both cases, you can also compare the results of the materials lab with the Contractor’s 

results. This may help identify any procedural problems that the Contractor may be having with 

its testing program.
Materials March 2009

11-6 Material Storage

11.4 MATERIAL STORAGE

The Contractor is responsible for handling and storing materials in a manner that preserves their 

quality and fitness for the work. If the Project Engineer comes to believe the Contractor’s 

handling and storage operations will be detrimental to quality, and the belief continues after 

consultation with, and/or suggestions to the Contractor, the Project Engineer should consult with 

the COE regarding directed operations and/or payment for preliminary work. The Government 

always has the right to retest materials to verify that they have not been degraded by contract

operations or the lack of adequate protection. The Government can decline to make advance 

payment for materials that are not being stored and protected from degradation.
Materials March 2009

Sampling and Testing 11-7

11.5 SAMPLING AND TESTING

The FLH Field Materials Manual explains verification of Contractor testing as well as 

independent assurance sampling and testing, including required frequency. The Project 

Engineer will need to monitor these functions or at least be aware of the requirements, and 

advise the COE and Materials Engineer when construction operations require them to perform 

required functions.

Pursuant to FAR Clause 52.246-12, Inspection of Construction, the Contractor must maintain an 

adequate inspection system to ensure the work conforms to contract requirements (see Chapter 

7). The Project Engineer should review all test reports for accuracy and completeness, whether 

the test was performed on the project, by designated laboratories, or other inspection agency. 

Commercially produced products that are shipped to the project, whether or not quality 

assurance documentation is required, should be physically inspected by the Contractor upon 

delivery. Spot checks by FLH personnel should verify that these inspections are effective.

The FLH Field Materials Manual provides details as to the nature of quality assurance 

documentation required for various type of materials.

Sampling and testing requirements are contained in the specifications. Detailed instructions are 

in the FLH Field Materials Manual.

11.5.1 RECORDS AND REPORTS OF MATERIALS

It is the responsibility of the Project Engineer to maintain a file at the project office of all tests 

made, both in the field or elsewhere, to indicate the quality of all materials delivered to the

project and used in the construction. All test reports should show the source of the samples, the 

quantity represented, and where, when, and by whom the sampling and testing was done. The 

record should also show whether the material is accepted or rejected.

Copies of FHWA test reports are to be furnished to the Contractor.

Forms for recording of field testing operations are described in the FLH Field Materials Manual.

Frequencies at which quality control, verification, and independent assurance samples are to be 

taken should conform to the contract requirements; otherwise guidance in the FLH Field 

Materials Manual should be used. 

Sample sizes to be submitted for testing should conform to the contract requirements; otherwise 

guidance in the FLH Field Materials Manual should be used.

Material records should be checked by the Materials Engineer prior to payment of the final 

voucher.
Materials March 2009

11-8 Acceptance

11.6 ACCEPTANCE

There are four methods of acceptance -- certification, visual, measured and tested, and 

statistical. The four acceptance methods are defined in Subsections 106.02 through 106.05 of 

the Standard Specifications. The Acceptance subsection of the section ordering the work (e.g., 

301, 401, etc.) will identify the acceptance method(s) for the particular items of work provided 

under that section.

With respect to acceptance, construction materials will fall into one of the following categories:

 Those found to exceed minimum specification requirements and are accepted at a pay 

factor exceeding 1.00, as per a statistically based acceptance plan in the contract.

 Those found to be in reasonably close conformance with the specifications and are 

therefore accepted at full payment.

 Those not in reasonably close conformance but deemed technically serviceable and 

therefore accepted at reduced payment, as provided by a contract acceptance plan or as 

mutually agreed upon if there is no acceptance plan.

 Those not in reasonably close conformance, and not deemed technically serviceable, which 

are therefore rejected and required to be removed, replaced, or acceptably corrected.

11.6.1 DETERMINING ACCEPTANCE

FLH personnel should follow the guidance provided below to determine the acceptability of 

materials.

11.6.1.1 Visual

To evaluate material for acceptance in accordance with Subsection 106.02 of the Standard 

Specifications, visually inspect the material for compliance with the Contract and prevailing 

industry standards. Use engineering judgment to determine if the material is satisfactory. 

Document that you have visually verified that the material has no defects and meets the 

contract requirements. File your documentation according to Division procedures.

This check should be performed as soon as possible. If you can check the material before it is 

incorporated into the work, do so. If it is only possible to check the material after placement, do 

so as soon as practicable so as to avoid unnecessary rework on the part of the Contractor. 

11.6.1.2 Certification

A certification should accompany material that is to be evaluated for acceptance under 

Subsection 106.03 of the Standard Specifications. The certification should document that the 

material meets the specifications. Check the certification for evidence that the Contractor 

verified that the certification is acceptable. If they haven’t, continue with your check, but also 

notify the Contractor that they are expected to review the certifications before passing them on 

to you. Perform your check before the material is incorporated into the project work. 
Materials March 2009

Acceptance 11-9

Verify the certification meets the required specification. Subpart 2.42 of the FLH Field Materials 

Manual provides detailed guidance on certifications. You may have to refer to AASHTO, ASTM, 

or the contract to find out what the requirements are. If the certification is acceptable, notify the 

Contractor of its acceptability. If the certification is not acceptable, notify the Contractor that the 

certification is incomplete, incorrect, or both. File the approved certification in accordance with 

Division procedures.

11.6.1.3 Measured and Tested

If the material was produced offsite, the Contractor will need to provide the required test results. 

Review these test results according to the process for certifications in Section 11.6.1.2 of this 

manual.

If the material is produced onsite, or if the work is performed on-site, review the test results or 

the work itself to ensure compliance with the specifications. If the work does not meet the 

specification, the Contractor is required to correct or replace it, or request to have the work 

accepted at a reduced price. Section 11.6.2 provides more guidance on handling work or 

material that doesn’t meet the contract requirements.

If the Contractor is required to perform production testing on material accepted by the measured 

and tested method, enter these test results in QL-Pay. That will allow you to track the test 

results and ensure the material is consistent and meeting contract requirements.

The timing of this check is similar to the guidance provided for visual acceptance.

11.6.1.4 Statistical

For work that is to be accepted statistically in accordance with Subsection 106.05 of the 

Standard Specifications, enter the test results into QL-Pay. Print a copy of the QL-Pay report to 

provide to the Contractor. Compare FHWA results with the Contractor’s results to ensure 

agreement on the QL-Pay status

Before determining the final pay factor for any material, provide all of the QL-Pay files to the 

COE and other appropriate materials personnel to verify the final pay factor.

The test results, the variance from the target value, and the number of test results will all affect 

the pay factor. Depending on the standard deviation and number of tests, a lot with several test 

results outside the specification limit could have a pay factor above or below a 0.90. 

If the pay factor falls below 0.90, Subsection 106.05 requires the Contractor to stop production. 

In the event this occurs, prepare correspondence to the Contractor indicating that the current 

pay factor is below 0.90, and under Subsection 106.05 of the contract, they are required to stop 

production. Provide a short synopsis of what is out of tolerance (specify the characteristic or 

sieves) and request that they make changes to the material or process. If the change is 

significant, the Contractor may request to terminate the current lot and start a new lot.

If the Contractor is obtaining the material from a stockpile, and all production is complete, it may 

be necessary for them to do additional screening or processing. If the material has already 

been placed by the time the test results are received and verified, reprocessing may not be 
Materials March 2009

11-10 Acceptance

practical. Section 11.6.2 provides more guidance on handling work or material that doesn’t 

meet the contract requirements.

11.6.2 NON-CONFORMING MATERIAL OR WORK

If the material or work does not meet the Contract requirements, the Contractor has three 

options (See Subsection 106.01 of the Standard Specifications). They are:

1. remove and replace the defective material or work,

2. correct the defect, or

3. propose to have the material or work accepted at a reduced price.

Depending on the situation, 1) or 2) may or may not be practical. The earlier the defect is 

found, the more opportunity there is to correct it. If the Contractor is obtaining the material from 

a stockpile, and all production is complete, it may be necessary for them to do additional 

screening or processing. Corrective action (or removal and replacement) would be required on 

the material already placed. Care should be taken when evaluating materials after a 

Contractor's corrective efforts. One common misconception is that an individual sample and 

test result represents a discrete quantity of material. However, poor quality materials often 

contain both passing and failing quantities. One passing test may be due solely to chance.

In fact, any quantity of material is collectively represented by all the samples taken from it. Any 

corrective effort should be applied to the whole of any material represented by a series of 

samples, unless additional testing convincingly isolates the defective areas. After corrective 

action, additional testing must be used to verify that the corrective actions were effective.

If the material has already been placed by the time the test results are received, reprocessing 

may not be practical, and the Contractor may propose to have the material or work accepted at 

a reduced price. To accept nonconforming materials at reduced payment two things must 

happen. The Government must make a determination that the materials will serve the purpose 

intended, and the Contractor and the Government must agree on the amount of the reduced 

payment. In this situation, the Project Engineer should coordinate very closely with the COE 

and Materials personnel. The Materials personnel will provide the technical advice, but the 

Project Engineer and the COE have to weigh the overall risks and determine the appropriate 

administrative action.

Because 1) or 2) ultimately result in conforming material or work, no further administrative action 

is required. However, if the Contractor proposes to have the work accepted at a reduced price, 

the Government is allowing a deviation to the contract, and a contract modification is necessary. 

The modification should address the this-for-that tradeoff. The Government gets a lesser 

product than it originally bargained for, and the Contractor gets less compensation than they 

originally bargained for.

When determining the value of the price reduction, coordinate with the Materials Engineer for 

materials items, and the COE for other work items. Section 2.45 of the FLH Field Materials 

Manual provides detailed guidance on price reduction values.
Project Closeout March 2009

Table of Contents 12-i

Chapter 12 – PROJECT CLOSEOUT

TABLE OF CONTENTS

Section Page

12.1 General.......................................................................................................................................12-1

12.2 Contractor Performance Evaluation .......................................................................................12-2

12.3 Final Construction Report........................................................................................................12-5

12.4 As-Constructed Plans...............................................................................................................12-6

12.5 Disposition of Records.............................................................................................................12-9

12.6 Feedback..................................................................................................................................12-10

12.6.1 Forms of Feedback................................................................................................12-10

12.6.2 Feedback Report ...................................................................................................12-10

12.7 Final Payment..........................................................................................................................12-12

12.7.1 General..................................................................................................................12-12

12.7.2 Final Payment Designations..................................................................................12-12

12.7.3 Final Progress Payment Report ............................................................................12-13

12.7.4 Final Voucher ........................................................................................................12-13

12.7.5 Contractor’s (Claims) Release...............................................................................12-17

12.7.6 Letters of Acceptance by Cooperating Agencies ..................................................12-21

12.7.7 Letter of Acceptance by FLH.................................................................................12-21

12.7.8 Final Voucher Assembly........................................................................................12-23

12.7.9 Payment of Claims ................................................................................................12-23
Project Closeout March 2009

12-ii List of Exhibits

LIST OF EXHIBITS

Exhibit Page

Exhibit 12.2-A SF 1420, Performance Evaluation – Construction ..................................................12-3

Exhibit 12.6-A Feedback Report ...................................................................................................12-11

Exhibit 12.7-A Example Final Voucher – No Exceptions ..............................................................12-14

Exhibit 12.7-B Example Final Voucher – With Exception for Pending Dispute ............................12-15

Exhibit 12.7-C Example Final Voucher – With Exception for Plant Establishment.......................12-16

Exhibit 12.7-D Example Contractor’s Release – No Pending Dispute..........................................12-18

Exhibit 12.7-E Example Contractor’s Release – With Pending Dispute .......................................12-19

Exhibit 12.7-F Example Contractor’s Release – With Plant Establishment Exception.................12-20

Exhibit 12.7-G Example Letter of Final Acceptance......................................................................12-22
Project Closeout March 2009

General 12-1

CHAPTER 12

PROJECT CLOSEOUT

12.1 GENERAL

This chapter contains policies and procedures related to:

 Preparing a Contractor performance evaluation,

 Drafting a Final Construction Report,

 Preparing As-Constructed Plans,

 Providing formal feedback to designers and other personnel,

 Maintaining project records, and

 Issuing final payment to the Contractor.
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12-2 Contractor Performance Evaluation

12.2 CONTRACTOR PERFORMANCE EVALUATION

FAR Clause 36.201, Evaluation of Contractor Performance, requires a performance evaluation 

of most contractors. While there are certain exceptions, it is safe to assume one will be required 

for each highway construction contract. 

The CE or other delegated CO will prepare the official evaluation, using SF 1420, Performance 

Evaluation - Construction Contracts, as shown in Exhibit 12.2-A. The Project Engineer will 

provide recommendations, or alternatively, the Project Engineer and COE may meet to jointly 

prepare the evaluation. 

Although most contractors are evaluated as satisfactory or better, it is important to understand 

the process for dealing with serious or chronic unsatisfactory performance.

Evaluations are made of the following five individual elements, plus an overall evaluation: 

 Quality of Work‚ 

 Timely Performance‚ 

 Effectiveness of Management‚

 Compliance with Labor Standards‚ and

 Compliance with Safety Standards.

The first of these five elements, Quality of Work, essentially overlaps the Contractor’s inspection 

system requirements under FAR Clause 52.246-12, Inspection of Construction. That is, a 

Contractor that fails to maintain an effective quality control (inspection) system, will generally 

warrant an unsatisfactory rating in the Quality of Work category. Deficient contractors must be 

clearly notified of the deficiencies and provided an opportunity to correct them. 

The Project Engineer should be aware that if it is contemplated to rate a Contractor’s 

performance as unsatisfactory, the project records should clearly support that rating; and the 

Contractor should have been advised of the unsatisfactory performance during the course of the

contract, and failed to correct such performance.

Evaluations may be shared with other contracting agencies and private entities. FLH Divisions 

may participate in the Corps of Engineers’ Construction Contractor Appraisal Support System 

(CCASS), which make evaluations available to other participating Federal agencies.

Evaluations may be used in part to determine Contractor responsibility prior to award of sealed 

bid contracts and to evaluate past performance as a part of source selection for a negotiated 

contract. 

If the prime contractor’s performance would be evaluated as satisfactory but for the 

performance of a major subcontractor, it is permissible to execute a separate evaluation of the 

subcontractor, following the same rules as if they were a prime.
Project Closeout March 2009

Contractor Performance Evaluation 12-3

Exhibit 12.2-A SF 1420, Performance Evaluation – Construction
Project Closeout March 2009

12-4 Contractor Performance Evaluation

Exhibit 12.2-A SF 1420, Performance Evaluation – Construction (Continued)
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Final Construction Report 12-5

12.3 FINAL CONSTRUCTION REPORT

Final construction reports are required for all FLH projects. The Project Engineer is required to 

draft final reports for assigned projects. The Project Engineer and the COE are responsible for 

ensuring that the final construction report is completed. The report is to be drafted within two 

months of partner agency acceptance of the construction project. Guidelines for preparing the 

final report and an example report are provided in Appendix 12A.1.
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12-6 As-Constructed Plans

12.4 AS-CONSTRUCTED PLANS

As-Constructed Plans are required on all FLH projects. If the contract does not require the 

Contractor to provide such plans, the Project Engineer must record plan changes on full-scale

prints as changes occur. Regardless of whether the Contractor or the Project Engineer 

prepares the As-Constructed Plans, the following items are to be covered:

1. Plans

a. Alignment. All revised alignment should be shown. Where bearings, curve data, etc., 

do not change, the data should be checked for accuracy.

b. Changes. Changes in construction limits, if any, should be shown.

c. Bridges. Stations of all bridge ends should be shown.

d. Ties. Ties to any additional found corners should be shown.

e. Approach Roads. The constructed location of all road approaches are to be shown.

f. Right-of-Way. All right-of-way adjacent to private property is to be shown with care for 

correctness.

g. Monuments. All monuments should be shown.

h. Utilities. All utilities should be shown (e.g., gas, water, commercial power, sewers, 

etc.), including new, existing, abandoned, and removed facilities.

i. Underdrains. Location, size, and depth of underdrains should be shown.

j. Channel Changes. As-constructed channel changes should be shown.

k. Crossings. Elevations for all aerial and underground crossings of utilities should be 

shown. (One should not attempt to measure directly from the road to the sag in 

overhead crossings.)

