Construction Contract
Content
Construction Contract
Administration Manual
Revised November 2002
Construction Contract Administration Manual
November 2002
Manual Notices
Manual Notice 2002-2
To:
Users of the Construction Contract Administration Manual
From:
Thomas R. Bohuslav, P. E., Director, Construction Division
Manual:
Construction Contract Administration Manual
Effective Date: November 1, 2002
Purpose
This manual notice is intended to transmit changes to the content of the Construction
Contract Administration Manual.
Overview of Changes
The following section of Chapter 6 was revised to reflect changes:
♦
Section 2, Material Testing
•
•
added Independent Assurance tests and program information
reduced number of Guide Schedule of Sampling and Testing tables to two tables one English and one Metric.
Contents
The manual change issues the above changes and additions online.
Instructions
Access the new version through the TxDOT Online Manual System.
Effective Date
This manual notice is effective November 1, 2002.
Contact
For more information or questions regarding these changes, please contact David Belser of
the Materials & Pavements Section of the Construction Division.
Manual Notice 2002-1
To:
Users of the Contract Administration Handbook for Construction Projects
From:
Thomas R. Bohuslav, P. E., Director, Construction Division
Manual:
Construction Contract Administration Manual
Effective Date: September 1, 2002
Purpose
To transmit the new Construction Contract Administration Manual (CCAM) which replaces
the Contract Administration Handbook for Construction Projects.
Contents
The manual has been completely rewritten and reorganized. The chapters and appendix of
the Construction Contract Administration Manual are as follows:
♦
Chapter 1, Introduction
♦
Chapter 2, Pre-Award Activities
♦
Chapter 3, Post-award Activities
♦
Chapter 4, Job Records
♦
Chapter 5, Control of the Work
♦
Chapter 6, Control of the Materials
♦
Chapter 7, Change Orders
♦
Chapter 8, Disputes and Claims
♦
Chapter 9, Legal Relationships and Responsibilities to the Public
♦
Chapter 10, Prosecution and Progress
♦
Chapter 11, Measurement and Payment
♦
Chapter 12, Environment
♦
Chapter 13, Health and Safety
♦
Chapter 14, Business Opportunity Program
♦
Chapter 15, Contractor Workforce
♦
Appendix A, Forms and Documents.
Instructions
The CCAM is available through the TxDOT Online Manual System.
Effective Date
This manual notice is effective September 1, 2002.
Contact
For more information or questions regarding the new manual, please contact Renee Frisinger
or John Jameson of the Administrative Operations Branch of the Construction Division.
Manual Notice 2001-2
To: Users of the Contract Administration Handbook
– for Construction Projects
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Revision to the Contract Administration Handbook
Date: April 2, 2001
Purpose
This manual notice transmits necessary changes to Chapter 4, "Section 6, Control of
Materials" due to the inclusion of Appendix C, "Quality Assurance Program for
Construction" added in February 2001.
Effective Date
This manual notice is effective April 2, 2001.
Overview of Changes
Various changes made throughout the section.
Contact
Questions regarding the contents may be addressed to Mr. David Belser (512/465-7740) of
the Materials Section of the Construction Division.
Manual Notice 2001-1
To: Users of the Contract Administration Handbook
– for Construction Projects
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Revision to the Contract Administration Handbook
Date: February 1, 2001
Purpose
This manual notice adds the Quality Assurance Program for Construction as Appendix C.
Effective Date
This manual notice is effective February 1, 2001.
Overview of Changes
The Quality Assurance Program for Construction assures that the materials and
workmanship incorporated into highway construction projects are in reasonable conformity
with the requirements of the approved plans and specifications. This program also complies
with the criteria in 23 CFR 637(B).
This program allows for the use of validated contractor-performed quality control (QC) test
results as part of an acceptance decision and for the use of test results obtained by
commercial laboratories in the Independent Assurance Program.
Contact
Questions regarding the contents may be addressed to Mr. David Belser (512/465-7740) of
the Materials Section of the Construction Division.
Manual Notice 99-1
To: District Engineers, District Construction Engineers,
Area Engineers, Holders of the Area Engineers’ and Inspectors’
Contract Administration Handbook
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Releasing Contract Administration Handbook
− for Construction Projects
Date: August 11, 1999
Purpose
To release the Contract Administration Handbook in order to update the Area Engineers’
and Inspectors’ Contract Administration Handbook that is currently being used.
Contents
This publication contains information assisting the area engineers and inspectors as well as
other project personnel in administering construction contracts. It contains references to
other publications when further referencing may be needed and is not intended to be a
“stand-alone” document.
Coordination
This handbook was reviewed and revised by users in the districts, the affected personnel in
the Construction Division and other divisions (offices) and the Federal Highway
Administration (FHWA).
Instructions
This handbook completely replaces the January 1996 edition of the Area Engineers’ and
Inspectors’ Contract Administration Handbook, which had two revisions in June 1996 and
February 1997, and is now, obsolete. The previous edition should be recycled and replaced
with this new edition.
Contact
Questions regarding the contents may be addressed to the Contract Administration Branch
of the Construction Section of the Construction Division. Please contact the branch at (512)
416-2520.
Chapter 1
Introduction
Contents:
Section 1 — Overview..........................................................................................................1-3
Section 2 — Introduction to This Edition.............................................................................1-5
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Chapter 1 — Introduction
Section 1 — Overview
Section 1
Overview
Contract Administration
Contract administration involves numerous tasks occurring prior to and after the contract is
signed by both parties and a written work order is issued. Contract administration is one of
the most important jobs related to construction projects. All work must be administered in
accordance with the specifications, terms and conditions of the contract in particular, and
with state and federal laws, regulations, and Texas Department of Transportation (TxDOT)
policy in general. Contract administration activities include:
♦
Development of proper and accurate bid and contract documents
♦
Compliance with contract documents and specifications
♦
Enforcing State and Federal regulations
♦
Ensuring quality control by overseeing, inspecting and reviewing sampling and testing
of all materials and work
♦
Keeping and maintaining good project records
♦
Recording, verifying and preparing monthly pay estimates
♦
Negotiating and processing of change orders, supplemental agreements and other
contract modifications in a timely manner
♦
Promoting good public relations
♦
Setting and maintaining a high professional standard.
TxDOT conducts its primary activities in 25 geographical districts. Differing local needs
make decentralization of TxDOT necessary. Each district, managed by a District Engineer
(DE) is responsible for the design, location, construction and maintenance of its district
transportation system. Local field offices within the district are known as area offices. The
area office is managed by an Area Engineer (AE). Additionally, all districts have separate
offices that oversee highway maintenance activities.
Functional divisions and offices headquartered in Austin provide administrative and
technical support to the districts. The Construction Division (CST) provides general
oversight of the letting, management, and administration of highway construction contract
including:
♦
Support district construction management
♦
Pre-qualification of construction contractors
♦
Management of construction letting
♦
Claims analysis and processing
♦
Materials and testing specifications
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Chapter 1 — Introduction
Section 1 — Overview
♦
Business Opportunity Program (BOP) administration
♦
Subcontractor policy development and program administration
♦
Contractor workforce issues.
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Chapter 1 — Introduction
Section 2 — Introduction to This Edition
Section 2
Introduction to This Edition
Use of This Handbook
This manual, prepared by CST, provides DE's, AE's and their various representatives,
including inspectors and record keepers a guide for administering construction contracts.