2. Profile

a. Grades. Corrected grades and grade points of intersection (P.I.s) should be shown.

b. Equations. All equations and stationing should be shown.

c. Culverts. Correct culvert lengths, type, invert elevations, and stations are to be shown. 

Skew angles and as-built grades should be shown.

d. Extensions. On culvert extensions, the length of existing pipe, as well as extension, 

should be shown.

3. Permanent Bench Marks

a. Monuments. Data on monuments should be shown.
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As-Constructed Plans 12-7

b. Datum. Datum used for levels should be shown.

4. Retaining Walls

Limits and type of wall are to be shown on profile sheets.

5. Guardrail

Corrected stationing, lengths, and offsets from edge of pavement or travel lane, if different

than original plans, should be shown.

6. Fencing

Construction limits of fencing in relation to centerline should be shown.

7. Typical Sections

Any revisions in both dimensions and materials should be shown. Also, stations, if termini 

were revised, should be shown.

8. Bridges

Any changes in bridge plans should be shown. If built without changes, it should be 

indicated on the plans that no changes were made.

Information required for bridges includes the following:

a. Subsurface Log. A log of foundation material encountered if substantially different than 

information shown on plans. Log sheets should be attached to plans if necessary or 

convenient.

b. Pile Driving Records. Pile driving records including size, length, type, bearing, and tip 

elevation should be included. Record sheets should be attached to plans if necessary or 

convenient.

c. Elevations. Footing and seal elevations, if different than plan, should be included.

d. Changes. Any changes in plan or dimensions should be noted, including any major

changes in reinforcing. (for example, development length, reinforcement size, main 

reinforcement spacing). 

e. Post-Tensioning. After completion of the structure post-tensioning, the as-constructed 

plans should record the stressing sequence, jacking force, duct size and layout, 

additional rebar or changes in concrete dimensions to accommodate the contractor’s 

proposed post-tensioning system, and whether one end or two end stressing, etc. The 

revised working drawings should be attached to the as-constructed plans if necessary. 

The working drawings are the approved drawings submitted by the contractor 

f. Construction Sequence. Changes to the construction or concrete placement 

sequence should be recorded on the as-constructed plans if different from the asadvertised contract plans (for example, sequence for placing concrete deck). 
Project Closeout March 2009

12-8 As-Constructed Plans

g. Bearings. Bearing orientation angle should be recorded on the as-constructed plans if 

different from the as-advertised contract plans. Measure the orientation angle using the 

centerline of bearings and the centerline of girders. 

h. Expansion Joints. The actual clearance at each expansion joint and the clear distance 

between the end of the superstructure and the abutment backwall should be recorded on 

the as-constructed plans along with the atmospheric temperature at the time of 

measurement

At the completion of the project, the hard copy of the as-constructed plans or the electronic copy 

in PDF format of the as-constructed plans, should be sent to the FLH Division office. 
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Disposition of Records 12-9

12.5 DISPOSITION OF RECORDS

The Project Engineer should send the original or a copy (in accordance with Division 

procedures) of all correspondence received from contractors to the Division Headquarters for

inclusion in the central, official file.

Division procedures relative to checking of payment information and project records should be

followed. The Project Engineer should arrange for checking of pay records and other source 

records as they are completed, rather than all at once at completion. This will provide early

notice of any deficiencies in record keeping, and therefore facilitate more efficient management

of the contract.

The Project Engineer should deliver all project records, electronic and hard copy, to the 

appropriate Division office upon completion of a project.

Project records of internal matters, transfers, T&A reports, service contracts no longer in effect, 

etc., should be disposed of at the end of each construction season or when the project is 

completed, in accordance with Division policy.
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12-10 Feedback

12.6 FEEDBACK

Feedback concerning the causes of contract modifications from the construction staff to the 

project designers and other appropriate personnel is encouraged, and is necessary to evaluate 

and improve the FLH design/construct process. The FLH, Project Development and Design 

Manual, Chapter 13 is devoted to feedback and should be reviewed for further information.

12.6.1 FORMS OF FEEDBACK

The feedback systems, in addition to the contract modifications themselves, range from informal 

communications, such as telephone calls and Minute Memos, to field reviews and management 

reviews of contract modifications procedures. Other feedback items are as follows:

 Trip reports from Construction, Materials, and Design staff.

 Contractor claims and resulting evaluations and reports.

 Reviews of Contractor initiated Value Engineering Change Proposals (VECPs).

 Formal program management reviews or audits of contract modifications and contract 

modification procedures.

 Feedback form reports.

 Surveys and correspondence from owner or maintaining agencies, such as requests for 

modifications, post-construction problems, and environmental concerns or commitments.

12.6.2 FEEDBACK REPORT

At present, a feedback form is being used in the FLH Divisions. (See Exhibit 12.6-A for a 

sample feedback form) Although the procedure might vary within the Divisions, the form is 

basically handled in the following manner:

1. The originator, usually the Project Engineer, states the problem with a recommended 

solution and sends the form to the COE.

2. The COE concurs and/or comments on the proposal and forwards the form to the relevant 

offices. The form includes space for the appropriate offices to enter what process changes 

or other action was taken, or to add comments.

3. When the dissemination is complete, a copy of the completed form circulates back to the 

COE and the originator of the form.

4. The COE usually prepares a quarterly report of all feedback obtained and distributes it to the 

relevant offices, such as Materials or Project Development.
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Feedback 12-11

Exhibit 12.6-A Feedback Report
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12 Final Payment -12

12.7 FINAL PAYMENT

12.7.1 GENERAL

As soon as the project is accepted and all quantities are checked, the COE, or designee 

depending on Division procedures, must prepare a final payment report together with a final 

voucher and claims release for the Contractor’s signature. The final voucher should cover all 

known and acknowledged remaining payments under the contract. If disputes that are not 

resolvable remain at the time the final voucher is prepared, a second (or possible third) final 

voucher may be required at sometime in the future. Unlike progress payments, no separate 

invoice from the contractor is required for final payment. The SF 1034 is the final invoice as 

soon as it is signed by the contractor. The Prompt Payment Act requires payment within 

30 days of the signed final voucher and claims release being received by the paying office. FLH 

procedures require that the signed final voucher be included in the final voucher assembly prior 

to being submitted to the CO or delegate for approval.

12.7.2 FINAL PAYMENT DESIGNATIONS

There are two basic types of final payment. The final voucher should clearly identify which type 

is being processed.

 Final Payment (Final Settlement). This designation applies to contracts where there are 

no unresolved disputes or claims and where the payment indicated will release both parties 

(the Government and the Contractor) from further contractual obligations and liabilities. If 

there have been previous claims or disputes that are being resolved by this final payment,

this designation should also be used.

 Final Payment (Exception). This designation applies to contracts where there are 

unresolved disputes or claims, or where the contract is to be kept open for a contractually 

valid reason - for example, if a plant establishment warranty must elapse prior to final 

acceptance. The claims release must specifically list the exception(s) and the exception(s) 

must be summarized on the face of the voucher. The purpose of the final voucher is then to 

close all issues other than the one(s) for which exceptions are identified.

Note that the last progress payment could be followed by a Final Payment (Exception)

designating a claim. If a CO’s decision subsequently acknowledges partial liability for the claim, 

but the Contractor still refuses to agree that the issue is resolved, then the payment resulting 

from the CO’s decision should be processed as another Progress Payment. Then if settlement 

of the claim is ultimately negotiated, final settlement could be processed.

Each division will designate the number of copies of the final voucher and claims release that 

are to be sent to the Contractor for signature.

If a Final Payment (Final Settlement) voucher is not returned by the Contractor within 90 days,

the Division may process it as a final settlement in order to close the account. In that case, the 

words “Not signed/returned” should be typed in the Contractor’s signature block. Legal advice 

should then be sought if events suggest that the Contractor subsequently wants to reopen the 

contract.
Project Closeout March 2009

Final Payment 12-13

All payment vouchers, progress and final, should be numbered sequentially regardless of their

designation. The corresponding progress report must have the same number.

12.7.3 FINAL PROGRESS PAYMENT REPORT

This document is prepared after the Division has checked all notes, quantities, and supporting 

data. It is given a sequential number following the last Progress Payment Report supporting a 

progress (or prefinal payment), with the designation of “Final” listed on the report.

After the final Progress Payment Report is prepared, the Project Engineer should contact the 

Contractor to find out if the superintendent wants to go over the quantities and other issues like 

contract time before being sent the voucher.

12.7.4 FINAL VOUCHER

Standard Form 1034, Public Voucher for Purchases and Services Other Than Personal, is 

required for any final payment.

For an exception final voucher, pending claims or disputes must be listed on the face of the final 

voucher and a corresponding statement must contain a statement matching or concisely 

summarizing the statement on the Contractor’s Release. See Section 12.7.5 below. If there are 

no claims or disputes, the release language shown on Exhibit 12.7-A should be used. If there 

are claims or disputes the language shown on Exhibit 12.7-B is typical. The dollar amount of 

the proposed final payment must match the dollar amount indicated on the corresponding final 

Progress Payment Report. The Contractor’s designated representative is required to sign the 

voucher and Contractor’s Release, show his/her title, and enter the date of signing.

When plant establishment warranties or similar obligations go beyond the completion of all 

work, a final voucher with exception should be processed to document that there are no 

outstanding issues, other than the warranty in question. See Exhibit 12.7-C.
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12 Final Payment -14

Exhibit 12.7-A Example Final Voucher – No Exceptions
Project Closeout March 2009

Final Payment 12-15

Exhibit 12.7-B Example Final Voucher – With Exception for Pending Dispute
Project Closeout March 2009

12 Final Payment -16

Exhibit 12.7-C Example Final Voucher – With Exception for Plant Establishment
Project Closeout March 2009

Final Payment 12-17

12.7.5 CONTRACTOR’S (CLAIMS) RELEASE

Form DOT F 4220.4 Contractor’s Release is required to be executed by the Contractor as a

condition of processing any final payment. Contract information, contractors name and address, 

and final payment amount should be completed by the designated closing official and sent to 

the Contractor with the final Progress Payment Report and final voucher. Exhibit 12.7-D

illustrates a typical Contractor’s release with no exceptions.

If there are claims or disputes, they should be summarized, including dollar amount and 

reference to the Contractor’s request letter or claim, in Item No. 1 of the form. Exhibit 12.7-E

illustrates a typical claims release with a pending dispute. Note that although the word “claim”

appears on the form, any dispute should be listed if the Contractor insists that it is an 

impediment to final settlement.

Exhibit 12.7-F illustrates a release with an exception for the plant establishment period.
Project Closeout March 2009

12 Final Payment -18

Exhibit 12.7-D Example Contractor’s Release – No Pending Dispute
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Final Payment 12-19

Exhibit 12.7-E Example Contractor’s Release – With Pending Dispute
Project Closeout March 2009

12 Final Payment -20

Exhibit 12.7-F Example Contractor’s Release – With Plant Establishment Exception
Project Closeout March 2009

Final Payment 12-21

12.7.6 LETTERS OF ACCEPTANCE BY COOPERATING AGENCIES

Written acceptance by cooperating agencies (State, county, Forest Service, National Park 

Service, etc.) is desirable prior to the acceptance of the project by FLH. Obtaining acceptance 

may be by letter to the cooperating agency requesting acceptance by endorsement of the letter. 

For contracts with a landscaping or similar warranty clause, there should be an acceptance at 

the conclusion of construction of all work except the warranted work, followed by a second

acceptance of only the warranted work at the conclusion of the warranty period.

12.7.7 LETTER OF ACCEPTANCE BY FLH

The Contractor should be notified of the cessation of contract time charges promptly after 

completion of the work. A letter of final acceptance (or limited acceptance in the case of 

warranted work) should be issued to the Contractor as soon as concurrence in final acceptance 

is received from the cooperating agencies. See Exhibit 12.7-G for an example letter of final 

acceptance.

If there are disputes pending, it may be appropriate to write a more somber acceptance letter, 

stating that, “You will have the opportunity to reserve the right to pursue specific claims and 

disputes by listing a brief reference to, and the associated dollar amount of each.”
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12 Final Payment -22

Exhibit 12.7-G Example Letter of Final Acceptance
Project Closeout March 2009

Final Payment 12-23

12.7.8 FINAL VOUCHER ASSEMBLY

When the signed final voucher and claims release are returned, a final voucher assembly is 

prepared based on Division management and fiscal needs. The assembly is submitted for 

signature of the CO or designee and (funds) certifying officer in accordance with Division 

procedures. At a minimum, the final voucher assembly should include the following:

 Final Voucher (SF 1034) signed by the Contractor;

 Contractor’s Release (DOT F 4220.4) signed by the Contractor;

 Final Progress Payment Report;

 Copy of letter of acceptance by FLH to the Contractor;

 Letters of acceptance by cooperating agencies;

 Materials certification; and 

 Contractor performance evaluation (per Division policy).

In addition to the items listed above, Division procedures may require one or more of the items 

detailed in Section 12.3 for the Final Construction Report.

12.7.9 PAYMENT OF CLAIMS

Standard Form 1034 will be used for payment of any monies awarded to a Contractor in 

settlement of a claim after completion of the project. Acceptance of this voucher by the 

Contractor, and payment thereof, constitutes final and complete settlement of the contract.

Vouchers covering this type of payment will be accompanied by copies of all CO’s decisions, 

justifications, and other pertinent documents in support of the payment. The documents 

accompanying the voucher to the Division Office must include a revised final receiving report 

supporting the revised final contract amount.

If there is a CO’s Decision acknowledging entitlement, but the issue remains outstanding as a 

claim, the amounts acknowledged should be paid as a progress payment, with the claim 

referenced on the voucher and claim release form. See Section 12.7.2.

Project Closeout (Appendix) March 2009

List of Appendices 12A-i

CHAPTER 12 – PROJECT CLOSEOUT

LIST OF APPENDICES

12A.1 FINAL CONSTRUCTION REPORT ..................................................................... 1

12A.1.1 Final Report Guidelines....................................................................................................................1

12A.1.2Sample Final Report ........................................................................................................................5

Project Closeout (Appendix) March 2009

Final Construction Report 12A-1

12A.1 FINAL CONSTRUCTION REPORT

This appendix contains guidelines and an example report to assist personnel in preparing final 

construction reports. 

12A.1.1 FINAL REPORT GUIDELINES

II. Project Description

A. Project Identification. Project number, project name, name of park, forest, 

Indian reservation, etc., route number, county, state, should all be included.

B. Description of Work. Should be described in brief narrative form. The various 

activities that went into the job should be included. The description of work in the 

contract should be referenced for guidance.

C. Environmental Considerations. Any extraordinary environmental 

considerations pertinent to the project should be described. All clearances 

and/or permits obtained for the project should be listed.

III. Project Data

A. Specifications. The standard Federal or State specification that was the basis 

for project specifications should be included.

B. Termini. The beginning and ending of the project should be described in terms

of stations and/or other significant and reasonably precise information. For

National Park Service projects, the Road Inventory Program (RIP)/Bridge 

Program (BIP) Section(s) should be referenced.

C. Length. Mainline length is to be summarized. Incidental road lengths are to be 

shown separately.

D. Width. The predominant width of paved roadway and shoulders should be 

included. Any significant changes in the typical section stations should be noted.

E. Pavement Structure. The depth of wearing course, binder, base stone, etc., 

should be included.

F. Structures. The type, length, and location should be described. (BIP Section 

and structure number are to be referenced for NPS projects.)

G. Contract Number and Date. See Original contract.

H. Contracting Officers. Contracting Officer(s), and others involved in 

administering the contact and project should be listed; these include COE, CE,

and DE.

I. Contract Bid Amount. Amount from original contract.
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12A-2 Final Construction Report

J. Engineer’s Estimate. Amount from the original Engineer’s Estimate. 

K. Final Contract Amount. Amount from the Final Progress Payment Report. 

L. Contract Time. Any significant dates should be shown. These include the 

award date, date of notice to proceed, original completion date, authorized 

extended completion date, date of substantial completion, date of actual

completion, and date of final acceptance. Any periods of liquidated damages, 

special periods for plant establishment, stream work restrictions, etc. should be 

summarized.

M. Contractor. The contractor’s name, address, and category (i.e., small business, 

DBE, etc.) should be shown.

N. Subcontractors. All first tier and large second tier subcontractors’ names 

should be listed along with a description of the work each was involved in. The 

category of each (i.e., small business, DBE, WBE, etc.) should be shown, along

with the original or reported amount of each subcontract. If the prime contract 

required a subcontracting plan, the comparison of goals with levels achieved 

should be shown.

O. Construction Engineering Costs. The total FLH costs, including contract 

inspection costs should be shown. These costs as a percentage of the final 

contract amount (construction costs) should be computed and shown. [(CE+ CI) 

x 100/contract amount] (As Partner agencies require, Divisions may report 

Preliminary Engineering and Construction Engineering costs together under this 

section.) 

P. Maintaining Agency. The agency responsible for maintenance of the road the 

project is on should be identified.

IV. Construction

A. Materials. Sources of significant raw materials and manufactured items and 

their quality indicators are to be listed (e.g., for aggregates: include type, wear, 

soundness, specific gravities; for bituminous mixes: include grading used, 

densities, average asphalt content; etc.). Manufacturers, suppliers, and 

fabricators of significant structural items and assemblies are to be listed. 

Problems encountered in materials control, if significant, should be described. 

Quantities of recycled materials incorporated in the work should be shown. The 

pay factor for any item where it was other than 1.0 (100%) should be indicated.

B. Experimental or New Features. Any significant experimental, demonstration, 

new, innovative, or unusual features, methods, and/or materials should be 

described. A separate report may be referenced, if one is available, or being 

written. Funding of special work, if separate from basic contract funds, should be 

explained.

C. Changes & Problems. Contract modifications, with a brief description of each, 

are to be listed. The amount of each and any associated time change are to be 

described.
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Final Construction Report 12A-3

Problems encountered, including delays, unusual weather, traffic control, 

design and construction changes, and errors, are to be discussed. Be

constructive, factual, and identify personal opinions when they are used.

A general description of significant plan versus field differences should be 

written. Any overrun or underrun items of 15 percent or more should be 

explained.

Conditions encountered that might significantly and adversely affect 

future maintenance, design, or construction are to be described.

D. Recommendations. Based on experience from the project, any 

recommendations for future design, construction, and maintenance should be 

made. Staff specialists, such as the Bridge Design Engineer, Geotech Engineer,

etc., should be consulted in advance of making recommendations that relate to 

their work. It should be kept in mind that the report may be distributed widely.

E. Claims. Each claim with a brief description and status or disposition should be

listed. “No known claims” should be indicated if such is the case. If a claim is in 

litigation, a note should be attached reminding the COE to clear the report 

through the Regional Counsel prior to its being finished.

The resolution of significant disagreements that did not become formal

claims should be described. Any pertinent supplemental agreements 

should be referenced.

V. Construction Engineering

A. Project Personnel. Names (not grades) of Project Engineer and major staff 

should be listed. Inclusive dates if there has been more than one Project 

Engineer should be shown.

B. Contract Inspection. If contract inspection services were used, describe the 

character of these service (e.g., number of personnel, assignment durations, 

nature of inspection duties, etc.).

C. Other Contacts. Name(s) and title(s) of cooperating agency personnel directly

involved with the project, and other individuals who have impacted the work or its 

time for completion should be listed.

D. Partnering. If the project was partnered, the process should be summarized, 

along with the principal participants. Overall results should be described.

VI. Appendix

A. Title Sheet, Location Map and Typical Sections. As-built sections (include 

bridge sections and layouts) should be included.

B. Tabulation of Bids.

C. Final Voucher Assembly. See Section 12.7.8
Project Closeout (Appendix) March 2009

12A-4 Final Construction Report

D. Project Materials Certification. See FLH Field Materials Manual.

E. Project Photographs. Before and after pictures should be included. These 

should not be repetitious (e.g., shot after shot of a completed paving project). 

Critical stages of major operations should be shown (e.g. excavation and 

embankment operations, including benching, structure foundation, and falsework 

in place – anything which would be useful at a later date should a slide, 

structural, or other failure occur). Views of new or experimental features or 

equipment should be shown. The report should not be loaded with pictures 

showing the same thing, or standard, or insignificant operations. At a minimum, 

a date and caption should be included.

F. Special Reports. If appropriate, copies of reports on special or experimental 

features incorporated into the project should be included.
Project Closeout (Appendix) March 2009

Final Construction Report 12A-5

12A.1.2 SAMPLE FINAL REPORT

EXAMPLE

FINAL CONSTRUCTION REPORT

Project NASA 1(2)

Goddard Space Flight Center

I. PROJECT DESCRIPTION

A. Project Number – Project NASA 1(2) was located in Greenbelt, MD, in Prince 

Georges County.

B. Description of Work – This project consisted of the rehabilitation of the roadway 

and bridge that connected the Goddard Space Flight Center (GSFC) complex, of 

the National Aeronautics and Space Administration (NASA), with the Baltimore 

Washington Parkway. Only the ramps that provided connection to the 

northbound lanes of the Parkway were included in this project.

The work included removal and replacement of bridge superstructure; cleaning 

and painting of the structural steel girders; shotcrete repairs of the substructure; 

1-1⁄2 inch asphalt pavement overlay of the access road and ramps; replacement 

of concrete medians and guardrails; shoulder work; new signs and pavement 

marking; and other miscellaneous work.

Schedule A consisted of all the bridge, concrete approach, and roadway work 

between 67 meters from the end of western approach slab and 58 meters from 

the eastern approach slab.

Schedule B consisted of completing the roadway work along the GSFC’s access 

road from both end of the Schedule A work, and also consisted of the roadway 

work along the ramps to and from northbound Baltimore Washington Parkway.

Both schedules were awarded.

C. Environmental Considerations – GSFC prepared an Environmental Record Of 

Consideration, dated March 1, 1996, in accordance with NHB8800.11 and CFR 

1500 guidance, and with a determination of categorical environmental exclusion. 

The Maryland Historical Trust issued a letter, dated July 16, 1995, stating that the 

proposed work will not have an adverse effect on eligible historic properties, 

structures, and archeological sites, or significantly alter the appearance of the 

structure. The National Park Service (NPS) issued a Special Use Permit to 

GSFC, signed by the Center Director on October 21, 2002, which was also 

checked as having a National Environmental Protection Agency Compliance of 

categorically excluded.
Project Closeout (Appendix) March 2009

12A-6 Final Construction Report

II. PROJECT DATA

A. Specifications – Standard Specifications for Construction of Roads and Bridges 

on Federal Highway Projects, FP-96 (Metric).

B. Termini –

NASA Access Road: Construction began at 426 meters from the 

east end of the bridge deck, and continued 

west to the limit of work at the fork for the 

ramps to and from the southbound lanes of 

the Parkway.

Ramp from northbound Parkway: Between the Access Road and the limit of 

work at 171 meters along the ramp.

Ramp to northbound Parkway: Between the Access Road and the limit of 

work, at 242 meters along the ramp.

C. Length –

NASA Access Road 0.742 kilometers (km)

Ramp from northbound Parkway 0.171 km

Ramp from southbound Parkway 0.242 km

Total length 1.155 km

D. Width –

Access Road: From the GSFC gate to the northbound parkway ramps – four 

6.71-meter lanes (2-each way), plus widening, with a 1.22-meter concrete 

median and 2.74-meter shoulders. Thereafter, two 4.88-meter lanes (1-each 

way), with a 1.22-meter concrete median and variable shoulders.

Bridge Approaches: 11.5 meters of clear roadway, with 4.88-meter travel lanes (1 

each way).

Ramps: Single 4.88-meter lane, with 1.83 to 2.74 meter-shoulders.

E. Pavement Structure –

The existing asphalt pavement of the NASA Access Road and the ramps, to and 

from the Baltimore Washington Parkway, were overlaid with 40 millimeters (mm) 

of 12.5-mm Superpave hot asphalt concrete pavement. The paved shoulder 

section was constructed of 130-mm of 19.0-mm Superpave hot asphalt concrete 

pavement and 40-mm of 12.5-mm Superpave hot asphalt concrete pavement.

F. Structures –

The bridge is a six span steel girder bridge over the Baltimore Washington 

Parkway, along the access road to the GSFC.
Project Closeout (Appendix) March 2009

Final Construction Report 12A-7

Bridge Inspection Program Number: 2170-001P

Length: 117.544 meters back to back of backwalls.

Width: 12.7 meters wide concrete deck, with 11.5 meters of clear roadway. 

There are two 4.88 meter travel lane on the bridge (1-each way).

G. Contract Number and Date –

DTFH71-03-C-00018 – January 18, 2003

H. Contracting Officers –

Melisa L. Ridenour, Division Engineer

Donald W. Miller, Director, Project Delivery

Wanda A. Peffer, Contracting Officer

Eduardo A. Calderon, Construction Engineer

Douglas E. Nair, Construction Operation Engineer

I. Contract Bid Amount – $1,998,026.00 Schedule A

$335,583.00 Schedule B

J. Engineer’s Estimate – $1,960,000.00 Schedule A

$310,000.00 Schedule B

K. Final Contract Amount – $2,353,798.89

L. Contract Time –

Award Date: January 18, 2003

Notice to Proceed: February 28, 2003

Original Completion date: June 16, 2004

Authorized Extension Granted: 117 Days

Revised Completion Date: October 11, 2004

Date Substantially Complete: July 09, 2004

Date All Work Complete: October 12, 2004

Liquidated Damages Accessed: None

M. Contractor –

Martins Construction Corporation Small Business Concern (SBC)

6950 North Fairfax Drive

Arlington, Virginia 22213

N. Subcontractors –

A. Annandale, Inc. SBC

P.O. Box 249

Dumfries, VA 22026 

Permanent Pavement Markings $16,684.50 
Project Closeout (Appendix) March 2009

12A-8 Final Construction Report

Arthur Construction Company Disadvantage Business Enterprise (DBE)

2847 Cherry Branch Lane Woman Owned Business Enterprise 

(WBE)

Herndon, VA 20171

Shoulder Reconditioning $86,904.00

Central Atlantic Contracting Company

1550 S. Philadelphia Road

Aberdeen, MD 21001

Groove Bridge Deck $44,000.00

DBA HM Welding SBC

1751 Henrique Street

Falls Church, VA 22043

Welding $6,000.00

Prince Construction Co. Inc. DBE

1111 Good Hope Road SE.

Washington, DC. 20020

Install Bridge Reinforcing Steel $36,606.80

DMR Associates, Inc.

4334 Hanover Pike

Manchester, MD 21102

Weld Expansion Dams $21,390.00

Guardrails Etc, Inc. DBE - WBE (Section 8)

4010 North Point Boulevard

Baltimore, MD 21222

Timber Guardrail $190,905.25

Locust Lane Farms Inc. SBC

3202 Locust Way

Mitchellville, MD 20716

Turf Establishment $625.00

Paint City Contractors, Inc. SBC

4054 North Point Boulevard

Baltimore, MD 21222

Bridge Painting $370,000.00

The Lane Construction Corporation

Senate Asphalt Division

P.O. Box 71080, SW Station

Washington, DC. 20024

Asphalt Paving $79,155.00

Safety Grooving & Grinding, LP

Central Atlantic Contracting Company

1550 South Philadelphia Blvd.

Aberdeen, MD 21001
Project Closeout (Appendix) March 2009

Final Construction Report 12A-9

Bridge Deck Grooving $3,780.00

The Marksmen Company SBC

P.O. Box 239

Centreville, MD 21617

Shotcrete Repairs $89,280.00

O. Construction Engineering Costs –

EFLHD PE Costs: $322,952.00

EFLHD CE Costs: $140,000.00 

CI Costs: $152,908.00

Total Costs: $615,860.00

Percent of the Final Contract Amount – 26.16

P. Maintaining Agency –

Goddard Space Flight Center/National Aeronautics and Space Administration

III. CONSTRUCTION

A. Materials –

Item No. 30101E: Aggregate Base, Grading E, and 

Item No. 30101Z: Aggregate Base, Grading C or D ((MD-DOT Grading GAB 

Option)

Supplier: Aggregate Industries, PLC – Bladensburg Terminal

6401 Golden Triangle Drive

Greenbelt, MD 20770

Material: Crushed Aggregate – Millville Quarry, Maryland

Approved Job Mix Design:

Sieves Target Value

(Percent 

Passing)

Allowable 

Deviation

(Percent)

Specification

(Percent 

Passing)

50.0 mm 100 - 100

37.5 mm 100 5 95-100

19.0 mm 86 6 79-92

9.5 mm 65 7 58-72

4.75 mm 47 6 41-55

600 μm 18 4 14-22

75 μm 8.0 3.0 5.0-11.0
Project Closeout (Appendix) March 2009

12A-10 Final Construction Report

Maximum Dry Density: 147.6 pounds per cubic foot (pcf)

Optimum Moisture Content: 5.7 percent

Bulk Specific Gravity (Sp/Gr): 2.83

Sodium Sulfate Soundness: 0.7 percent

LA Abrasion: 22 percent wear

Fractured Faces: 100 percent

Liquid Limit: 21

Plasticity Index: Non-plastic

California Bearing Ratio: 185 percent

Pay Factor: (provide only if other than 1.0)

Item No. 41801BAD: Superpave Asphalt Concrete Pavement, 12.5 mm 

Nominal Maximum Size Aggregate, < 0.3 ESAL, Type 4 Pavement Smoothness 

Supplier: LarFarge North America, Inc. – Branchville Plant No. 3

10000 Beaver Dam Road

Cockeyville, MD 21030

Aggregates: Frederick #7 15 percent

LaFarge North America, Inc.

Frederick, MD

Bulk Sp/Gr: 2.076

Apparent Sp/Gr: 2.736

Absorption: 0.4 percent

LA Abrasion: 22 percent

Sodium Sulfate Soundness: 1.8 percent

Churchville Birdeye 30 percent

LaFarge North American, Inc.

Churchville, MD

Bulk Sp/Gr: 2.978

Apparent Sp/Gr: 3.070

Absorption: 0.5 percent

LA Abrasion: 20 percent

Sodium Sulfate Soundness: 0.2 percent

Frederick Washed No.10 35 percent

LaFarge North America, Inc.

Frederick, MD

Bulk Sp/Gr: 2.663

Apparent Sp/Gr: 2.728

Absorption: 0.9%

Sodium Sulfate Soundness: 0.7%

Frederick Dry No. 10 20 percent

LaFarge North American, Inc.
Project Closeout (Appendix) March 2009

Final Construction Report 12A-11

Frederick, MD

Bulk Sp/Gr: 2.586

Apparent Sp/Gr: 2.738

Absorption: 2.10%

Sodium sulfate Soundness: 0.7%

Asphalt Binder Grade and Source: PG 64-22

Valero Energy Corporation

Baltimore, MD 

Antistripping Additive: None required

Job Mix Design Properties:

Sieves Target Value

(Percent 

Passing)

Allowable 

Deviation 

(Percent)

Specification

(Percent 

Passing)

19.0 mm 100 - 100

12.5 mm 98 - 90-100

9.5 mm 91 6 85-97

4.75 mm 64 6 58-70

2.36 mm 38 6 32-44

1.18 mm 23 - -

600 μm 14 4 10-18

300 μm 10 3 7-13

150 μm 8 - -

75 μm 5.8 2.0 3.8-7.8

Asphalt Content – 5.3 (± 0.5) percent of total mix

Maximum Theoretical Specific Gravity: 2.553 

Dust/Asphalt Ratio: 1.09

Voids in Mineral Aggregate (VMA): 17.2 percent

Voids Filled with Asphalt (VFA): 65.0 percent

Pay Factor: (provide only if other than 1.0)

Item No. 41801CA: Superpave Asphalt Concrete Pavement, 19.0 mm Nominal 

Maximum Size Aggregate, <0.3 ESAL,

Supplier: LarFarge North America, Inc. – Branchville Plant No. 3

1000 Beaver Dam Road

Cockeyville, MD 21030

Aggregates: Frederick No. 57 35 percent

LaFarge North America, Inc.