This manual replaces the April 2001 edition of the Contract Administration Handbook for
Construction Projects. The name of this document is now changed to the Construction
Contract Administration Manual. This manual is just one component to managing a
successful construction contract. Other TxDOT resource documents include:
♦
Standard Specifications for Construction of Highways, Streets and Bridges
♦
Manual of Testing Procedures
♦
Material Inspection Guide
♦
Material Specifications
♦
Quality Assurance Program for Construction
♦
Operations Manual
♦
Laboratory Supervisors Handbook
♦
Estimates Manual
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Chapter 1 — Introduction
Section 2 — Introduction to This Edition
How This Manual is Organized
This manual is organized into 15 chapters and 1 appendix, as outlined in the following table:
Chapter:
Chapters 1
through 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Chapter 8
Chapter 9
Chapter 10
Chapter 11
Chapter 12
Chapter 13.
Chapter 14
Chapter 15
Appendix A
Manual Structure
Description:
General overview and procedures related to activities before construction work begins.
Record keeping, including project records and the requirements of the open records law.
Outlines control of work. Control of work encompasses project authority, work documents,
staking the project, inspections, and post construction evaluation.
Summarizes the control of materials covering material management, sampling and testing,
required material forms, and Buy America program.
Highlights change orders, how we process change order documents and other additional
contract agreements.
Outlines construction disputes and TxDOT's claim process.
Covers our legal relationships and responsibilities to the public.
Prosecution and progress.
Summarizes the measurement and payment process.
Provides insight into environmental issues such as hazardous material/waste handling,
biological and water resources, and cultural resource management.
Health and safety items.
Provides an overview of the Business Opportunity Program.
Covers contractor workforce items such as labor laws and On the Job Training.
Includes a listing and links to various forms, document examples and guidelines mentioned
throughout this manual.
Note: Some forms involved in the activities are not included, but users may find them in
other manuals or TxDOT’s Forms Catalog at
http://www.dot.state.tx.us/forms/txdotforms.htm.
Updating of This Handbook
Changes are constant. This manual will be updated to reflect new changes and will continue
to be improved to provide a more user-friendly document. Any suggestions or comments,
including questions, will be greatly appreciated. Please submit them to the Administrative
Operations Branch of CST.
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Chapter 2
Pre-Award Activities
Contents:
Section 1 — Pre-Bid Conference..........................................................................................2-3
Section 2 — Showing the Project .........................................................................................2-5
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Chapter 2 —
Section 1 — Pre-Bid Conference
Section 1
Pre-Bid Conference
Introduction
Pre-bid conferences are not recommended unless absolutely necessary to ensure the best
bids for the department. Bids on some projects must be rejected because of mandatory prebid conference problems. Bid documents must stand on their own. The work as described in
such documents is the only work that is required. Other requirements can not be added at a
pre-bid conference. However, addenda may be developed to clarify issues raised at the prebid conference.
When used, a pre-bid conference may be made mandatory by the bid documents, or it may
be optional. Whether the conference is mandatory or optional, written minutes must be made
available to all bidders. Additionally, a list of attendees should be kept and a copy provided
to the bidders.
The type (mandatory or optional), date(s), and time of pre-bid conferences must be
determined prior to all project advertisements and preparation of the Notice to Contractors.
Conference dates must allow adequate notification to contractors so they may schedule
attendance. Pre-bid conferences should be scheduled approximately two weeks prior to
letting to allow sufficient time to prepare and issue any needed addenda.
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Chapter 2 —
Section 1 — Pre-Bid Conference
Mandatory Attendance
Written approval must first be obtained from the Director of the Design Division prior to
making a mandatory pre-bid conference a contract requirement. After approval is granted,
the mandatory pre-bid conference should be held with the following requirements:
♦
The location and the starting time will be as specified in the Notice to Contractor.
Reasonable consideration shall be made for late arrivals.
♦
The attendance list will be signed by the contractor’s representative. The list will
include the printed name of the representative with the complete firm’s name, complete
address, and telephone and fax number.
♦
Sufficient time must be allowed between bid advertisement and the mandatory pre-bid
conference and between the mandatory pre-bid conference and the letting. This allows
potential bidders time to review the contact documents before the pre-bid conference,
and for the issuance and receipt of proposals by the contractor. Pre-bid conference
should be held approximately two weeks prior to letting.
♦
Issues discussed during the mandatory pre-bid conference are not contractual.
For large, complex, highly technical projects that require attendance at a mandatory pre-bid
conference, a second pre-bid conference must be held at least seven (7) days prior to letting
so that timely issuance of bidding documents can be made. Any change to contract
requirements must be made using an addendum.
The contractors’ attendance at a mandatory pre-bid conference is one condition to submit a
bid on the project. The conference date should be scheduled and held as soon as possible
after the publication of the notice, with sufficient time for potential bidders to become
familiar with the contact documents. The pre-bid conference agenda shall cover a general
review of the completed plans and specifications plus a detailed review of the project’s
special requirements.
The list of contractors attending any mandatory pre-bid conference must be received by the
Pre-qualification and Proposal Issuance Branch of CST by telephone or fax the same day the
meeting is held. This applies to all construction projects that require the mandatory pre-bid
conference.
Optional Attendance
An optional pre-bid conference may be held whenever the AE and the district have special
conditions or requirements for the project. The presentation should be of an informal nature.
The contractors’ attendance at an optional pre-bid conference is encouraged, as these
conferences are held for the contractor’s benefit. A contractor cannot be excluded from
bidding on a project because of failure to attend the optional pre-bid conference.
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Chapter 2 —
Section 2 — Showing the Project
Section 2
Showing the Project
Purpose and Process of Showing a Project
Showing a project is the first phase of the project. When showing a project, the AE gives all
interested parties the opportunity to review the project and provides pertinent information
they request. The AE keeps a record of all questions asked and the answers given; all
interested parties must be treated fairly and alike. Any explanations, information or handouts
made available to one prospective bidder must be made available to all prospective bidders.
The AE or AE’s representative must never make statements regarding the possibility or
probability of changes in plans, specifications, or quantities.
If previously undiscovered errors are pointed out by a prospective bidder they must be
analyzed to determine the overall effect on the project. Major errors must be corrected prior
to the letting by issuing an addendum to all prospective bidders. On projects let at the state
level, these changes are only released by the Pre-qualification and Proposal Issuance Branch
of CST. On locally let projects, these changes can be made and released at the district level
or at CST.
Bidding Proposals at the State Level
All bidding proposals for highway construction projects to be publicly opened and read at
the state level are issued to the contractors from Austin by the Pre-qualification and Proposal
Issuance Branch of CST. Informational proposals are available by request from the Prequalification and Proposal Issuance Branch, or at the department's website
http://www.dot.state.tx.us/business/proposinfo.htm. A contractor is not to be given or
allowed to acquire any “For Information Only” proposal that has been distributed to a
district office or AE’s office. All requests for proposal documents should be forwarded to
the Pre-qualification and Proposal Issuance Branch of CST for processing.
Bidding Proposals at the District Level
Bidding proposals for highway construction projects to be publicly opened and read at the
district level as well as all informational proposals requested by material suppliers,
subcontractors, etc., can be issued to the contractors and suppliers from Austin by CST or by
the district. A contractor is not to be given or allowed to acquire any “For Information Only”
proposal that has been distributed to a district office or AE’s office. All requests for proposal
documents should be forwarded to the Pre-qualification and Proposal Issuance Branch of
CST for processing.
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Chapter 3
Post-Award Activities
Contents:
Section 1 — Press Release....................................................................................................3-3
Section 2 — Pre-Construction Conference...........................................................................3-4
Section 3 — Partnering Process............................................................................................3-8
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Chapter 3 — Post-Award Activities
Section 1 — Press Release
Section 1
Press Release
General
After the public opening of bids and the Commission's award of the contract, the district
should prepare a news release to the newspapers, radio and television stations. The release
announces the award of the contract, describes the project, names the successful contractor,
gives the award amount and points out project highlights.