Frederick, MD

Bulk Sp/Gr: 2.712

Apparent Sp/Gr: 2.742
Project Closeout (Appendix) March 2009

12A-12 Final Construction Report

Absorption: 0.4 percent

LA: Abrasion: 22 percent

Sodium Sulfate Soundness: 1.8 percent

Churchville Birdeye 30 percent

LaFarge North America

Churchville, MD

Bulk Sp/Gr: 2.987

Apparent Sp/Gr: 3.070

Absorption: 0.5 percent

LA Abrasion: 20 percent

Sodium Sulfate Soundness: 0.2 percent

Frederick No.10 15 percent

LaFarge North American, Inc.

Frederick, MD

Bulk Sp/Gr: 2.586

Apparent Sp/Gr: 2.738

Absorption: 2.10 percent

Sodium sulfate Soundness: 0.7 percent

Sand Equivalent: 86

Frederick Washed No.10 10 percent

LaFarge North American, Inc.

Frederick, MD

Bulk Sp/Gr: 2.663

Apparent Sp/Gr: 2.728

Absorption: 0.9 percent

Sodium Sulfate Soundness: 0.7 percent

Sand Equivalent: 92

York Sand (Belvedere) 10 percent

York Building Products

Perryville, MD

Bulk Sp/Gr: 2.570

Apparent Specific Gravity: 2.610

Absorption: 0.8 percent

Sodium Soundness: 1.8 percent

Sand Equivalent: 60

Asphalt Binder Grade and Source: PG 64-22

Valero Energy Corporation

Baltimore, MD 

Antistripping Additive: None required
Project Closeout (Appendix) March 2009

Final Construction Report 12A-13

Job Mix Design Properties:

Sieves Target Value

(Percent 

Passing)

Allowable 

Deviation 

(Percent)

Specification

(Percent 

Passing)

25.0 mm 100 - 100

19.0 mm 95 - 90-100

12.5 mm 79 6 73-85

9.50 mm 69 6 63-75

4.75 mm 46 6 40-52

2.36 mm 28 6 22-34

1.18 mm 19 - -

600 μm 13 4 9-17

300 μm 9.0 3 6-12

150 μm 6.0 - -

75 μm 5.2 2.0 3.2-7.2

Asphalt Content – 4.3 (± 0.5) percent of total mix

Maximum Theoretical Specific Gravity: 2.595 

Dust/Asphalt Ratio: 1.21

VMA: 14.3 percent

VFA: 63.5 percent

Pay Factor: (provide only if other than 1.0)

Used 40 tons of base asphalt. No tests were performed and no cores were 

taken. Acceptance based on Suppliers approved mix design.

Item 55202DC: Structural Concrete, Class D (AE), for Substructure (bridge 

abutments) 

Item 55207DN: Structural Concrete, Class D (AE), for Approach Slabs, Type 1

Item55210B: Repair Concrete

And 

Item No. 61601: Concrete Slope Paving 

Class of Concrete: D (AE)

Supplier: Aggregate Industries-Mid Atlantic – Crofton Plant

6401 Golden Triangle Drive – Suite 400

Greenbelt, MD 20770

Mix Requirements: Minimum Strength – 4000 pounds per square inch (psi) in 

28 days

Minimum Cement Content – 607 pounds per cubic yard 

(pcy)

Maximum Water/Cement Ratio – 0.40

Maximum Slump – 4.0 or 8.0 inches (with Sikament 2000)

Minimum Air Content – 5.0 percent
Project Closeout (Appendix) March 2009

12A-14 Final Construction Report

Portland Cement: AASHTO M85, Type I/II 488 pcy

LaFarge North American

5700 Chemical Road

Baltimore, MD 21226-0746

Slag Cement: NewCem Brand 162 pcy

(AASHTO M-302, Grade 120)

LaFarge North American

Sparrow Point Plant

2001 Wharf Road

Baltimore, MD 21219

Fine Aggregate: Natural Sand 1317 pcy

(AASHTO M-6, Class A)

Aggregate Industries

Brandywine Plant

Brandywine, MD

Clay lumps and/or

friable particles – 0.2 percent

Coal and lignite – 0.02 percent

Organic impurities – Plate 1

Passing 75 μm sieve – 0.9 percent

Sand Equivalent Value: (provide if available)

Fineness Modulus – 2.64

Bulk Sp/Gr at 

Saturated Surface Dry (SSD) – 2.63

Sodium Sulfate Soundness – 0.8 percent

Absorption – 0.5 percent

Course Aggregate: No. 57 Dolomite Limestone 1800 pcy

(AASHTO M-80, Class A)

Aggregate Industries

Bladensburg Terminal

Clay lumps and/or

friable particles – 0.2 percent

Coal and lignite – 0.0 percent

SSD Bulk Sp/Gr – 2.83

LA Abrasion, grading B – 15 percent

Sodium Sulfate Soundness – 1.2 percent

Adherent Coating: (provide if available)

Water: Potable (city water main) 254 pcy

Fly Ash: (provide if used)
Project Closeout (Appendix) March 2009

Final Construction Report 12A-15

Air Entrainment: Slika AEA-14 3.3 ounces per

(AASHTO M-154) cubic yard

Slika Corporation

201 Politic Avenue

Lyndhurst, NJ 07071

Water Reducer: Sikament 2000 42.2 ounces per

(High Range) (AASHTO M-194, Types A and F) cubic yard

Slika Corporation

201 Politic Avenue

Lyndhurst, NJ 07071

Average Test Results: Slump = 3.75 inches

Air content = 5.8 percent

Temperature = 79o F

28-day cylinder breaks = 4910 psi

Pay Factor: (provide only if other than 1.0)

Approach Slabs Reinforcing Steel: Epoxy Coated (Same as Item 55402)

Slope Paving Reinforcement:W2.9/W2.9, 6 gage, 6-inch x 6-inch, steel wire 

mash, from Ivy Steel & Wire Company

Supplier: National Capital Industries

P.O. Box 287

Bladensburg, MD 20170

Item No.55202DE: Structural Concrete Class D (AE) For Bridge Deck 

(lightweight); and 

Item No. 55207DK: Structural Concrete Class D (AE) For Parapets 

(lightweight)

Class of Concrete: D (AE)

Supplier: Aggregate Industries-Mid Atlantic – Crofton Plant

6401 Golden Triangle Drive – Suite 400

Greenbelt, MD 20770

Mix Requirements: Minimum Strength – 4000 psi in 28 days

Minimum Cement Content – 607 pcy

Maximum Water/Cement Ratio – 0.44

Maximum Slump – 4.0 or 8.0 inches (with Sikament 2000)

Minimum Air Content – 5.0 percent
Project Closeout (Appendix) March 2009

12A-16 Final Construction Report

Portland Cement: AASHTO M85, Type I/II 488 pcy

(Same as Item 55202DC)

Slag Cement: NewCem Brand 162 pcy

(Same as Item 55202DC)

Fine Aggregate: Natural Sand 1301 pcy

(Same as Item 55202DC)

Course Aggregate: Carolina Solite – Aquadale, NC Plant 875 pcy

(Lightweight) (AASHTO M-195)

Solite Corporation

P.O. Box K 28

Richmond, VA 23228

Organic impurities (color) – No change

Clay Lumps – 0.0 percent

Loss of ignition – 0.12 percent

Pop outs – None

Shrinkage at 28-days – 0.034 percent

Stain test – No stain

Unit Weight (dry loose) – 47.0 pcf

SSD Bulk Sp/Gr – 1.46

Absorption – 5.4 percent

Water: Potable (city water main) 288 pcy

Air Entrainment: Slika AEA-14 3.3 ounces per

(Same as Item 55202DC) cubic yard

Water Reducer: Plastocrete 162 26.0 ounces per

(AASHTO M-194, Type A cubic yard

Slika Corporation

201 Politic Avenue

Lyndhurst, NJ 07071

Water Reducer: Sikament 2000 42.2 ounces per

(High Range) (AASHTO M-194, Types A and F) cubic yard

Slika Corporation

(Same as above)

Average Test Results: Slump = 3.9 inches

Air content = 5.8 percent

Temperature = 79o F

28-day cylinder breaks = 4980 psi

Pay Factor: (provide only if other than 1.0)
Project Closeout (Appendix) March 2009

Final Construction Report 12A-17

Item No. 55212A: Concrete Color Finish

Material:

 Primer: FX-460 Primer

 Surface: FX-460 Breathable Masonry Coating

Color No. 25630 of Federal Standard 595B Colors

Supplier: Fox Industries, Inc.

3100 Falls Cliff Road

Baltimore, MD 21211

Item No. 55402: Epoxy Coated Reinforcing Steel

Type: AASHTO M-31, Grade 60

Coating: Scotchkote 413

3M, Inc.

New Ulm, MN

Or 

720A009 Greenbar Fusion Bond Epoxy Powder Coating

Valspar Corporation

Charlotte, NC

Supplier: Gerdau Ameristeel 

Fabrication Plant: York Reinforcing Steel

York, PA

Item No. 55502: Bridge Expansion Joints

Supplier: Eddy’s Welding Inc. 

Fabrication Plant: Ellicott City, MD

Joint Seal: Delastic E-3000

D.S. Brown Company

North Baltimore, OH

Item No. 55601CA: Aluminum Bridge Rail

(Conforms to FP-96, Table 717-3)

Supplier: L.B. Foster Company 

Fabrication Plant: Pittsburgh, PA

Item No. 56303A: Bridge Paint System

Surface Preparation: Society for Protective Coatings Specification – SSPC-SP 5, 

white metal blast cleaning; using steel grit (with recycling 

equipment). 
Project Closeout (Appendix) March 2009

12A-18 Final Construction Report

Paint System: FP-96, Table 563-1 – System Number 1 

Supplier: Finnaren and Haley Paint & Coatings, Inc.

901 Washington Street

Conshohocken, PA 19428

Primer: Indurazine FB Zink (Inorganic) 15216/151195

Intermediate: Indulon 824 MIL-DTL-2441B, Type IV Primer White

824100/824801

Surface: Indurathane 890 Acrylic Urethane 890000/890800

Color No. 36306, of Federal Standard 595B Colors

Item No. 56601F: Shotcrete, 50 mm Depth (Item not used)

Item No. 56601K: Shotcrete, 100 mm Depth (reinforced)

Subcontractor: The Marksmen Company

Material: Bay Bridge Shotcrete Low Rebound (with fibers)

American Stone Mix, Inc.

8320 Bellona Avenue

Towson, MD 21204-2086

Mix Requirements: Minimum Strength – 3200 psi at 7 days

5370 psi at 28 days

Mix Design: Strength – 4000 psi at 3 days and 8000 psi at 28 days

Water/Mix Ratio – 0.1 maximum

Average Test Results: 4700 psi at 2 days and 5560 psi at 7 days

Reinforcement wire: (Same as Item 61601)

Item No. 61503B: Portland Cement Concrete Median

Class of Concrete: A (AE)

Supplier: Aggregate Industries-Mid Atlantic – Crofton Plant

6401 Golden Triangle Drive – Suite 400

Greenbelt, MD 20770

Mix Requirements: Minimum Strength – 3000 psi in 28 days

Minimum Cement Content – 611 pcy

Maximum Water/Cement Ratio – 0.49

Maximum Slump – 4.0 inches

Minimum Air Content – 4.0 percent

Portland Cement: AASHTO M85, Type I/II 458 pcy

(Same as Item 55202DC)
Project Closeout (Appendix) March 2009

Final Construction Report 12A-19

Slag Cement: NewCem Brand 153 pcy

(Same as Item 55202DC)

Fine Aggregate: Natural Sand 1295 pcy

(Same as Item 55202DC)

Course Aggregate: No. 57 Dolomite Limestone 1800 pcy

(Same as Item 55202DC)

Water: Potable (city water main) 288 pcy

Air Entrainment: Slika AEA-14 3.3 ounces per

(Same as Item 55202DC) cubic yard

Water Reducer: Plastocrete 162 26.0 ounces per

(Same as Item 55202DE) cubic yard

Average Test Results: Slump = 4.1 inches

Air content = Not determined

Temperature = 81o F

7-day cylinder breaks = 2770 psi

Item No. 61701G: Guardrail System SBTA

Subcontractor: Guardrails Etc., Inc.

Material:

Chromated Copper Arsenate treated Southern Pine lumber (AASHTO M-168)

G.E. Frisco Company

Upper Marlboro, MD

0.375-inch, corrosion resistant, steel backing elements and hardware 

Wilton Corporation

Flinksburg, MD

B. Experimental or New Features –

None.

C. Changes & Problems –

1. Changes

Contract Modification (CM) No. 0001 was an unilateral administrative CM 

issued to correct an error found on line 21 of the Standard Form 1442 

Solicitation, Offer and Award dated November 4, 2002, for this contract. 

This CM changed the calendar days for the contract completion from 

issuance of Notice to Proceed included on line 21 from 534 calendar days 

to 475 calendar days.
Project Closeout (Appendix) March 2009

12A-20 Final Construction Report

There was no change in contract amount, or the time that was part of the 

Contractor’s bid.

CM No. 0002 was issued to allow for the combining of construction 

Stages III and IV, and the total closure of the bridge to traffic during 

Stages III and IV. As a result, a new pay item was created to give the 

government a credit of $10,216.56, and the pay item for moving 

temporary concrete barriers was deleted, as it was no longer needed.

The items for selective cleaning, removal of signs, and 50 mm shotcrete 

were deleted due to actual field conditions being different than 

anticipated. Also, the estimated quantities of various other items were 

adjusted because of existing field conditions being different than originally 

anticipated, the combining of Stages III and IV, or the government’s 

decision to exercise the option to add Schedule B to the contract, which is 

addressed in CM 0003 below.

Net contract increase = $43,486.60 No change in contract time.

CM No. 0003: The Government exercised the option by adding the 

performance of Schedule B to the contract.

Due to the delay of the government in issuing this CM, an additional 15 

calendar days were added to the time bid by the contractor for Schedule 

B. The contract completion date was changed from June 16, 2004 to July 

31, 2004.

Net contract increase = $335,583.00 Contract time increase = 45 

calendar days.

CM No. 0004: CM 0003 contained an exception that allowed for a future 

extension of contract time for guardrail work. Because of the delay in 

issuing CM 0003, the contractor required an extensive amount of 

additional time in order to obtain enough material for the steel backing 

timber guardrail that was beyond their control. Therefore, the contract 

completion date was changed from June 16, 2004, to October 11, 2004.

No change in contract amount. Contract time increase = 72 

calendar days.

CM No. 0005 issued a credit to the Contractor for the unused lane rental 

days, as specified in the contract, for 27 days at $400.00 per day. A new 

pay item was created to pay the contractor the $10,800.00 amount of this 

credit.

At the request of NASA, a new pay item was established for rumble strips 

to be placed prior to the entrance to the GSFC compound. Also, the final 

quantities of 35-pay items were adjusted due to changes made and 

existing field conditions being different than originally anticipated.

Net contract decrease = ($23,296.71) No change in contract time.
Project Closeout (Appendix) March 2009

Final Construction Report 12A-21

Significant Overruns and Underruns

Schedule A

Item 20303AC: Removal of Concrete Slope paving underran by 17.1 

percent due adjustments made to match existing field conditions.

Item 20303AEB: Removal of Portland Cement Concrete Median overran 

by 90.6 percent because part of Schedule B quantity needed to be 

removed during Schedule A operations.

Item 20307: Sawcutting Pavement underran by 57.7 percent by 

combining Stages 3 and 4 of Schedule A.

Item 20401: Roadway Excavation underran by 100 percent; this work was 

performed during Schedule B operations.

Item 20803: Structural Backfill underran by 44 percent, due to actual field 

measurements as compared to estimated quantities.

Item30101Z: Aggregate Base, Grading C or D overran by 97 percent; this 

quantity was underestimated.

Item 30306A: Shoulder Reconditioning underran by 50 percent due to 

variations in actual field measurements as compared to estimated 

quantities.

Item 41801BAD: Superpave Asphalt Concrete Pavement, 12.5mm 

underran by 77.7 percent due to performing the majority of the work 

during Schedule B operations.

Item 41801CA: Superpave Asphalt Concrete Pavement, 19.0mm overran 

by 128 percent due to part of Schedule B work being done during 

Schedule A operations..

Item 55210: Repair Concrete underran by 18.2 percent due to existing 

field conditions being different than anticipated.

Item 56601F: 50mm Shotcrete underran – This item deleted due to 

existing field conditions being worse than anticipated. (See Item 55601K 

below.)

Item 55601K: 100mm Shotcrete overran by 560 percent due actual field 

conditions; repairs were more extensive than was anticipated.

Item 56101: Structural Concrete Bonding underran by 95 percent due to 

the increased depth of the shotcrete repairs.

Item 61503B: Portland Cement Concrete Median underran by 100 

percent; the work was performed during Schedule B operations.
Project Closeout (Appendix) March 2009

12A-22 Final Construction Report

Item 61601: Concrete Slope Paving underran by 17.1 percent due to 

actual field conditions warranted a smaller quantity be removed.

All traffic control items, 63503A through 63526, had quantities different 

than those originally estimated, which was caused by the combining of 

Stages III and IV under CM 0002.

Schedule B

Item 20302RB: Removal of Portland Cement Concrete Curb underran by 

50.5 percent due to NASA’s decision to leave some of the existing curb in 

place.

Item 20401: Roadway Excavation underran by 63 percent because an 

existing paved shoulder was utilized in the construction of the turnaround 

area.

Item 30101E: Aggregate Base, grading E overran by 94 percent due the 

existing shoulders being lower than shown on the typical plan sheets.

Item 30306A: Shoulder Reconditioning underran by 49.5 percent due 

actual field conditions being different than anticipated.

Item 41801BAD: Superpave Asphalt Concrete Pavement 12.5mm 

overran by 20 percent. Due to existing field conditions, this item was also 

used as a wedge and level course prior to placing the surface course.

Item 41801CA: Superpave Asphalt Concrete Pavement 19.0mm underran 

by 68 percent due to the utilization of the existing paved shoulder when 

constructing the turnaround area.

Item 62403: Furnishing and Placing Topsoil underran by 38.3 percent due 

to adjustments made to match existing field conditions.

Item 62509: Turf Establishment overran by 200 percent due to 

adjustments made to match existing field conditions.

Item 63401BA: Pavement Markings, type B, solid overran 52.0 percent 

due to variations in actual field measurements as compared to estimated 

quantities.

2. Problems

The gate to the complex was damaged several times by incoming traffic. 

To help alleviate this problem, thermoplastic rumble strips were added to 

the eastbound NASA Access Road, at the request of GSFC, to warn 

motorist of the gate ahead.

D. Recommendations –

None.
Project Closeout (Appendix) March 2009

Final Construction Report 12A-23

E. Claims – None.

IV. CONSTRUCTION ENGINEERING

A. Project Personnel –

Martin German, Project Engineer/COTR

B. Contract Inspection –

Ben Rent, KCI Technologies, Level 3 inspector. His primary duties were onsite 

of inspection of bridge and roadway construction.

C. Other Contacts –

Goddard Space Flight Center:

Tim Regan, Project Manager

National Park Service:

Charles Borders, Project Manager

D. Partnering –

Informal partnering was successfully implemented on this project, and a good 

relationship was maintained between all shareholders.

Contract Modification March 2009

Table of Contents 13-i

Chapter 13 – CONTRACT MODIFICATION

TABLE OF CONTENTS

Section Page

13.1 Overview ....................................................................................................................................13-1

13.2 Authority ....................................................................................................................................13-2

13.2.1 Administrative/Technical Concurrences ..................................................................13-2

13.3 Types of Contract Modifications .............................................................................................13-3

13.3.1 Bilateral Contract Modifications (Supplemental Agreements).................................13-3

13.3.2 Unilateral Contract Modifications (Change Orders) ................................................13-3

13.3.2.1 Change Orders ....................................................................................13-4

13.4 Contract Clauses.......................................................................................................................13-7

13.4.1 FAR Clause 52.243-4, Changes .............................................................................13-7

13.4.2 FAR Clause 52.249-10, Default ..............................................................................13-7

13.4.3 FAR Clause 52.236-2, Differing Site Conditions .....................................................13-7

13.4.4 FAR Clause 52.242-14, Suspension of Work..........................................................13-8

13.4.5 FAR Clause 52.211-18, Variation in Estimated Quantity (VEQ) .............................13-8

13.5 Time Extensions in Contract Modifications ...........................................................................13-9

13.5.1 Compensable Delays ..............................................................................................13-9

13.5.2 Excusable Delays ....................................................................................................13-9

13.5.2.1 No Impact Costs under an Excusable Delay .....................................13-10

13.5.2.2 Required Notice for Excusable Delay ................................................13-10

13.5.2.3 Acts of God and Weather Delays ......................................................13-10

13.6 Contract Modification Process ..............................................................................................13-12

13.6.1 Identify the Need for a Contract Modification ........................................................13-14

13.6.2 Coordinate with FHWA and External Agencies.....................................................13-14

13.6.2.1 Land Owning and Road Owning or Maintaining Agencies (U.S. Forest 

Service, County, State DOT, NPS, etc.) ............................................13-15

13.6.2.2 FHWA.................................................................................................13-15

13.6.2.3 Cooperating Agencies........................................................................13-16

13.6.3 Identify Scope of Work ..........................................................................................13-16

13.6.4 Request Contractor to Prepare a Proposal ...........................................................13-17

13.6.5 Prepare an Independent Government Estimate....................................................13-17

13.6.5.1 Cost Based IGEs ...............................................................................13-18

13.6.5.2 Price-Based IGEs ..............................................................................13-26

13.6.6 Complete a Procurement Request (PR)................................................................13-27

13.6.7 Determine if Cost and Pricing Data are Required .................................................13-28

13.6.8 Analyze the Contractor’s Proposal ........................................................................13-28

13.6.8.1 Techniques for Analyzing the Contractor’s Proposal.........................13-29

13.6.8.2 Using the Techniques to Analyze the Proposal .................................13-30

13.6.9 Accept the Contractor’s Proposal or Perform Additional Fact Finding..................13-31

13.6.10 Prepare a Negotiation Memorandum ....................................................................13-31

13.6.11 Negotiate with the Contractor................................................................................13-32

13.6.11.1 The Government’s Negotiator............................................................13-32

13.6.11.2 Agenda for Negotiations ....................................................................13-32

13.6.11.3 Dealing with New Information ............................................................13-32

13.6.11.4 Negotiation Minutes ...........................................................................13-32

13.6.12 Complete the Negotiation Memorandum...............................................................13-32

13.6.13 Amend the PR .......................................................................................................13-32
Contract Modification March 2009

TABLE OF CONTENTS

(Continued)

Section Page

13-ii Table of Contents

13.6.14 Determine What Type of Contract Modification to Issue.......................................13-33

13.6.14.1 Bilateral Contract Modification ...........................................................13-33

13.6.14.2 Bilateral Contract Modification with Exceptions .................................13-33

13.6.14.3 Unilateral Contract Modification.........................................................13-33

13.6.15 Prepare the Contract Modification.........................................................................13-33

13.6.15.1 Contract Modification .........................................................................13-33

13.6.15.2 Supporting Documentation ................................................................13-34

13.6.16 Send the Contract Modification to the Contractor for Signature............................13-34

13.6.17 Review, Approve, and Distribute Contract Modication..........................................13-34
Contract Modification March 2009

List of Exhibits 13-iii

LIST OF EXHIBITS

Exhibit Page

Exhibit 13.3-A SF 30, Amendment of Solicitation/Modification of Contract ....................................13-5

Exhibit 13.6-A Contract Modification Process...............................................................................13-13

Exhibit 13.6-B Contract Modification Database Report ................................................................13-35

Contract Modification March 2009

Overview 13-1

CHAPTER 13

CONTRACT MODIFICATION

13.1 OVERVIEW

The following chapter provides guidance and the requirements for developing and processing 

contract modifications. The Project Engineer and/or the COE is responsible for the tasks listed 

in the process, except as otherwise noted. Throughout the process, the Project Engineer 

should coordinate with the COE.

A contract modification is a negotiated acquisition. Part 15 of the Federal Acquisition 

Regulations (FAR) prescribes the policies and procedures governing negotiated acquisitions. 

The process outlined on the following pages is based on FAR Part 15, the Transportation 

Acquisition Manual (TAM), and the Transportation Acquisition Regulations (TAR). The process 

applies to all contract modifications except contract modifications written to exercise an option 

(FAR Part 17). The process does not apply to resolution of claims submitted under FAR Part 

33.

To the maximum extent possible, a separate modification should be prepared for each situation. 

Avoid combining multiple unrelated issues in the same modification.
Contract Modification March 2009

13-2 Authority

13.2 AUTHORITY

Only COs acting within the scope of their CO warrant are authorized to execute contract 

modifications on behalf of FHWA. Except for life-threatening or emergency situations, other 

FHWA personnel or its representatives shall not:

 act in such a manner as to cause the Contractor to believe that they have authority to bind 

the FHWA

 direct or encourage the Contractor to perform work that could be the subject of a contract

modification

The delegation of authority letter, issued to the Contractor between the time of award and 

issuance of the notice to proceed, identifies the specific levels of authority for a particular 

project. The Project Engineer has authority to negotiate modifications up to the dollar amount 

approved by the CO in the negotiation memorandum (See Section 13.6.10).

13.2.1 ADMINISTRATIVE/TECHNICAL CONCURRENCES

Administrative delegations of authority might require consultations or concurrences from

appropriate Division offices prior to the issuance of some types of CMs. Written documentation 

of consultations and concurrences is important, especially if obtained using telephone or other 

verbal means, and should include names, dates, and a summary of the discussion. None of 

these delegations is related to CO authority or who signs the contract modification.
Contract Modification March 2009

Types of Contract Modifications 13-3

13.3 TYPES OF CONTRACT MODIFICATIONS

Contract modifications are either bilateral or unilateral. Both types are explained in detail below.

13.3.1 BILATERAL CONTRACT MODIFICATIONS (SUPPLEMENTAL 

AGREEMENTS)

A bilateral modification (supplemental agreement) is a contract modification that is signed by the 

Contractor and the CO. Bilateral modifications, for example, are used to:

 reflect agreement of the parties to modify the terms of the contract

 make negotiated equitable adjustments resulting from the issuance of a change order

 definitize letter contracts

The supplemental agreement is the preferred type of contract modification and the most often 

used on FLH construction projects. This type of contract modification is issued bilaterally; that 

is, both the Contractor and the Government sign the document to mutually agree to all 

conditions of the contract modification. The equitable adjustment - a change in the contract 

price, time, and/or some other aspect - is also agreed to.

A Contractor’s statement of release (similar to that shown in FAR Clause 43.204) should be 

included in a supplemental agreement. The statement releases the Government from any 

subsequent claims and confirms that all elements of the modification within the supplemental 

agreement have been addressed and resolved. The following is an example release statement:

By signature below, the Contractor agrees that payment and time adjustments as 

provided herein release the Government from any and all liability under this 

Contract for further compensation or adjustments relating to this modification.

13.3.2 UNILATERAL CONTRACT MODIFICATIONS (CHANGE ORDERS)

A unilateral modification is a contract modification that is signed only by the CO. Unilateral 

modifications are used, for example, to:

 allow performance and payment of work without agreement on terms and conditions (i.e. 

price and time) of the modification

 make administrative changes 

 exercise an option included in the contract

 issue termination notices

 issue change orders (see Section 13.3.2.1)

Administrative change orders are unilateral CMs created for purposes such as to change and 

account number or document changes that do not impact the right of the Contractor. These 

kinds of changes are made with administrative change orders.
Contract Modification March 2009

13-4 Types of Contract Modifications

13.3.2.1 Change Orders

FHWA contracts contain a Changes clause that permits the CO to make unilateral changes 

within the general scope of the contract (see Section 13.4.1). If halting or impeding the required 

work would adversely affect the Government’s interest, a change order should be issued. A 

change order is a written directive, signed by the CO, requiring the Contractor to make a change 

without the Contractor’s consent. A change order allows the Contractor to proceed with the 

work even though the terms and conditions of the contract modification have not been 

definitized. Change orders are not typically forward priced and therefore they require two 

documents: the change order (using SF 30 – See Exhibit 13.3-A) and a supplemental 

agreement reflecting the resulting equitable adjustment in contract terms.

Include the following in the change order:

 scope of work

 a specific timetable for definitizing a bilateral contract modification

 a not-to-exceed estimate of cost, which is used to obligate funds for the modification

Although issuance of a change order allows the Contractor to begin work before the Contractor 

and the Government have reached agreement on the terms and conditions of the modification, 

a change order does not negate the contract modification process outlined in Section 13.6. The 

Project Engineer and/or COE must still coordinate with FHWA and external parties, develop an 

approximate cost estimate, and secure an approved procurement request prior to having the 

CO approve the change order.
Contract Modification March 2009

Types of Contract Modifications 13-5

Exhibit 13.3-A SF 30, Amendment of Solicitation/Modification of Contract
Contract Modification March 2009

13-6 Types of Contract Modifications

Exhibit 13.3-A SF 30, Amendment of Solicitation/Modification of Contract

(Continued)
Contract Modification March 2009

Contract Clauses 13-7

13.4 CONTRACT CLAUSES

The authority to change the contract and make adjustments to the contract amount originates 

from the various FAR clauses. The majority of contract modifications are authorized by the 

Changes clause. The Changes clause and the other most commonly used FAR clauses are 

described below. For more information on any particular clause, contact your COE or refer to 

Administration of Government Contracts by Nash and Cibinic.

13.4.1 FAR CLAUSE 52.243-4, CHANGES

The Changes clause gives the Government the right to make unilateral changes in the work 

within the general scope of the contract, including changes to the plans and specifications, the 

method of work, Government-furnished materials, and the time allowed for contract completion. 

The Changes clause also provides the means under the contract for the Government to make 

an equitable adjustment for constructive changes and defective plans or specifications. 

A “constructive change” is an unintentional change order issued either verbally or in writing.

Many constructive changes arise from differing interpretations of the plans or specifications or 

from the Project Engineer’s insistence on a certain method for the Contractor to use to do the 

work. Paragraph (b) of the changes clause, requires the Contractor to give written notice of a 

constructive change. 

The term “within the general scope of the contract” is defined as work that “should be regarded 

as fairly and reasonably within the contemplation of the parties when the contract was entered 

into.” Changes outside the scope of the contract are referred to as “cardinal changes” and are 

not within the authority of the Construction Branch.