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Chapter 3 — Post-Award Activities
Section 2 — Pre-Construction Conference
Section 2
Pre-Construction Conference
Conference Responsibilities and Make-up
After the Texas Transportation Commission has awarded the contract, the AE conducts a
pre-construction conference with the contractor prior to commencement of construction
operations. This meeting includes appropriate representatives from the district and area
offices, the contractor(s) organization, subcontractor's, news media, utility companies, local
governmental entities, and local law officers, as required. Usually, one or more members of
the district headquarters will attend the meeting.
As part of a Memorandum of Understanding between the Office of Federal Contract
Compliance Programs (OFCCP) and the Federal Highway Administration (FHWA), TxDOT
is to provide written or verbal notice to appropriate OFCCP District Offices of scheduled
pre-construction conferences in sufficient time to allow OFCCP participation in the
conference.
Purpose of Conference
At the conference, TxDOT personnel and contractor’s staff become acquainted, establish
lines of authority and communication, determine the responsibilities and duties of
contractor’s personnel, subcontractors, and department personnel, clarify potential sources
of misunderstanding and work out the detailed arrangements necessary for the successful
completion of the project. A record of the highlights of the meeting is kept in the project file.
A suggested agenda for a pre-construction conference follows.
Pre-Construction Conference Agenda
A pre-construction conference follows an agenda and discusses specific items. A sample
agenda with discussion topics is in the following table.
Agenda Item
Introduction
Identity of
Representatives
Contractor’s Work Plan
Pre-Construction Conference Agenda
Topic/Comments
♦ Staff introductions
♦ Purpose of meeting
♦ Review of project — location, type, size, special problems or designs, ROW
and utilities
♦ Number of work days
♦ Material and source approval
♦ Other topics as appropriate
Identify the contractor’s representatives and subcontractors, giving name,
address and phone number. Do the same for the AE, law enforcement agencies,
utility companies, and other relevant parties.
♦ Start date
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Chapter 3 — Post-Award Activities
Agenda Item
Construction
Requirements
Adjustments
Environmental
Traffic Control *
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Completion date
♦ Major phases of the project
♦ Detailed progress schedule — chart in brief outlining the manner of
prosecution of work intended to complete work in allotted time
♦ Revisions
♦ Work plans
♦ Criteria on time charges, work day, and temporary suspension of work
• Notify AE at least 24 hours before beginning work in any new operation
♦ Field office and/or lab
♦ Special traffic problems
Usual requirements:
♦ Water truck weight
♦ Roller qualifications
♦ Truck measurements
♦ Asphalt distributor calibration
♦ Truck weight limit
♦ Copies of papers accompanying material delivered to the project
♦ Stump dumping, etc.
Special requirements — discussion of pertinent Items:
♦ Staking
♦ Earthwork
♦ Base
♦ Structures
♦ Miscellaneous.
♦ All utilities should be clear before the letting date; however, if plans include
a date when the utilities are to be clear, adhere to that date. If utilities are not
clear by the given date, it may be necessary to amend the contract to allow
additional work days.
♦ The contractor is responsible for damage to underground utilities located
within the right of way.
♦ Inform contractor of securing proper environmental/archeological clearances
pertaining to Project Specific Locations (PSL).
• Transmit information about any environmental commitments that apply
to the project to the contractor.
♦ Review the contractor’s implementation of the Storm Water Pollution
Prevention Plan (SW3P). Pay attention to areas of erodible-earth, haul road
and material pits, contamination of streams and lakes, and damage to
adjacent property, etc.
♦ Review mitigation requirements of the project.
♦ Determine if there are possible conflicts between the contractor’s work
schedule and the SW3P.
♦ Discuss payments for erosion control procedures and devices.
♦ Identify the TxDOT employee who performs SW3P inspections.
♦ Plans, standards, and specifications
♦ Signs, barricades and lights: inspection & reports; repair & compliance;
special conditions and detours.
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Chapter 3 — Post-Award Activities
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Speed zones
♦ Flagging Procedures
♦ Determine the contractor’s plans for implementing the Traffic Control Plan
(TCP).
♦ Alternate traffic control plan
♦ Letter designating — Contractor’s Responsible Person (CRP)
♦ Department Responsible Person (DRP).
For more information on temporary traffic control for construction areas, go to
http://crossroads/org/trf/TRFTEPS2/cwztcd.pdf. For more information on construction speed
zones, see the Procedures for Establishing Speed Zones volume of the Traffic Operations Manual collection.
Traffic Laws
The contractor and department personnel must be aware of the Texas Traffic
Laws regarding the legal limit of axle load (legal weights) for trucks hauling
materials to the site. Copies of the law can be obtained from the Texas
Department of Public Safety.
Materials
♦ Letter designating sources of all materials proposed to be used on project
♦ Storage of materials
♦ Inspecting and testing.
Storage of Equipment
Review specifications, especially the need to keep the travel way clear.
and Materials
Law Enforcement
The responsibility of the AE is to guarantee that open lines of
communication have been established between contractor and law
enforcement. Discuss the use of law enforcement personnel on project, if
needed. The AE should ensure that specific needs for traffic supervision will
be met. The interested parties must determine exactly how they will share
traffic-related information (accidents, safety hazards, etc.)
News Media
Review procedures for educating the public about construction activities
through media announcements.
Safety Issues *
♦ Does the contractor have a defined safety program? List the goals and
people responsible; letter designating safety officer; minutes of safety
meeting, issue resolution, etc.
♦ Does the contractor’s management support the safety program?
♦ Does the contractor’s safety program include discussion with employees to
promote safe conditions and practices in their work?
♦ How are the job-related injuries and illnesses investigated, recorded and
reported by the contractor?
♦ OSHA compliance. What does the contractor do to keep informed on
government safety regulations and standards?
*For more information on construction safety, see Chapter 13, Health and Safety Items, and Item 7 of the
Standard Specifications.
Contractor Estimates
♦ Partial payments, monthly estimates, closing dates, etc.
♦ Payment for material-on-hand (MOH)
Subcontracts
♦ Letter notifying TxDOT of proposed subcontractors to be used (refer to Item
8.1 of the Standard Specifications)
DBE/HUB
Disadvantaged Business Enterprise (DBE)/Historically Underutilized Business
(HUB) Program:
♦ Contractors will be advised of requirements in the DBE/HUB special
provision.
Agenda Item
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Chapter 3 — Post-Award Activities
Agenda Item
EEO, Training and Labor
Compliance
Partnering
Other Matters
Comments and Adjourn
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Contractors should also be directed to contact the Area Engineer's Office
concerning anticipated changes to their DBE/HUB commitment, any
disputes, inability to meet the goal.
♦ Any request for approval from the contractors for DBE/HUB removals,
substitutions, and Good Faith Efforts resulting from removal of a DBE/HUB
is the responsibility of the districts.
Equal Employment Opportunities (EEO) Compliance Program requirements are
contained in the following special provisions:
♦ Required Contract Provisions Federal-Aid Construction Contracts (Form
FHWA1273)
♦ Standard Federal Equal Employment Opportunity Construction Contract
Specifications (Executive Order 11246 http://www.archives.gov/federal_register/codification/executive_order/1124
6.html)
• Including Form FHWA1391 - Certification of Nondiscrimination in
Employment and Notice of Requirement for Affirmative Action to
Ensure Equal Employment Opportunity (Executive Order 11246).
In addition, the applicable wage determination, the DBE Special Provision,
FHWA 1273, and the Measurement and Payment Special Provision must be
included in subcontract agreements.
Bulletin Board Requirements:
The U.S. Department of Labor, Federal Highway Administration, and U.S.
Department of Transportation require certain posters to be posted on bulletin
boards in places accessible to the employees on a job site.
Optional On-the-Job Training Special Provision:
Contractors electing to train employees under the contract’s Optional On-theJob Training Special Provision are advised that a training schedule (Train) and
registration information for each trainee (OJT) must be submitted to and
approved by the Office of Civil Rights (see Chapter 15 for additional On-theJob Training (OJT) explanations.
Prevailing wage rate requirements:
Contractors and subcontractors must pay employees, at a minimum, the
classification wage rates specified in the contract. The minimum wage rates
must also be conspicuously posted and accessible on the project site.
Payroll records:
♦ Payroll records certifying compliance with the contract's minimum wage
rates, overtime and payroll deduction requirements must be submitted in
timely manner on federal-aid construction projects. On 100% state funded
construction projects the contractor or subcontractor must keep the payrolls
and make them available for review by TxDOT.
♦ Issue escalation
♦ Rocks in the road (review of potential problems)
Shop drawings, erection details, and forming details
Summary and follow up, etc.
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Chapter 3 — Post-Award Activities
Section 3 — Partnering Process
Section 3
Partnering Process
Introduction
Partnering is a management technique used to improve communication and enhance the
resolution of conflicts between owners and contractors working on projects. Partnering
evolved during the early 1980s in the construction industry as a vehicle to reduce adversarial
relationships and costly claims and litigation. The TxDOT Partnering Program began in
April of 1992 (http://crossroads/org/hrd/quality/partnering/parthistory.asp). The focus in
1992 was to reduce claims and disputes while improving working relationships on
construction projects. The partnering concept is presently being used in many areas of
TxDOT.
TxDOT is committed to improving the working relationships with our partners in the
construction industry and encourages a relationship based on integrity, trust, mutual respect,
and fair dealing. Creating the proper working environment will improve dispute resolution at
the project level and encourage efficient project administration by TxDOT and efficient
prosecution of the work by the contractor. The intent of the Partnering Program is to assist
the contractor and the engineer to work together to:
♦
Handle problems fairly and honestly
♦
Use common sense in the interpretation and application of the Specifications (this does
not relieve the contractor of their responsibility in conforming to the specifications) and
♦
Improve on past performance by doing the best job possible.
Requirements
The use of partnering on a project is voluntary, unless otherwise specified, and its use must
be acceptable to both the department and contractor personnel. Partnering can be initiated by
TxDOT or the contractor. Guidelines for the Partnering Program are as follows:
Construction and Design Partnering Workshops
Partnering is on a voluntary basis, unless shown on the plans or in the design advertisement
notice.
Partnering workshops are strongly encouraged on construction and design projects;
however, the need for partnering will be determined by the DE after consideration of the
following factors:
♦
Project complexity
♦
Impact on traveling public
♦
High profile projects
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Chapter 3 — Post-Award Activities
Section 3 — Partnering Process
♦
Potential for citizen complaints
♦
Contract requirements for Road User Costs
♦
Coordination between multiple parties
♦
Any other factors considered important by the DE.
For projects which do not incorporate facilitated Partnering workshop(s), the partnering
concepts of the “Issue Escalation” and “Rocks in the Road” (review of potential problems)
should be included in the Pre-construction Conference.
Participation in Partnering
The engineer and the contractor are responsible for compiling a list of the key project
personnel (inspectors, foremen, superintendents, bookkeepers, project engineers, etc.) who
should participate in the initial partnering workshop. Representatives of all interested parties
should be in attendance. Examples include, but are not limited to, subcontractors, material
suppliers, city and county officials, and utility companies. In addition, the contractor and
engineer should actively encourage district staff to participate as well.
Paperwork Requirements
Paperwork requirements and administrative efforts by the AE and district staff should be
minimal.
For construction and design projects, the district issues a memorandum or GroupWise
message advising the Partnering Program Administrator (Quality Management branch of
HRD) of the decision to conduct a partnering workshop
(http://crossroads/org/hrd/quality/partnering/partneringworkshops.asp). The transmittal
should include pertinent information such as project number, county, highway,
contractor/consultant, contract amount, location of workshop, selected facilitator, etc. This
transmittal is optional for workshops conducted by internal facilitators.
When contract facilitators are used, it is the facilitators’ responsibility for proper
coordination with district and contractor/consultant personnel to assure a quality workshop.
The AE and contractor/consultant will provide a brief written evaluation of the facilitators’
overall performance and transmit this report along with copies of workshop participant
evaluation forms to the Partnering Program Administrator.
The contractor/consultant will pay the full cost to the contract facilitator and the department
will reimburse the contractor/consultant for half of these costs on the next monthly estimate
or the contractor may elect to pay the full cost.
Internal facilitators conducting workshops will be responsible for producing and supplying
participants with a final result report. No evaluation of internal facilitators will be required.
No other paperwork will be required.
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Section 3 — Partnering Process
Partnering Performance
If the partnering agreement is not followed and after reasonable efforts have been made to
restore the agreement, either party may withdraw from the partnering agreement by written
notice to the other party. The sole remedy for non-performance of the partnership shall be
termination of the partnering agreement.
Procedures
The Initial Partnering Meeting may last from one half (1/2) day to two (2) days and may
contain one or more of the partnering modules selected by the engineer and the contractor.
This initial meeting may be held prior to or in combination with the pre-construction
conference. Detailed procedures for the Initial Partnering Meeting, including the use of
facilitator and payment can be found in the current Special Provision.
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Chapter 4
Job Records
Contents:
Section 1 — Importance of Accurate Records......................................................................4-3
Section 2 — Public Information Act.....................................................................................4-5
Section 3 — Project Records ................................................................................................4-6
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Section 1 — Importance of Accurate Records
Section 1
Importance of Accurate Records
Overview
Complete and accurate records are important for proper administration of all construction
projects. Document all important information related to the performance of the work. The
main purpose of project records is to provide a permanent record of the following:
♦
Facts and details of all tests, inspections and work performed.*
♦
Proof of and support for the decisions, actions, and fulfillment of TxDOT's
responsibilities.*
♦
Documentation that the contractor has complied with the plans and Specifications.*
*Required for legal purposes.
Records that provide documentation of contractor delays, quantity variations, unacceptable
work, quality of materials, surveying problems and other points of contention must be
complete, clear and accurate. Complete documentation will support the department’s
position if a formal dispute or claim is made.
Record-keeping
This document is a guide and allows districts flexibility in choosing a record-keeping
system. A uniform district system is a beneficial aid in training field personnel and in easing
the transfer of personnel between AE offices. The Construction Records to Support Pay
Quantities of Work Done on Contract Construction Projects and the Estimates Manual
(Estimate) for Construction and Maintenance Projects are available for use as guides in the
development of an acceptable record keeping system.
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Section 1 — Importance of Accurate Records
Electronic Records
TxDOT allows the use of computers and automation equipment for the collection, storage,
and retrieval of documentation generated for a construction project. The collection and
retention of construction records electronically must be acceptable from an engineering,
audit, and legal standpoint. Any records system should allow for the reconstruction of the
chain of events that occurs on a project. In order for records to be admitted as legal
evidence, they must meet the following requirements:
♦
Records must be made at or near the time of the events.*
♦
Records must be made by or from a person with direct knowledge of the event.*
♦
Records must be kept during the course of business.*
♦
Only authorized personnel must enter records.