13.4.2 FAR CLAUSE 52.249-10, DEFAULT

The Default clause serves two purposes. First, it allows the Government to terminate the 

Contractor’s right to proceed if the Contractor has not performed with due diligence, or if the 

Contractor has not completed work within the time specified in the contract. Second, the clause 

allows for an adjustment to contract time if the Contractor or its subcontractor is delayed due to: 

acts of God or the public enemy, acts of the Government in either its sovereign or contractual 

capacity, acts of another contractor in the performance of a contract with the Government, fires, 

floods, epidemics, quarantine restriction, strikes, freight embargoes, and unusually severe 

weather. Under the Default clause, the Contractor is only entitled to time extensions; there is no 

provision for monetary compensation.

13.4.3 FAR CLAUSE 52.236-2, DIFFERING SITE CONDITIONS

The Differing Site Conditions clause provides a remedy for situations where the actual physical 

conditions at the work site are materially different than either the conditions represented in the 

contract (Type I Differing Site Condition) or the conditions that would normally be encountered 

during work of that nature in the particular area (Type II Differing Site Condition).
Contract Modification March 2009

13-8 Contract Clauses

13.4.4 FAR CLAUSE 52.242-14, SUSPENSION OF WORK

The Suspension of Work clause allows the Government to suspend, delay, or interrupt the 

Contractor’s work for the period of time that is appropriate for the convenience of the 

Government. If the Government suspends, delays, or interrupts the Contractor’s performance 

for an unreasonable period of time, the Contractor is entitled to an adjustment for the increase in 

the cost of performance. Under the Suspension of Work clause, the Contractor is not entitled to 

profit. See Section 5.5 for additional information on suspensions.

13.4.5 FAR CLAUSE 52.211-18, VARIATION IN ESTIMATED QUANTITY (VEQ)

The VEQ clause allows an adjustment to the contract when the actual quantities vary by more 

than 15 percent from the bid schedule quantities. Adjustments are allowable only if the 

Contractor’s costs increase or decrease due solely to the variation. The unit price adjustment 

must reflect only reduced performance costs realized due to economies of scale on overrun 

units or increased performance costs experienced due to loss of efficiency on underrun units. 

The clause does not provide a remedy for situations where the Contractor lost money due to a 

low bid, or where the Contractor gained a windfall profit due to a high bid. The VEQ clause 

cannot be used for price adjustments in situations where the increase or decrease in quantity 

was caused by a differing site condition, a bid quantity error, or a contract change.
Contract Modification March 2009

Time Extensions in Contract Modifications 13-9

13.5 TIME EXTENSIONS IN CONTRACT MODIFICATIONS

A time extension can be included in the equitable adjustment allowed in a contract modification

issued under the remedy/relief clauses of the contract, such as the Changes Clause or the 

Differing Site Conditions Clause. Refer to Section 5.4 for additional information regarding 

contract time.

13.5.1 COMPENSABLE DELAYS

Contract modifications that grant time extensions for events that are the responsibility of the 

Government may address the indirect costs associated with the delay.

Examples of costs that may be associated with compensable delays are as follows:

 Home Office Overhead. For work associated with changes and differing site conditions, 

overhead is usually audited as a percentage of direct costs. However, for a delay or time 

extension that is lengthy compared to the work in the contract modification, the Contractor 

may attempt to justify overhead on a daily rate basis. When a contract modification includes 

both added work (costs) and delay or extended performance associated with the same 

work, overhead costs should not be paid on both a percentage and daily rate basis. Costs 

used to establish the home office overhead rate can include home office rental, staff 

salaries, utilities, etc. 

The Eichleay formula is a recognized method for calculating home office overhead damages 

associated with construction delays.

 Field Supervision and Overhead. These types of costs include salaries and vehicles of 

supervisory personnel at the project site, utility bills, site offices and laboratories, etc.

 Equipment. This type of cost includes standby costs for the Contractor’s equipment that is 

on the site and idle due to the contract modification - even if the equipment is unrelated to 

the contract modification. The Contractor must show that it was the event precipitating the 

contract modification that caused the equipment to remain idle and on the site. The 

equipment rates used to compute the costs are generally the standby rates, unless 

additional operating time was also required by the contract modification.

 Traffic Control. This cost type includes additional costs for the increased period that traffic 

control is required due to the contract modification.

13.5.2 EXCUSABLE DELAYS

Delays which are not the fault or responsibility of the Government but are also due to 

unforeseeable causes beyond the control and without the fault or negligence of the Contractor 

are excusable delays. Paragraph (b) of the Default Clause (FAR Clause 52.249-10) addresses 

excusable delays. Below are some examples of delays listed in the Default Clause that are 

normally considered excusable. (This list is not intended to be all inclusive.)

 Acts of God or of the public enemy.
Contract Modification March 2009

13-10 Time Extensions in Contract Modifications

 Acts of the Government in either its sovereign or contractual capacity.

 Acts of another contractor in the performance of a contract with the Government.

 Fires.

 Floods.

 Epidemics.

 Quarantine restrictions.

 Strikes.

 Freight embargoes.

 Unusually severe weather.

 Delays of subcontractors or suppliers at any tier arising from unforeseeable causes beyond 

the control and without the fault or negligence of both the Contractor and the subcontractor 

or supplier.

13.5.2.1 No Impact Costs under an Excusable Delay

A contract modification recognizing an excusable delay under the Default Clause, FAR Clause 

52.249-10(b), should grant only additional contract time. The clause does not provide for 

payment to the Contractor for costs resulting from the delay (including indirect or impact costs).

13.5.2.2 Required Notice for Excusable Delay

FAR Clause 52.249-10(b)(2) requires that the Contractor, within 10 days from the beginning of 

any delay, notify the CO in writing of the cause(s) of the delay. Like most other notice 

requirements, in order to be enforced, the Government may be required to show that it was 

prejudiced by a lack of timely notice.

13.5.2.3 Acts of God and Weather Delays

Acts of God have been defined by the Comptroller General as follows:

...some inevitable accident which cannot be prevented by human care, skill, or 

foresight, but results from natural causes such as lightening, tempest, floods, and 

undulations.

Delay due to a tornado, earthquake, abnormal drought or other natural disaster can be 

excusable. If the weather is abnormally severe (as compared to the normal weather for the 

location and time of year) then a time extension can usually be granted. Normal weather, 

including rain, snow, drought, etc. is not considered an Act of God under the FAR. Averages, 

based on minimum of the last ten years of data, are often used as the comparison to establish 
Contract Modification March 2009

Time Extensions in Contract Modifications 13-11

extremes in weather. This data is typically compiled monthly. However, an analysis of long term 

or chronic bad weather should look at the entire period in question - or even the entire period of 

the Contract - since unusually good weather sometimes offsets unusually bad weather when 

extended periods are evaluated.
Contract Modification March 2009

13-12 Contract Modification Process

13.6 CONTRACT MODIFICATION PROCESS

The process shown in Exhibit 13.6-A and described in Sections 13.6.1 through 13.6.17 outlines 

the requirements for developing, preparing, and executing a contract modification. While the 

process applies to the majority of contract modifications, the steps may be reordered or 

modified depending on the situation. 

The Project Engineer and/or COE are responsible for completing the process and ensuring the 

COE is kept involved and informed throughout the process. As the three Divisions may have 

specific process differences, see your Division policies.
Contract Modification March 2009

Contract Modification Process 13-13

Exhibit 13.6-A Contract Modification Process
Contract Modification March 2009

13-14 Contract Modification Process

13.6.1 IDENTIFY THE NEED FOR A CONTRACT MODIFICATION

Contract modifications are initiated for a multitude of reasons. In general, the land-owning 

agency, a cooperating agency, the Contractor, or FHWA can identify the need for a contract 

modification. Typical situations that may necessitate a modification are listed below.

 Land-Owning Agency 

o Provide an alternate materials source

o Paving of campgrounds or parking areas

 Road Maintaining or Owning Agency

o Stockpiling aggregate for owner’s use

o Change work restrictions listed in the contract

 Resource or Regulatory Agency

o Change environmental restrictions listed in the contract

o Revise culvert pipe details to improve fish passage

o Revise revegetation plans

 Contractor

o Correction of an error or omission in the plans or specifications

o Price adjustment for acceptance of work or material that does not conform to the 

contract requirements

o Value engineering proposals

o Equitable adjustments for differing site conditions or variations in quantity

o Time extensions for excusable delays

 FHWA

o Change in the plans or specifications

o Adjustments for suspensions or terminations for convenience

o Correction of an error or omission in the plans or specifications

o Adding work not provided for in the plans and specifications

o Substituting or deleting work

o Accelerating work

o Changing method of measurement

o Changing time (notice to proceed, winter shutdowns, fixed completion date)

o Close-out project account

13.6.2 COORDINATE WITH FHWA AND EXTERNAL AGENCIES

Once the need for a modification has been identified, it is essential for the Project Engineer 

and/or COE to coordinate with the parties who may have an interest in the modification. This 

coordination should continue throughout the development of the modification. Coordination with 

the appropriate parties will ensure the modification is developed properly and issued timely. 
Contract Modification March 2009

Contract Modification Process 13-15

Also, the earlier an interested party is brought into the process, the greater the likelihood that 

the modification will be developed smoothly and successfully. 

The parties that are most commonly involved in the contract modification process and their roles 

in the process are listed below. As this list is not all-inclusive, use judgment and discretion in 

selecting who will be involved for the particular situation.

Document the cross-functional team members’ involvement and concurrence with the 

development of the contract modification. Include this documentation with the modification 

support data.

13.6.2.1 Land Owning and Road Owning or Maintaining Agencies

(U.S. Forest Service, County, State DOT, NPS, etc.)

The Project Engineer and/or COE will need the agency’s concurrence in context of all changes. 

Although some modifications may not affect the road owners, it is a good idea to keep them 

informed of all modifications. It allows them to be a partner in the project and results in a 

smoother running project. If the road owner requests the modification, this request should be 

provided in writing. Depending on the scope of the modification, the road owner may need to 

provide approval and funding. In general, the same guidelines exist for the landowners as for 

the road owners. 

13.6.2.2 FHWA

13.6.2.2.1 Financial/Program Manager

This individual will establish the availability of funds for the proposed modification. If funds are 

not currently available, the Financial/Program Manager will research other funding avenues. 

For modifications estimated to be greater than $50,000 or modifications developed during the 

last quarter of the fiscal year, notify the Financial/Program Manager of the approximate dollar 

amount prior to refining the scope of the modification. The availability of funds can severely 

impact both the scope and the timing of the modification.

13.6.2.2.2 Project Manager (Project Development) and Designer

The Project Manager and Designer are your main points of contact for nearly all contract 

modifications. Communication with them is critical to identifying both the underlying reasons for 

particular design details or specifications, as well as commitments (to owning, maintaining, and 

resource agencies) that may be impacted by the modification. They can also assist in 

coordinating with other FHWA technical specialists.

13.6.2.2.3 Environmental Engineer or Specialist

Contact the Environmental Engineer or Specialist if there is any possibility that the proposed 

modification might have environmental or permit consequences, or might alter the 
Contract Modification March 2009

13-16 Contract Modification Process

environmental mitigation features established in the contract. The Environmental Engineer or 

Specialist will coordinate any permit requirements.

13.6.2.2.4 Materials Team

Coordinate proposed changes to materials specifications (gradation, sand equivalent, pavement 

structure, material sources, etc.) with the Materials Team.

13.6.2.2.5 Bridge Team

Discuss proposed changes to structures (bridge, retaining wall, box culvert, etc.) with the Bridge 

Team.

13.6.2.2.6 Hydraulics Team

Coordinate proposed modifications to culverts and major erosion control features with the 

Hydraulics Team.

13.6.2.2.7 Geotechnical Team

Coordinate proposed modifications to geotechnical features (slopes, retaining walls, pavement 

structure, material sources, etc.) with the Geotechnical Team.

13.6.2.3 Cooperating Agencies

Cooperating agencies include: National Park Service, State Fish and Game, U.S. Fish and 

Wildlife, National Marine Fisheries Services, U.S. Army Corps of Engineers, U.S. Forest 

Service, State Departments of Transportation, Bureau of Land Management, military, Local 

Government Agencies, and similar entities.

13.6.3 IDENTIFY SCOPE OF WORK

Identification of a clear and concise scope of work will enable the Contractor to develop its price 

proposal and will provide a basis for negotiations. The scope of work needs to include sufficient 

detail for the Contractor to reasonably develop its proposal. The scope of work may be revised 

based on information provided in negotiations or discussions with the Contractor. 

Include the following in the scope of work:

 General description of the proposed modification

 Location

 Preliminary specifications and design details

 Quantity of work

 Restrictions on when and how the work can be performed
Contract Modification March 2009

Contract Modification Process 13-17

13.6.4 REQUEST CONTRACTOR TO PREPARE A PROPOSAL

Once the scope of work has been identified, prepare a letter requesting the Contractor to 

develop a price proposal for the proposed modification. Include the following in the letter:

 Proposed modification number (Note: To the extent possible, modifications should be 

numbered sequentially. If an earlier proposed contract modification is voided, do not use 

that number for your new modification)

 Scope of work

 Request to prepare a price proposal for the identified scope of work

 Preferred pricing format (square meter, lump sum, day, etc.)

 Time

 Date by which the price proposal should be submitted to the Project Engineer and/or COE

A good request to the Contractor would resemble that shown below.

Dear “Contractor:”

As discussed with you on January 16, FHWA plans to have you pave the section of road 

between Stations 10+00 and 20+00. This added work will be covered in Contract 

Modification No. 006.

Please submit a price proposal based on the following information:

 Place hot asphaltic concrete pavement between Stations 10+00 and 20+00

 3-inch depth, 24-foot width, see Plan Sheet A.2 for typical section

 Comply with Section 401 specifications

 Place the pavement in one lift

 Estimated quantity is 450 tons

 Work will be measured and paid by the ton

 Work will be paid under Item M02 40101, Hot Asphaltic Concrete Pavement

The paving between Station 10+00 and Station 20+00 must be completed by September 14, 

2008.

Please submit your price proposal to me by February 20, 2008.

13.6.5 PREPARE AN INDEPENDENT GOVERNMENT ESTIMATE

IGEs are required for all priced contract modifications except modifications to exercise fixed 

priced options (FAR Part 17).

A well-prepared IGE is essential if the Government is to receive a fair and reasonable price for 

the contract modification work. Without an accurate IGE, the Government has no basis upon 

which to evaluate the Contractor’s proposal. Therefore, it is imperative to prepare the IGE prior

to receiving the Contractor’s proposal and to not base the IGE on data furnished by the 
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13-18 Contract Modification Process

Contractor. The level of detail should be commensurate with the complexity and value of the 

modification.

Sign and date the IGE once it is completed. Also, label the top of the IGE “For Official Use 

Only.” Do not disclose the IGE prior to conducting negotiations with the Contractor.

IGEs can be cost-based or price-based, as explained in Sections 13.6.5.1 and 13.6.5.2, 

respectively.

13.6.5.1 Cost Based IGEs

Step 1. Describe the general scope of the work, the location, and site characteristics.

Include this information in the Background section of the IGE.

A good understanding of what the work entails is critical to developing an accurate IGE. In 

developing the scope of work, consider the following questions: 

 What needs to be constructed, performed, or changed? 

 What quantities are involved? 

 Where will the work occur? 

 What type of site conditions will be encountered? 

Example

This IGE calculates the cost to excavate 52,500 cubic yards of material and place it in fills. The 

additional excavation work will occur between Station 9+500 and 14+200. While the contractor 

has the right to place the material anywhere within the 10 mile project limits, most of the 

excavated material will be placed between Stations 9+000 and 14+800.

The material to be excavated consists of silty gravels. No rock excavation is expected and the 

geotech report indicates that all of the material will be suitable.

Step 2. Determine HOW the work will be performed – high level.

Include this information in the Background section of the IGE.

The purpose of this step is to engage the critical thinking needed for Step 3. Explain the 

concept and how the work will be performed logistically. List the required equipment, labor, and 

materials. Do this at a high level. The details will be added in Step 4. 