♦
Records must provide for adequate backup and recovery of records to protect against
information loss. Protection procedures must be in place to prevent both human errors
and system failures.
♦
Records must be protected to prevent unauthorized alteration or erasure.
♦
Records must provide a method for all authorized users of the system to retrieve desired
information.
♦
Records systems should include adequate documentation of software programs and
hardware dependency.
♦
Record reliability is enhanced if an accurate audit trail is provided to indicate the steps
followed in processing the data and the methods used to prevent loss of data.
♦
Records should be stored on an appropriate media throughout their life cycle.
*Required for legal purposes.
Districts interested in implementing their own automation systems should contact CST for
guidance to ensure uniformity throughout the state and that the above criteria are met.
Correspondence
The AE handles all project correspondence according to the instructions from the DE and
the approved practice within the district.
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Section 2 — Public Information Act
Section 2
Public Information Act
Overview
The Public Information Act, formerly known as the Open Records Act, is located at chapter
552 of the Government Code and provides a mechanism for citizens to inspect or copy
government records (http://www.capitol.state.tx.us/statutes/go/go0055200toc.html). It also
provides for instances in which governmental bodies wish to, or are required by law to,
withhold government records from the public. All government information is presumed to
be available to the public, with certain exceptions, such as documents related to litigation.
The Act provides that a governmental body must respond "promptly" to a request for
information. If the district receives a questionable request, the district writes or calls CST or
the Office of General Counsel (OGC) when the request is received. Then OGC may ask the
Attorney General (AG) to issue an opinion on the questionable request. Under no
circumstances may information be withheld from a requester, unless OGC has requested and
received an opinion from the AG to that effect. Furthermore, if OGC does not request an
opinion from the AG within ten working days from the date the department receives the
request, the information has to be released. It is critical that the written request be date
stamped to validate the date of receipt.
Verbal requests must be received in writing before TxDOT responds.
Internet (e-mail) requests are not valid unless they are sent to the Public Information Office
(PIO) address at http://www.dot.state.tx.us/cgi-bin/mailform.pl. The PIO records all such
requests. Requests sent to other e-mail addresses are not considered open record requests
and TxDOT personnel are not required to respond.
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Section 3 — Project Records
Section 3
Project Records
Anticipated Beginning of Project Letter
Immediately after receiving the project Work Order, the DE notifies the senator and
representative of the state legislature of work beginning on road projects located in their
district. Notification is sent to all legislators in an urban area. This letter will include as a
minimum:
♦
Location and description of the project in non-technical terms
♦
Contractor
♦
Estimated start date
♦
Estimated completion date
♦
The person within the department to contact if there are any questions.
Notice of Beginning of Work
After the Pre-Construction Conference and prior to beginning work, the AE will send the
Construction Engineer (CE) a Notice of Beginning Work. The notice, which may be sent by
e-mail or fax, includes the:
♦
Project number
♦
Date work will begin
♦
AE’s name, address, and telephone number
♦
Contractor’s name, address and telephone number.
Immediately after the contractor begins work, the district inputs the Work Began date
directly into the Construction and Maintenance Contract System (CMCS). Consult with the
automation administrator for assistance in accessing CMCS and for local network or system
problems. In SiteManager this date will be entered in the Critical Dates.
When the contractor requests payment for material-on-hand (MOH)for projects such as seal
coat or traffic signal installation before actually beginning work, the AE may issue a “Notice
of Beginning Work.” The AE suspends time charges until work actually begins or charges
time according to the contract.
The beginning notice needs to be submitted only once for each construction contract.
Individual projects within the contract, and suspensions or resumption of time during the
project duration do not require additional beginning notices.
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Section 3 — Project Records
Project Diary
The AE, or a representative, must keep a project diary. The diary records important events,
activities, and discussions, which occurred on the project during operation. A project
engineer or chief inspector that has direct responsibility for all construction work shall keep
a general diary that addresses time charges. Other inspectors keep good daily records of the
work in progress to supplement the general diary. Diaries are updated daily and in such a
manner that new personnel may take over the work at any time.
In SiteManager it is recommended that all information previously recorded in the Green
Diary be recorded in a Daily Work Report (DWR). This is to maintain integrity of the
project.
Daily diary entries include:
♦
Date
♦
Weather conditions
♦
Contract time charged and reasons for days credited
♦
Work in progress, including temporary erosion control
♦
Location of work
♦
Contractor’s and subcontractor’s work force
♦
Arrival and departure of equipment
♦
Quantity of equipment and usage at the project site
♦
Important instructions to the contractor
♦
Names of official visitors and a summary of any discussions with the visitors
♦
Unusual construction or work conditions
♦
Decision-making discussions with the contractor
♦
Disagreements with the contractor
♦
Detailed information that may have a connection with a probable dispute or claim
against the department
♦
Project completion and final inspection
♦
Other important features of the project, such as discussions concerning Disadvantaged
Business Enterprise (DBE) and Equal Employment Opportunity (EEO) requirements,
etc.
When “time charge” is suspended due to non-acquired right-of-way (ROW), railroad issues,
or utility relocation, the weather conditions are to be listed in the diary with a note indicating
whether a day would normally be charged (based on how a “working day” is defined in the
Special Provision of the contract). This allows for easy determination of the FHWA nonparticipation days. For instance, under the “working day” Special Provision, the days that
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are normally not charged for weather conditions can be excluded from the number of days of
a time suspension in determining the FHWA non-participation.
At least one page must be filled for each day from the date the contractor begins work or the
date time charges begin, whichever occurs first, to the completion of the work.
The person making the daily entries must sign them. If more than one person makes notes on
a daily entry, each person signs in his or her own handwriting for his or her individual
portion.
When the project is complete, the diaries, pay records, correspondence, etc. are to be
combined or referenced so that the project can be reviewed if necessary at a later date.
A properly maintained project diary provides invaluable information and evidence if
controversies arise later. Diary entries are written in ink, and corrections are made by lining
out the entry and initialing. Erasures are not permitted.
Materials Received
Records must be kept of all materials received for each project. When purchasing materials
by weight, make sure weights are accurate. The AE must develop and use a method to
ensure that all material weight is correct. The weight verification program includes random
check weighing, observation of weighing procedures, scales inspection, and observation of
plant weighing. The AE determines the method for verifying weight based on available
personnel, equipment, and existing conditions. Refer to chapter 11 for a summarization of
the measurement and payment process.
When the contractor furnishes materials from within the construction project, refer to
established laws, policies, procedures and Article 4.6 of the Standard Specifications, “Use of
Materials Found on the Right of Way.” Also use the Standard Specifications Article 6.7,
“Hauling of Divisible Materials Paid for by Mass or Truck Measure,” and “Item 520
Weighing and Measuring Equipment.”
Records on Temporary Suspension of Work or Time
When work or time charges are temporarily suspended, the AE will provide the contractor a
written notice (Suspend) with the reasons for the action and the effective date of the
suspension. Record the suspension and reasons in the project diary accordingly.
Resumption of Work
When work and time charges are resumed, the AE notifies the contractor in writing of the
work resumption (Resume). Record the resumption in the project diary.
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Daily Time Charges
Time charges are kept correct and current by daily entry into the project diary. When the
project diary shows one day charged, follow it with the total days charged to the project. If
no time is charged that day, the project diary must show no time charged with an
explanation of why time was not charged. This explanation should correspond to the reason
codes on Form 1452 of the Contract Information Segment (CIS) User Manual, “too wet,”
“too cold,” etc.
Once the daily time charge has been entered, it must never be changed. If it develops later
that time should not have been charged, a time extension for incorrect time charges is
recorded in the project diary and reported to the contractor in writing. For a time extension
granted by a letter (not a change order), send a copy of the letter granting a time extension
(Time) to the Construction Section of CST. The AE will then enter the total additional days
into the CIS system.
Note: Time charges for contracts using calendar day Special Provision are different from
that of contracts using working day Special Provision.
Anticipated Project Completion Letter
The AE will send an ‘Anticipated Project Completion’ letter to the area state senator and
representative at least ten (10) days prior to project completion.
Contractor’s Labor Payrolls
The contractor and the approved subcontractors must pay the wage rates specified in the
contract’s wage schedule, at a minimum. The wage rate schedule must be posted in a
conspicuous and accessible location on the project site. When the contract wage schedule
does not include a job classification utilized on the project, the contractor must submit a
request for an additional classification to the AE using the form entitled ‘Additional
Classification and Wage Rate Request’ (Wage). For both state and federal projects, requests
are forwarded to the Administrative Operations Branch of CST for review.
Employees must receive overtime pay (1.5 x regular rate) for all work in excess of 40 hours
per week. Overtime pay is based on hours actually worked in excess of 40 hours. Therefore,
holiday, sick leave, or other pay for time not worked is not considered when determining
eligibility for overtime pay.
The prime contractor and subcontractors must send a letter to the AE showing the name and
title of each person authorized to sign payrolls and certifications. Each contractor may send
the letter before beginning work or with the first payroll.
Contractors and subcontractors must pay employees not less than once a week. A copy of
the weekly payroll record must be sent to the AE for all federal-aid contracts, and a payroll
record must be submitted for each project. Contractors may use Form WH-347 or adopt any
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other format, which provides the same information. The prime contractor is responsible for
ensuring that subcontractors comply with this requirement.
On federal-aid contracts, the AE’s office must review weekly payroll records for compliance
with the contract’s minimum wage requirements. At a minimum, at least 10% of the overall
project workforce must be reviewed. Area office personnel have discretion as to how the
10% minimum is satisfied. It is not required that 10% of every payroll be reviewed.
Personnel responsible for reviewing payrolls may focus efforts based on a contractor’s
history of compliance or non-compliance. In addition, the AE’s personnel on the project will
conduct labor compliance interviews of the contractors and/or subcontractor’s employees on
federal-aid contracts. A ‘Labor Standards Review’ form is used for these interviews and is
accessed by clicking Labor. TxDOT policy requires at least three labor interviews for each
project per quarter when work was performed during the quarter. The wage rate and job
classification of the interviewed employee must then be verified on the weekly payroll. The
completed interview forms must be retained in the project file.
The first payroll record must contain the following information for each employee:
♦
Name
♦
Social security number
♦
Address
♦
Phone number
♦
Job classification
♦
Rate of pay
♦
Daily and weekly number of hours worked
♦
Gross pay
♦
Deductions made
♦
Benefit calculations made by employer (calculated on hourly bases), and
♦
Net pay.
Employee social security numbers, addresses and phone numbers need only appear on the
initial project payroll record and on the first payroll on which a new employee(s) appears.
The job classifications listed in the Associated General Contractors (AGC) Standard Job
Classification and Descriptions for Highway, Heavy, Utilities and Industrial Construction
(http://www.agc.org/) are recommended for use on a contractor’s weekly payroll record. The
contractor may use other code numbers or abbreviations provided a list of the code numbers
or abbreviations with the corresponding job classification is attached to each payroll record.
The names of truck owner-operators are to appear on a contractor’s weekly payroll with the
designation “Truck Owner-Operator.” No other information is required. Payroll deductions
must comply with the regulations specified in 29 CFR 3.5
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cfr3_99.html). The reason for any
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deduction from an employee’s wages must be specified on the payroll record submitted to
the department. Generally, deductions made in compliance with state or federal law (that is,
social security and income taxes), a court order, or pursuant to a bona fide fringe benefit
plan do not require scrutiny. Direct questions concerning the legality of any deduction to the
attention of the Administrative Operations Branch of CST.
Each week contractors must furnish a statement regarding compliance with the various wage
and payment requirements. The compliance statement must be signed by the contractor or an
authorized agent responsible for the payment of wages. The statement shall be on Form
WH-348, ‘Statement of Compliance,’ or on an identical form on the back of Form WH-347,
‘Payroll (For Contractors Optional Use),’ or on any form with identical wording. Each
weekly payroll and compliance statement must be submitted to the AE’s office within
fourteen calendar days after the end of the payroll period. For weeks when no work is
performed, the statement of compliance is submitted with the statement “No work done this
week.” For longer periods of inactivity, the statement “No work until further notice” can be
written and no subsequent statements need to be submitted until work resumes.
Each contractor or subcontractor shall retain his/her weekly payroll records for a period of
three years from the date of the project’s completion, in accordance with federal regulations.
Special rules determine whether payrolls are required for hauling firms or owner-operators.
Generally, prevailing wage rate requirements apply to hauling which is to or from a site
which is dedicated exclusively, or nearly so, to the completion of the project. Obtain
guidance regarding the minimum wage requirements’ scope of coverage from the
Administrative Operations Branch of CST. The chart ‘Subcontracting and Payroll
Requirements’ (Subcont) illustrates when payroll records are required and when a firm must
be approved as subcontractor on a project.
Payrolls and associated basic records are retained in the area office during the life of the
contract. Refer to the Records Management Manual for the record retention schedule
(http://crossroads.dot.state.tx.us/org/gsd/retsked.htm).
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Final Plans
When a contract is completed, the AE is responsible for revising the original plans to show
the project as it was built. Place the words “FINAL PLANS” in a conspicuous place on the
title sheet followed by the contractor’s name, letting date, date of beginning of work, and the
date of completion and acceptance. Additionally, show a summary of all COs on the title
sheet if space permits. Otherwise, prepare this summary on a separate supplementary sheet
and insert it in the plans immediately following the title sheet.
For projects consisting of bridge construction, the actual tip elevation of drilled shafts or pile
foundations shall be indicated on the bridge layouts in final (as-built) plans. Completed
Form168, Form181 and Form1276 can be used to determine the tip elevations.
The responsible engineer signs, seals, and dates the title sheet of the final plans to reflect
that work was done according to the plans and contract.
For projects let prior to November 1999 the AE should submit a Final Plans Submission
Form with the entire finaled plan set to the General Services Division (GSD). For projects
let in November 1999 or later the AE should submit a Final Plans Submission From with the
changed plan sheets only. GSD will scan the changed plan sheets and insert the image files
into the electronic plan set currently on file in Plans Online
(http://www.dot.state.tx.us/business/plansonline/plansonline.htm).
Required Reports and Forms to Be Submitted to Austin
Submit the following reports and forms to Austin unless otherwise stated. See Appendix A
for referenced forms or click the “highlighted” text below to access MS Word electronic
versions.
Change Order (CO)
♦
After preparation, all COs (CO6-02, CO-TAB, CO-AFA) for construction contracts
are sent to the Administrative Operations Branch of CST to be logged into the Contract
Tracking System (CTS). SiteManager COs are not logged in CTS. The Administrative
Operations Branch processes approval as required, forwards to the Finance Division
(FIN), and distributes copies as needed. As part of the contract documents, all original
COs (those that bear the original signatures) are permanently filed with the original
contracts for audit reasons.
♦
If changes need to be made to a CO that has already been submitted, such changes must
be submitted using a supplemental CO. A supplemental CO will show only the amount
of adjustment to the original CO. If changes are only for the description or code, the
amounts on the “added line” would be zero. The supplemental CO identified by
inserting an “S” after the CO number on the CO form.