Example

Most of the cuts are near large embankments. Therefore, the equipment will be a blend of dozer 

push and off-road trucks. Material will be placed with another D6 dozer, rollers and water trucks. 

Most of the excavation for the change will be sliver cuts, which is drastically different than the 

20401 work covered in the original bid item.
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Contract Modification Process 13-19

Step 3. Is the nature of the work similar to an existing contract item?

Step 2 identified how the Contractor is likely to approach the work. If this approach is similar to 

an existing bid item or an item in a recent and competitively bid contract, you may be able to 

use the unit price for that item. Skip to the Price-Based IGEs section (Section 13.6.5.2) for 

more information on using bid item prices for the IGE. If the approach identified in Step 2 is not 

similar to an existing bid item or an item in a recent and competitively bid contract, it will be 

necessary to develop the IGE based on the cost of the work as outlined in Step 4 below.

Example

The 20401 quantity in the original contract consisted of major cuts and fills. This is drastically 

different than the 20401 work in the modification.

Step 4. Determine the method of measurement.

Include this information in the Background section of the IGE.

At some point in the IGE process, the method of measurement must be identified. The various 

methods of measurement are defined in Section 109 of the Standard Specifications. When 

selecting a method, consider the accuracy as well practicality. For example, the most accurate 

way to measure borrow might be by the ton, but if no scales are available, it would be sensible 

to use truck measure (cubic yards) to establish the quantity rather than having the Contractor 

mobilize scales.

Step 5. Determine what equipment will be used to perform the work and its cost.

Include this information in the Equipment Support Data section of the IGE.

First, identify the type and size of equipment that will be used to perform the work. Consider 

what is reasonable for the nature of the work, but also factor in what the Contractor has 

available at the site. For example, if a D4 dozer would be able to perform the work, but the 

Contractor’s smallest dozer at the project is a D8, it may be more cost effective to use the D8 

since it wouldn’t require an additional mobilization. Identify the type of equipment (loader, front 

end), the brand name (Caterpillar), the model number (950G), and the year manufactured 

(2004).

Second, determine the cost. For Contractor-owned equipment, the preferred method is to use 

the Contractor’s equipment rates, computed by a certified public accountant. However, these 

rates are often difficult to obtain and therefore the U.S. Army Corps of Engineer’s (USACE) 

Construction Equipment rates are most commonly used. For rented equipment, always use the 

actual rented rate, adjusted as explained below. Rates derived from other equipment manuals 

(e.g., Blue Book, etc.) should be used with direction from the COE. 

U.S. Army Corps of Engineer’s Equipment Rates

The U.S. Army Corps of Engineer’s publishes equipment rates for twelve regions across the 

United States. Go to http://www.nww.usace.army.mil/cost to find the rates for the region in which 

the project is located. 
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13-20 Contract Modification Process

Rental Rates

If the equipment is rented, the corresponding rental rate should be used. When IGE equipment 

rates are based on rental rates, be sure to document how the rental rate was determined (e.g., 

phone call quote, faxed quote, etc.).

Rental companies usually lease equipment by the month or week. To determine the hourly rate 

for equipment rented on a monthly basis, divide the monthly rate by 176 hours. (Reference: 

Contract Administration Core Curriculum Participant’s Manual and Reference Guide 2006, Page 

85.) To determine the hourly rate for equipment rented on a weekly basis, divide the weekly 

rate by 40 hours.

Step 6. Determine the duration of the modification work. 

Include this information in the Time Support section of the IGE. 

The duration (working days) needs to be calculated to determine the overall cost of the 

modification. Duration is based on the quantity of work to be performed and the production rate. 

The production rate is based on the nature of the work, site conditions, equipment capability, 

and other factors. Production rates can be based on estimates for similar work under similar 

conditions (e.g., 150 cubic yards/hour as in Example 1 below) or can be calculated based on the 

detailed situation using project experience or references such as the Caterpillar Performance 

Handbook. Example 2 below shows how to calculate the duration for removing and disposing of 

slide material.

Example 1

Most of the work will be a blend of dozer push and off-road truck haul since most of the cuts are near 

larger embankments. Therefore a conservative production rate is 150 cy/hour.

Duration = 52,500 cy ÷ 150 cy/hr = 350 hours = 35 days (Assuming 10-hour workdays)
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Contract Modification Process 13-21

Example 2

Assumptions

Quantity 5250 ton

Longest Haul Length 1 miles

Shortest Haul Length 1 miles

Hours per shift 10 hours/day

Load and Dump rate 10 minutes each

Avg. truck speed 30 mph

Capacity of truck 14 ton

No. of trucks 3 trucks

Production Rates & Duration

Avg. 1- way haul dist = 1 miles

Time for one way trip = 1 miles / 30 mph X 60 min/hr = 2.0 minutes

Cycle time Load 10

Haul 2.0

Dump 10

Return 2.0

Total 24 min

Loads per truck per day = 10 hours/day X 60 min/hr ÷ 24.0 min/load = 25.0 loads/trk day

USE 25 loads/trk day

Daily production = 3 trucks X 14 tons/ trk X 25 lds/ trk day = 1050 tons/day

Duration = 5250 tons / 1050 tons/day = 5.0 days

USE 5.0 days

Worksheet for Calculating Haul Duration

Note: Assumed 145 pcf for mud slide material as it has the consistency of 

concrete

Note: High load and dump rate due to NPS having to check each load for 

unexploded ordinance.

Step 7. Determine labor requirements and costs.

Include this information in the Labor Support Data section of the IGE.

Labor requirements are based on the nature of the work and the equipment used. There are 

two ways to calculate labor costs – using the Davis-Bacon rates in the contract or using the 

actual payroll rates. Either method is acceptable but the actual payroll rate might be higher than 

Davis-Bacon and therefore would yield a more accurate estimate of the Contractor’s cost.

Davis-Bacon

To determine the labor rate using the Davis Bacon rates, go to the Minimum Wage Schedule in 

the contract. First identify which classification the employee falls under (e.g., carpenter, power 
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13-22 Contract Modification Process

equipment operator, etc.). Then determine the appropriate group and zone (if applicable) for 

the project.

In addition to the employee’s wages and fringe benefits, the Contractor also incurs indirect costs 

such as: FICA, Medicare; state and federal unemployment taxes; workers compensation; 

general liability insurance premiums; paid vacation and sick leave; and health, dental and/or 

disability insurance premiums paid by the company. These costs are commonly referred to as 

payroll burden. Payroll burden rates vary from company to company, so request the rate from 

your Contractor.

Note that when calculating the overtime rate, the sum of the base rate and zone are multiplied 

by 1.5, then the fringe benefits are added. Do not multiply the fringe benefits by 1.5.

Also, it’s important to know whether the Contractor pays fringe benefits in cash to the employee, 

or if the fringe benefits are placed in a bona fide benefit program. If they are paid in cash, 

payroll burden is applied to the fringe benefits. If they are paid into a program, payroll burden is 

not applied to the fringes benefits. Check the Contractor’s payroll to determine how they pay 

fringe benefits.

Example

!! Note - This example assumes the fringe benefits are paid in cash to the employee. Thus, 

payroll burden is applied to the base rate and fringe amount.

Labor Rate - Regular Time

Labor Description Group Base Rate Zone Fringe Subtotal 28% Burden Total Hourly Rate

Carpenter - $28.41 - $11.16 $39.57 $11.08 $50.65

Flagger 5 $19.22 - $10.10 $29.32 $8.21 $37.53

Laborer 3 $23.03 - $10.10 $33.13 $9.28 $42.41

Operator, Group 2 2 $30.07 - $10.35 $40.42 $11.32 $51.74

Operator, Group 3 3 $29.21 - $10.35 $39.56 $11.08 $50.64

Operator, Group 4 4 $28.59 - $10.35 $38.94 $10.90 $49.84

Truck Driver 3 $24.65 - $10.00 $34.65 $9.70 $44.35

total regular hourly rate = (base rate + zone + fringe) x (1 + % burden)

Labor Rate - Overtime

Labor Description Group Base Rate Zone OT Rate Fringe Subtotal 28% Burden Total OT 

Hourly Rate

Carpenter - $28.41 - $42.62 $11.16 $53.78 $15.06 $68.83

Flagger 5 $19.22 - $28.83 $10.10 $38.93 $10.90 $49.83

Laborer 3 $23.03 - $34.55 $10.10 $44.65 $12.50 $57.15

Operator, Group 2 2 $30.07 - $45.11 $10.35 $55.46 $15.53 $70.98

Truck Driver 3 $24.65 - $36.98 $10.00 $46.98 $13.15 $60.13

total overtime hourly rate = [(1.5 x (base rate + zone)) + fringe)] x (1 + % burden)
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Contract Modification Process 13-23

Step 8. Determine specific material requirements, specifications, and costs.

Include this information in the Materials sections of the IGE.

To accurately identify the material costs, the requirements or specifications must be known. 

Consider the following questions:

 What is the aggregate gradation?

 What class of concrete?

 What type of geotextile?

 What size of culvert?, etc. 

It is also important to know the shipping cost if applicable. Include state or local sales taxes as 

well.

The most accurate estimate of material costs is to call the supplier for a quote. If possible, get 

more than one quote – this ensures the price is reasonable, plus it will be useful information 

during negotiations.

Example

Material: 3⁄8” Grout

Specification: 235 lb/cy cement, 67 lb/cy fly ash, 1,598 lb/cy sand, 252 lb/cy water

Supplier: Ardstone of Columbia Falls is the only supplier within 100 miles

Price Quote: $140/cy for material; an additional $14/cy for delivery to Glacier National Park

Total Price: $154/cy

Step 9. Summary Section of the IGE

Transfer information such as the item quantity, production rate, duration, equipment rates, labor 

rate, and material costs to the Summary section. Fill in the hours and units to calculate the 

respective costs.

The Summary section shows the equipment, labor, and material costs. It also includes 

overhead, profit, and bond amounts, and shows the final unit price for the IGE.

The person who prepared the IGE should sign and date the Summary section.

Step 10. Add overhead.

Include this information in the Summary section of the IGE.

The Contractor is entitled to overhead on all modification work, regardless of the operative FAR 

clause. 

Overhead compensates a Contractor for costs not included in their direct equipment, labor, or 

material rates. The Contractor’s overhead rates generally range from approximately 7% to 

14%, but rates as high as 22% are not uncommon for small companies. A reasonable rate to 

use for the IGE is 10%, but use the Contractor’s audited rate if you have it.
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13-24 Contract Modification Process

Overhead is applied to all direct costs (e.g., equipment, labor, and materials).

Step 11. Add profit.

Include this information in the Summary section of the IGE.

The Contractor is entitled to profit as defined by the particular FAR clause the work falls under. 

For example, profit is allowed on modifications under the Changes, Variation in Estimated 

Quantity, and Differing Site Condition clauses, but when determining compensation for work 

under the Suspension of Work clause, the Contractor is not entitled to profit.

Profit is applied to all direct and indirect costs (e.g., equipment, labor, materials, and overhead).

The rate of profit should fairly reflect the nature of the work and the risks involved. If the 

modification work is more difficult than the original contract work, a higher profit rate may be 

warranted. When the modification is priced after the costs have been incurred, a lower rate of 

profit may be appropriate. Profit rates between 5% and 15% are generally acceptable, 

depending on the nature of the work.

If the work is performed by a subcontractor, the subcontractor is entitled to overhead and profit, 

and the prime contractor is entitled to those markups as well. Prime contractor markup usually 

ranges between 5% and 15% for overhead and profit. Some prime contractors request a 

combined markup for overhead and profit and some may show them separately.

The following example shows how to compute subcontractor overhead and profit, and prime 

contractor markup.

Example

Equipment, labor, and material subtotal $608,527.50

Subcontractor Overhead 10% $60,852.75

subtotal = $669,380.25

Subcontractor Profit 7% $46,856.62

subtotal = $716,236.87

Prime Contractor Markup 5% $35,811.84

$752,048.71

Bond 0.60% $4,512.29

total = $720,749.16

Item quantity (cubic yards) 52,500

unit price (per cubic yard) $13.73

Step 12. Add bond cost.

Include this information in the Summary section of the IGE.

Just after a contract is awarded, the Contractor must secure a performance bond. The purpose 

of this bond is to guarantee the project will be completed, either by the Contractor or through its 

surety. At the end of the contract, if the final contract amount is higher than the award amount, 
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Contract Modification Process 13-25

the bond premium is adjusted upward. If the final amount of the contract is less than the award 

amount, the Contractor receives a credit.

Each modification (whether they increase or decrease the contract amount) should include an 

amount for the bond premium. This is usually between 0.5% and 1.5% depending on the 

volume of work. To determine the actual percentage the Contractor is paying, review the bond 

documentation submitted for the initial mobilization payment.

Apply the bond premium to the final price of the modification (e.g., direct and indirect costs, and 

profit) as in the example above.

Step 13. Determine effect on other contract work.

Include this information in the Time Support section of the IGE.

A more difficult part of the IGE is determining the modification’s impact on other work. Some 

questions to consider include the following:

 Does the modification work disrupt the Contractor’s haul for another item?

 Does the modification work take resources away from other contract work?

 Does the modification work push other contract work into a later time period, thus affecting 

fuel or material prices, or causing additional remobilization costs?

 Does the modification work change how a Contractor was going to approach other contract 

work?

If the answer is yes, the impact must be defined (i.e., what equipment and labor for how many 

hours) and the costs must be estimated as outlined in this section.

Step 14. Determine the modification’s effect on the contract fixed completion date.

Include this information in the Time Support section of the IGE.

The IGE not only needs to estimate the Contractor’s price to perform work, but also how the 

contract fixed completion date is affected. The two main sources for analyzing time impact are 

common sense and the Contractor’s construction schedule.

Review the Contractor’s schedule and consider the following:

 Is the modification work on the critical path?

 Does the modification work affect when critical path work can be performed?

 Does the modification work take resources away from critical path work?

 If the modification adds time to the critical path, does it push the fixed completion date into a 

less (or more) favorable season?
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13-26 Contract Modification Process

13.6.5.2 Price-Based IGEs

In Step 3 of Section 13.6.5.1, you determined whether or not it was appropriate to consider

using a bid item from an existing contract as your IGE price. 

Ideally, the following conditions should be met before using an existing bid item price (from the 

subject contract or another contract):

 the contract from which the bid price is obtained must be a competitively bid contract;

 the contract from which the bid price is obtained must have been awarded within the last 12 

months; and

 two or more contractors must have provided bids. The engineer’s estimate does not count 

as a bid.

While it is also best if the nature and quantity of the work is similar, adjustments may be made 

to reflect any disparities.

If the conditions in the above bullets are met, develop the IGE using one of the options 

described in Sections 13.6.5.2.1 through 13.6.5.2.3 below.

13.6.5.2.1 Preferred Option - Use Bid Tabs from Current Contract

1. Review the bid tabs from your awarded contract.

2. Compare your contractor’s price to the other bidders’ prices (for the particular item).

3. Look at the other bidders’ prices. If there are any outliers – high or low, eliminate them from 

consideration. Average the other prices. 

4. If your contractor’s price is comparable, say within 10 or 15 percent of the average of the 

other bidders, use your contractor’s price for your IGE, then make adjustments as described 

in Section 13.6.5.2.3 below.

5. If your contractor’s price is not comparable, use the average price that you developed in 

Item 3 above. It is important to note that while the average bid price developed in Item 3 is 

your IGE price, it is not necessarily your negotiation objective. When the contractor’s bid 

price is lower than the average price (as determined in Item 3), your initial negotiation 

objective should be the contractor’s price. If the contractor can justify why its price for the 

modification work should be higher than its original bid price, it is acceptable to negotiate a 

price between the original bid price and your IGE.

13.6.5.2.2 Less Preferred Option – Use Bid Tabs from Other Contracts (Bid History 

Browser)

This method is less preferred because it introduces many variables, such as: 
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Contract Modification Process 13-27

 Is the project in the same area/state?

 Is the work really of a similar nature?

 Were the contractors faced with the same risk? 

If you are confident the bid items from other contracts are similar, use the bid history data as a 

price source. Find three or more contracts with the most similarity to the current contract 

(quantity, location, site conditions, etc.). Ideally, the requirements listed in the bullets above 

should be met (i.e., competitively bid contracts; awarded within last 12 months; two or more 

bidders). Review the prices and throw out any outliers and average the remaining prices..

13.6.5.2.3 Least Preferred Option – Use Price Agreed to in a Previous Modification

Sometimes the items in a modification will be similar to items in a previously executed 

modification. It is acceptable to use unit prices from the previously executed modification ONLY 

if:

 Unit prices in the previous modification were estimated as provided in this manual,

 The quantity is similar,

 The situation / nature of work is similar, and

 The price from the previous modification is truly fair and reasonable for the new modification.

When using prices from the existing contract or another contract, always consider the following 

adjustments:

 Location

 Haul distance

 Different materials

 More or less quantity

 Difference in how work will be performed

 Inflation

 Fuel prices

Include the following information in the price-based IGE:

 Description of work (Step 1)

 How the work will be performed (Step 2)

 Justification for using bid prices (Step 3)

 Method of measurement (Step 4)

 Determine the duration (Step 6)

 Summarize (Step 9)

 Determine effect on other contract work (Step 13)

 Determine effect on contract fixed completion date (Step 14)

13.6.6 COMPLETE A PROCUREMENT REQUEST (PR)

Use the IGE as the starting point for establishing the PR dollar amount. The PR must be 

approved before any modification work begins and before you commence negotiations with the 

Contractor. 
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13-28 Contract Modification Process

Funds for the proposed modification can originate from two places:

 Within the Contract

These are project funds that will not be used due to quantity underruns or unused 

incentives. In the quantity underrun case, the contract modification should delete the 

unnecessary items and quantities in order to make those funds available for the added work 

in the modification. If funds for the added work will come from unused incentives, specify 

which item(s) the funds are coming from (e.g., Item 40101, Item 30101, etc.). Before using 

incentive money as a source of funds for the modification, ensure that the incentive money 

is definitely unneeded. Even though funds for a modification are provided by ‘within the 

contract’ sources, the Financial Manager needs to approve the PR. This will facilitate proper 

tracking of funds. Specific Division policy will dictate the need for this type of PR.

 Outside the Contract

These funds come from the respective Federal Lands Highway Program (Forest Highway, 

Park Road and Parkways, etc.).

13.6.7 DETERMINE IF COST AND PRICING DATA ARE REQUIRED

Cost or pricing data may be required in the event the modification exceeds $650,000 aggregate 

(i.e., consider both increases and decreases when determining the price adjustment). This 

requirement does not apply when unrelated and separately priced changes for which cost or 

pricing data would not otherwise be required are included for administrative convenience in the 

same modification. 

If the IGE is greater than $650,000 (aggregate), the COE or other designated official should 

review the FAR and advise you on the cost or pricing data requirements for your particular 

situation. If the IGE is greater than $650,000 and it is determined that Cost or Pricing Data is 

not required, document the exception used and the basis for using it. Include this information in 

the negotiation memorandum (see Section 13.6.10).

For modifications less than $650,000 (add the amount of increase to the amount of decrease of 

like items to determine whether the threshold is met), you should not request the Contractor to 

provide cost or pricing data.

13.6.8 ANALYZE THE CONTRACTOR’S PROPOSAL

When you compare the Contractor’s proposal to the IGE, you are trying to determine: 

 if the Contractor and you have the same understanding of the scope of work, 

 if their overall price is comparable to yours, 

 what elements of the proposal you agree and differ on, and 

 what the fair and reasonable price actually is.
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Contract Modification Process 13-29

13.6.8.1 Techniques for Analyzing the Contractor’s Proposal

There are three techniques for analyzing a Contractor’s proposal: 

 price analysis, 

 cost analysis, and 

 profit analysis.

13.6.8.1.1 Price Analysis

Price analysis is the process of examining and evaluating a proposed price without evaluating 

its separate cost elements or proposed profit. 

Various price analysis methods may be used to ensure a fair and reasonable price, given the 

circumstances surrounding the modification. Examples of such methods include, but are not 

limited to, the following:

 Comparing proposed prices with IGEs.

 Comparing contract unit prices with proposed prices for the same or similar items.

 Comparing proposed prices with historical bid data for similar items.

13.6.8.1.2 Cost Analysis

Cost analysis is the review and evaluation of the separate cost elements and profit in a 

Contractor’s proposal, and the application of judgment to determine how well the proposed 

costs represent what the cost of the modification should be. When performing cost analysis, 

your goal is to determine if the costs are: 

 reasonable (i.e. are the estimated hours accurate for the type of work; are the equipment 

costs based on audited rates or USACE rates, etc.), 

 allocable (are the charged costs associated with the item – for example, is the Contractor 

charging excavation costs to an unrelated culvert change), and 

 allowable (FAR Part 31 contains a list of specific cost items that are unallowable on 

Government contracts. Examples include bad debts, contributions and donations, 

entertainments, and losses on other contracts.).

Various cost analysis techniques and procedures may be used to ensure a fair and reasonable 

price, given the circumstances surrounding the modification. Examples of such techniques 

include, but are not limited to, the following:

 Comparing the individual cost elements of the Contractor’s proposal to: 

o actual costs previously incurred by the same Contractor

o independent government cost estimates

o various cost schedules (USACE equipment rates, Means, etc.)

 Verifying cost or pricing data and evaluating cost elements, including:
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13-30 Contract Modification Process

o the necessity for, and reasonableness of, proposed costs, including allowances for 

contingencies

o the application of audited or negotiated indirect cost rates and labor rates

13.6.8.1.3 Profit Analysis

Both the Government and the Contractor should be concerned with profit as a motivator of 

efficient and effective modification performance. Negotiations aimed merely at reducing prices 

by reducing profit, without proper recognition of the function of profit, are not in the 

Government’s best interest. Negotiation of extremely low profits, use of historical averages, or 

automatic application of predetermined percentages to total estimated costs do not provide 

proper motivation for optimum modification performance.

If cost or pricing data is required, use the ‘structured approach’ (FAR Clause 15.404-4) to 

determine the amount of profit. 

When cost or pricing data is not required, determine the amount of profit as follows. If a change 

or modification calls for essentially the same type and mix of work as the basic contract and is of 

relatively small dollar value compared to the total contract value, the Government may use the 

basic contract’s profit rate as the pre-negotiation objective for the modification. For post-priced 

modifications, the Contractor’s risk has been eliminated. This factor should be considered when 

determining the profit rate for post-priced modifications. 

13.6.8.2 Using the Techniques to Analyze the Proposal

When Cost or Pricing Data is not required, applicability of the techniques mentioned above will 

depend on what level of analysis you are conducting.

Since your first request to the Contractor was for a ‘price’ proposal (i.e., no cost breakdown), the 

initial analysis technique should be price analysis. Compare the Contractor’s bottom line price 

to the IGE price. If the Contractor’s price is comparable to the IGE price, it is not necessary to 

obtain additional information from the Contractor or to conduct further analysis.

If the Contractor’s price is not within an acceptable range of the IGE, you should consider 

requesting a cost breakdown of the Contractor’s proposal (see Section 13.6.9). Using the 

Contractor’s cost breakdown, you then can perform cost analysis to determine where the 

difference originates and which elements of the proposal you need to discuss with the 

Contractor. For example, you and the Contractor may agree on the type of equipment needed 

for the work, but may differ significantly on the cost per hour or the number of hours required to 

perform the work. The purpose of the cost analysis is to identify the elements that you are 

going to negotiate with the Contractor. In addition, you will develop your negotiation objective 

based on what you have gleaned from analyzing the Contractor’s cost proposal.

When the Contractor’s proposed price is significantly lower than the IGE, you need to ensure 

you and the Contractor completely understand the scope of work. Do not automatically agree to 

a price that is significantly lower than the IGE, thinking it’s a good deal for the Government. On 

the other hand, if you and the Contractor clearly agree on what is involved with performing the 

work, don’t feel obligated to negotiate them upward.
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Contract Modification Process 13-31

When Cost or Pricing Data is required, you will need to analyze the Contractor’s proposal using 

cost, price, and profit analysis. 

13.6.9 ACCEPT THE CONTRACTOR’S PROPOSAL OR PERFORM ADDITIONAL 

FACT FINDING

If the Contractor’s price proposal is determined to be fair and reasonable, or if you have enough 

information to formulate your negotiation objective, proceed to Section 13.6.10.

If your prices differ appreciably from the Contractor’s and you cannot accept their price as is, 

you should request more information from the Contractor. Ask them to provide you with a cost 

breakdown of the work. This breakdown should include: 

 equipment types, rates, and hours; 

 labor rates and hours; 

 material costs; and 

 overhead and profit. 

A good request for additional information would resemble the following:

Dear “Contractor:”

I have received and reviewed your February 20 price proposal for CM 002. Your price for the 

new 40101 work is significantly higher than the government’s estimate. In order for me to 

evaluate the reasonableness of your price, I request that you provide a cost breakdown for 

the work identified in my February 1 letter. In this breakdown, please include: equipment 

types, hours, and rates for the various operations; labor rates and hours; material costs 

(including any quote from subs or suppliers); and overhead and profit.

To expedite resolution of this modification, I would appreciate if you could provide the cost 

breakdown to me by March 3.

13.6.10 PREPARE A NEGOTIATION MEMORANDUM

The negotiation memorandum is required for all proposed modifications. The pre-negotiation 

elements required by FAR 15.406-1 and TAM 1215.406-170, and the negotiation documentation 

required by FAR 15.406-3 and TAM 1215.406-370 are addressed in the negotiation 

memorandum.

The three main purposes of the negotiation memorandum are to: 

1. establish the Government’s negotiation position; 

2. obtain the contracting officer’s approval of the negotiation objectives (if necessary) or the 

proposed final price; and 

3. justify fair and reasonable pricing. 

Project Engineers are not authorized to accept the Contractor’s price or negotiate with 

the Contractor until the appropriate CO has approved the proposed price/objective.
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13.6.11 NEGOTIATE WITH THE CONTRACTOR

The goal of negotiations is to reach agreement on a fair and reasonable price. A fair and 

reasonable price does not require that agreement be reached on every element of cost, nor is it 

mandatory that the agreed price be within the Government’s initial negotiation position. 

Successful negotiations depend on good faith and fair dealing, and an understanding of both 

parties’ interests.

13.6.11.1 The Government’s Negotiator

In most cases, the Project Engineer and/or the COE is the Government’s negotiator. The 

Project Engineer is approved to negotiate within the dollar range approved by the CO in the 

negotiation memorandum. 

13.6.11.2 Agenda for Negotiations

The agenda can play an important part in negotiations and should be prepared by the Project 

Engineer and/or COE. Some negotiators will initially discuss non-controversial elements at the 

negotiations in order to create a climate of cooperation; others prefer to start by bringing up an 

issue where the Government has strength to create positive momentum. In any case, all 

elements of the contract modification must be clear to both parties, including the work involved, 

any unusual features or technicalities, time required for work, and impacts on other work.

13.6.11.3 Dealing with New Information

During negotiations, a new concept or additional information that alters the basics of the prenegotiation objectives could be brought forth. Review the new information, and if additional time 

for study is required, advise the Contractor and reschedule the negotiations as appropriate.

13.6.11.4 Negotiation Minutes

The Project Engineer should document each negotiation session with minutes of the 

negotiations. These minutes may be used to complete the negotiation memorandum.

13.6.12 COMPLETE THE NEGOTIATION MEMORANDUM

Complete the negotiation memorandum.

13.6.13 AMEND THE PR

If the final negotiated amount is greater than the “total estimated cost” shown on the PR, the PR 

will require an amendment to the higher cost.
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Contract Modification Process 13-33

13.6.14 DETERMINE WHAT TYPE OF CONTRACT MODIFICATION TO ISSUE

13.6.14.1 Bilateral Contract Modification

If the Contractor and the Government have reached full agreement on the work, price, and time 

considerations included in the modification, issue a bilateral modification and include the release 

language (SF 30, Block14) as specified by Division Policy.

13.6.14.2 Bilateral Contract Modification with Exceptions

When only a portion of a modification can be agreed upon, prepare a bilateral modification, 

identifying the agreed upon elements, as well as the elements where no agreement was 

reached. For instance, if the contract modification increases the borrow excavation, equipment 

rental, and traffic control quantities, and the Contractor agrees with prices for the borrow 

excavation and equipment rental, but not the traffic control items, the modification (SF-30a) 

should state:

In consideration of the equitable adjustments paid pursuant to this contract 

modification, the Contractor hereby releases the Government from any and all 

liability under this contract due to any facts or circumstances arising out of this 

contract modification, except for direct and indirect costs for the following:

Temporary Concrete Barrier

Type A Warning Light

The Contractor reserves the right to pursue further administrative action on 

Temporary Concrete Barrier and Type A Warning Light as established within this 

supplemental agreement under FAR Clause 52.233-1, Disputes.

In the “exception,” specifically state whether the exceptions apply to direct costs only, indirect 

costs (overhead, profit, impact, delay, etc.) only, or to both direct and indirect costs. Clear and 

concise wording is essential when writing exceptions to the release language.

13.6.14.3 Unilateral Contract Modification

If FHWA and the Contractor cannot reach agreement, the CO should issue a unilateral contract 

modification. Exhaust all possibilities for getting a bilateral modification (or bilateral with 

exceptions) before issuing a unilateral contract modification.

Unilateral modifications are also used to issue change orders (see Section 13.3.2).

13.6.15 PREPARE THE CONTRACT MODIFICATION

13.6.15.1 Contract Modification

The contract modification consists of the following:
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13-34 Contract Modification Process

 SF-30 (See Exhibit 13.3-A)

 Associated support documents for the SF-30 as specified by Division Policy

 Plans, details, specifications, drawings or other data required to clearly state the nature and 

scope work required by the modification

13.6.15.2 Supporting Documentation

Include the following documents with the support package:

 Procurement Request (amended if applicable)

 IGE

 Contractor’s price proposal

 Negotiation Memorandum

 Documentation of cross-functional team involvement and concurrence

 Pertinent Correspondence 

o Contractor

o FHWA (memos, e-mails, client and contractor correspondence)

o Miscellaneous (client, resource agency, etc.)

 Records of any relevant discussions or field reviews

 Certification for cost or pricing data (if required)

 Concurrence from client agencies if needed, including commitments of any funding they 

may provide

 Complete the Contract Modification Database Report (see Exhibit 13.6-B). The Contract 

Modification Database Report is used to measure the amount of and reasons for contract 

growth. The Database Report is also used to track modification timeliness. Complete the 

report and include it with the contract modification package.

13.6.16 SEND THE CONTRACT MODIFICATION TO THE CONTRACTOR FOR 

SIGNATURE

Once the contract modification is approved by the COE, it can be sent to the Contractor.

13.6.17 REVIEW, APPROVE, AND DISTRIBUTE CONTRACT MODICATION

Distribute the contract modification according to Division Policy.
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Contract Modification Process 13-35

Exhibit 13.6-B Contract Modification Database Report

References March 2009

References 14-1

CHAPTER 14

REFERENCES

Federal Lands Highway Manual, Chapter Subsection 1-C-3, Partnering

Partnering, A Concept for Success, Associated General Contractor (AGC), Washington, DC

A Guide to Partnering for Construction Projects, Corps of Engineers, Mobile District, January 

1990

Partnering Implementation Guide, Eastern Federal Lands Highway Division

Partnering Guide for Arizona Department of Transportation, by Colonel Charles E. Cowan

Managing Conflict on Construction Contracts (Partnering), by Norman C. Anderson