Supplemental Agreement (SA)
♦
After preparation, send the SA (SAForm) to CST. Refer to Chapter 7, Section 3
'Additional Agreements' for detailed information.
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Time Extension (TE)
♦
Send the TE letter (Time) to the contractor and a copy of the letter to CST. This process
is for stand-alone TE’s only and is not required if it is part of a CO. In SiteManager TEs
are entered by CO only.
Final Estimates (FE)
♦
Preparation and approval of FE’s is the responsibility of the district. The FE consists of
the CIS02, CIS04 and CIS05 reports. SiteManager does not require reports to be sent to
the Finance (FIN) Division.
♦
Prior to approving the FE, the district needs to have the following:
•
Material and tests clearances
•
Effective March 15, 2002, the districts do not have to wait for clearance from the
Construction Division’s Business Opportunity Programs Section (CSTB) to process
a final estimate on projects where the Disadvantaged Business Enterprise (DBE
)/Small Business Enterprise (SBE) goal has been met. If the project DBE/SBE goal
has not been met, CSTB must give final clearance prior to the district processing
the final estimate.
•
OJT summary submitted by the contractor if the contractor elected to utilize the
Optional On-the-Job Training (OJT) program (Chapter 15 'Contractor Workforce')
•
All COs completed and approved; and
•
Completed FHWA-47 if applicable on a federally funded contract.
•
After the FE is posted and approved by the district, the FE is then directed to FIN
for payment.
•
The FE is sent to FIN no later than sixty (60) calendar days after the final
acceptance ) of the work.
Federal Highway Administration Form FHWA-47 – ‘Statement of Materials and Labor
Used by Contractors on Highway Construction Involving Federal Funds’
♦
Form FHWA-47 is used by FHWA to keep statistics on the quantities of material used
in the construction of highways and bridges. This form must be completed immediately
after the physical completion of the work for all National Highway System federal-aid
construction projects except:
•
Projects whose final contract amount is less than $1,000,000
•
Protective devices at railroad crossings, or
•
Highway beautification.
♦
The district or area office is responsible for the completion of Part A of the form; either
before or after the contractor completes Part B.
♦
The contractor should follow the instructions for completion of Part B, item 3 through
29 on the back of the FHWA-47 form.
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♦
Once received from the contractor, check all parts of the form to ensure that it is
complete.
♦
For exempt federal-aid projects each district must sign, date and mail the form directly
to the FHWA in Washington, DC:
Federal Highway Administration
Office of Program Administration HIPA-10
400 7th Street, S. W.
Washington, DC 20590
♦
For non-exempt federal-aid projects send the forms directly to the FHWA division
office in Austin:
Federal Highway Administration
826 Federal Office Building
300 E. Eighth St.
Austin, TX 78701
Form FHWA1494 – Semi-Annual Labor Compliance Enforcement Report
♦
Federal regulations require that districts complete Form FHWA-1494 semi-annually.
The report requires information concerning compliance and enforcement of labor
standard provisions of the Davis-Bacon Act and its related acts during the periods of
October 1 through March 31 and April through September 30, respectively.
♦
Completed forms are to be submitted to the Administrative Operations Branch of CST.
Form FHWA1446 (Rev. 2-78) – Final Inspection of Federal-Aid Project Constructed
under 23 U.S.C. 117
♦
Form FHWA-1446C is the official documentation stating that the project has been
accepted for federal participation. The FHWA requires that Form FHWA-1446C be
completed and submitted to FHWA for all exempt federal-aid projects, including those
completed by State force account.
♦
Upon completion of exempt federal-aid projects and completion of records and
payments, the DE or the DE’s designee reviews and signs this form. Be sure to include
all project numbers that have federal funding and are grouped with a controlling project
when completing this form.
♦
In all cases, including emergency (ER) projects, the original Form FHWA-1446C is
sent directly to the FHWA division office in Austin, and a copy is sent to CST and the
Claims Management Section of FIN.
Letter of Certification of Materials Used
♦
Non-exempt federal-aid (federal oversight) projects require completion of this letter
(Material) and submittal to FHWA.
♦
After preparation and approval, this letter is sent to the FHWA division office in Austin.
♦
Exempt federal-aid (state oversight) projects and state-funded projects do not require
the ‘Letter of Certification of Materials Used.’
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Equal Employment Opportunity (EEO) Compliance Program Forms
♦
On federal-aid construction projects the prime contractor and each subcontractor must
have their EEO policy posted on the project site.
♦
In addition, the name and phone number of each firm’s EEO officer must be posted. It
is recommended that this information be included with the EEO policy.
♦
Contractor and subcontractors must each submit FHWA1391 (Federal-Aid Highway
Construction Contractors Annual EEO Report) to the area engineer by August 5th for
each project. The employment data entered should reflect the work force utilized during
peak activity in the month of July. The prime contractor shall show the employment
data for only his or her employees on the report. Each subcontractor with a subcontract
of $10,000 or more shall submit a report with employment data on those employees
employed on the project site. A subcontractor may submit his or her report through the
prime contractor or it may be submitted directly to the area engineer. Negative reports
are required of covered contractors and subcontractors not active that month. The area
engineer shall sign Form FHWA 1391 as the “reviewer” and as such, examines these
reports to verify accuracy. Distribution of the reports is as follows:
•
one copy to the area engineer’s project file
•
one copy to the district office
•
The district consolidates the results of all the FHWA 1391s on the summary Form
FHWA1392 (Summary of Employment Data) and submits this form along with all
FHWA 1391s to the Office of Civil Rights by the fifteenth day of August.
Form168 – Pile Record
♦
Prepare this form according to Construction Bulletin C-8, Pile Driving Manual.
♦
Send one copy to the Geotechnical Section of the Design Division (DES) according to
instructions shown on the form.
Form181 – Test Pile Data
♦
Prepare this form according to Construction Bulletin C-8, Pile Driving Manual.
♦
Send one copy to the Geotechnical Section of DES according to instructions shown on
the form.
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Form1276 – Drilled Shaft Records
♦
Prepare this form according to Construction Bulletin C-9, Drilled Shaft Manual.
♦
Send one copy to the Geotechnical Section of the DES according to instructions shown
on the form.
Note: To complete forms 168, 181 and 1276, the inspector should document the work used
for trouble shooting problems and determining pay quantities during the operation. After
project completion these forms can be used to determine the tip elevation of drill shaft (or
pile) foundation that should be indicated on the final as-built plans.
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Chapter 5
Control of the Work
Contents:
Section 1 — Project Authority..............................................................................................5-3
Section 2 — Work Documents .............................................................................................5-5
Section 3 — Staking and Surveying the Project ...................................................................5-8
Section 4 — Inspections .....................................................................................................5-10
Section 5 — Post Construction Evaluation.........................................................................5-14
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Section 1 — Project Authority
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Chapter 5 —
Section 1 — Project Authority
Section 1
Project Authority
Authority of the Engineer
Item 5.1 of the Standard Specifications outlines that the work performed and materials used
on the project comply with the plans and specifications as interpreted by the AE. The
specifications also provide the AE with authority to determine if the rate of progress is
satisfactory and if other requirements of the contract are being fulfilled. Since the AE's
decisions are final, the contractor must carry out instructions as issued by the AE. The
contractor may dispute the instructions through proper channels when in disagreement with
the AE’s decisions.
Usually, the methods or procedures used by the contractor in doing the work are the
responsibility of the contractor. If the specifications or plans specify the methods or
procedures to follow in doing the work, the AE has the authority not to accept work done by
other methods. The contract requirements hold even though the contractor may claim that
the other methods will result in equally good or better results.
When the governing specifications stipulate the AE will provide direction or approval in
writing, the AE will issue this information to the contractor quickly. When the governing
specifications do not require the direction or approval to be in writing, the AE may issue
them verbally with an appropriate note made in the project diary. Following the diary entry,
the AE or his project engineer will issue a written notification to the contractor documenting
the AE’s verbal direction.
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Chapter 5 —
Section 1 — Project Authority
Authority and Duties of Inspectors
Item 5.8 of the Standard Specifications outlines the authority and responsibility of TxDOT
inspectors. Inspectors have authorization to inspect all the work, materials, and equipment
used on the project. An inspector must thoroughly understand the contract, the relevant
plans, specifications, special provisions, and the work schedule. This enables the inspector
to inspect and judge the quality and thoroughness of the contractor’s work, in comparison to
the contract.
The inspector reports the progress of the work and how it is being performed to the AE. The
inspector notifies the AE when the materials furnished or the work performed by the
contractor fail to fulfill the requirements of the contract. The inspector also notifies the
contractor of any such failure. The inspector shall communicate in a timely manner with the
contractor or his representative regarding all such problems. The inspector documents all
matters related to the prosecution of the contract and the progress of the work as required for
payment in the project diary.
The inspector must follow the plans and specifications, acting as the authorized
representative of TxDOT to the contractor. When a dispute arises, the inspector has the
authority to reject materials or suspend work while the AE makes decisions on the issue.
Only the AE can approve or accept the work or issue instructions contrary to the plans and
specifications.
The inspector must not act as foreman, work for the contractor, or interfere with the
management of the work. Some specifications establish the method of doing the work. The
inspector must not tell the contractor how to do the work when the specifications do not
describe the methods.
Contractor’s Superintendent
The contractor appoints a capable employee to be the project superintendent. The project
superintendent must have full authority to receive instructions and direct performance of the
work according to the contract requirements. The superintendent will be in charge of all
construction operations regardless of whom actually performs the work and what amount of
work is sublet. The project superintendent must be capable of speaking English.
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Chapter 5 —
Section 2 — Work Documents
Section 2
Work Documents
Plan Quantities
The bid quantities are part of the plans. Item 5.3 of the Standard Specifications states:
It is the responsibility of the contractor to verify all quantities of materials shown
on the plans before ordering same, as payment is provided for acceptable materials
complete in place. The contractor will not be paid for material rejected due to
improper fabrication, excess quantity, or for any other reasons within his control.
In those cases where the AE determines that it is not within the control of the contractor to
check the accuracy of the quantities shown on the plans, the following applies:
If the contractor orders the quantity shown on the plans and the AE directs the
contractor to use less material, then the department may utilize a Change Order
(CO) to purchase the excess material at the contractor’s invoice cost.
Excess materials acquired by the state are handled by using the following procedures:
♦
The contractor suitably stores or stockpiles materials and the materials meet
specifications at the time the contractor turns them over to the state.
♦
A duly executed CO between the state and the contractor shall cover the acquisition.
♦
After completion of the CO and the work, make payment to the contractor by including
the agreed compensation in the next estimate.
♦
If the materials are not to be used on the contract involved, then charge the cost to the
district stock account.
The AE should not accept materials that do not have potential TxDOT use unless
contractually obligated to do so. Refer to Receipt from Contract in Chapter 7 of the
Materials and Supply Management System (MSMS) Users’ Manual for more instructions on
transactions involving materials.
Note: When purchased materials are not used on the federal-aid project, note the material
cost as “non-participating” on the final estimate and/or the CO.
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Chapter 5 —
Section 2 — Work Documents
Traffic Control
Warning and regulatory signs called for in the traffic control plan shall be erected at the
appropriate locations. Signs should be used only when necessary. Signs placed prior to their
need must be covered and not remain in place longer than necessary. The timing of erection
and removal of signs should be discussed at the pre-construction conference.
Standard traffic signs that are well maintained and properly used will not only promote
public safety, but will gain the respect of the traveling public.
For more information on temporary traffic control for construction areas, go to
http://crossroads/org/trf/TRFTEPS2/cwztcd.pdf. For more information on construction speed
zones, see the Procedures for Establishing Speed Zones.
Regulatory speed limit signs shall be erected in the construction zone to designate only the
limits of the roadway section where speed reduction is necessary for the safe operation of
traffic and protection of construction personnel. Even though the entire length of the project
may have a reduced maximum speed limit authorized by Commission Minute Order or
City/County Ordinance, reduced speed limits are in effect only within the limits between the
erected speed limit signs. Regulatory speed zone signs must have an applicable Commission
Minute Order or City/County Ordinance.
Advisory speeds are the desirable speeds for curves, intersections, or other locations where
design standards or physical conditions of the roadway restrict safe operating speeds to
values less than the maximum legal speeds or posted regulatory speed limit. Advisory speed
signs may be erected within a regulatory speed zone to advise drivers of a safe operating
speed to negotiate roadway features. A Commission Minute Order or city ordinance is not
required for advisory speed zones. Therefore, advisory speed zones are more flexible as they
can be changed without revising existing commission minutes or ordinances.
For more information on construction speed zones, see
Procedures for Establishing Speed Zones volume of the Traffic Operations Manual
collection.
When reduced construction speed limits are not necessary for the operation in progress,
construction speed limit signs should be made inoperative by removing the signs. The speed
limit signs erected on posts must be properly covered at all times when the reduced speed
limits are not necessary. Locations of speed zone signs shall be set by the AE.
All traffic control devices are to be properly maintained, legible at all times, and in
conformance with the plans, specifications, the Texas Manual on Uniform Traffic Control
Devices for Streets and Highways (TMUTCD ), and the Traffic Signals Manual volume of
the Traffic Operations Manual collection.
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Chapter 5 —
Section 2 — Work Documents
Working Drawings
Specifications may require the contractor to furnish working drawings such as shop
drawings, supplementary bridge plans, or erection drawings for bridge structure
components, sign supports, illumination facilities, and other items. A Licensed Professional
Engineer will sign, seal, and date working drawings according to Item 5.3 of the Standard
Specifications. Handle the review and approval of these drawings and other required
information according to instructions found in the specifications.
Examples of Working Drawings
Drawing
Bridge structure components
Overhead sign supports
Signal poles
All lighting poles
High mast poles
High mast assemblies
Roadside sign supports
Brochures-electrical matters, etc.
Authority
According to instructions found in the specifications
Design Division (DES)
DES
AE or district office
DES
Traffic Operations Division (TRF)
AE or district office
TRF
Distribution of Shop Drawings
Drawings approved by the AE or district office are distributed as follows:
Number of Copies
2
1
1
1
Distribution of Shop Drawings
Destination
Materials & Pavements Section of CST
Contractor
Responsible division
Fabricator
Coordination of Contract Documents
Contract documents are prepared to promote agreement between the various parts of the
plans and specifications that control the work. In cases of disagreement between the plans
and specifications, the following will govern in descending order:
♦
Special Provisions
♦
Plans
♦
•
figured dimensions
•
scaled dimensions
Standard and Special Specifications.
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Chapter 5 —
Section 3 — Staking and Surveying the Project
Section 3
Staking and Surveying the Project
Overview
Construction stakes are set to establish lines and grades for roadway work. They also
establish centerlines and benchmarks for bridge layouts. These stakes will be set sufficiently
in advance of the work to avoid delay of the project. Item 5.7 of the Standard Specifications
outlines the general staking methods for construction projects.
Construction Staking Method A
Unless otherwise shown on the plans, Method A shall be used.
In Method A, the AE provides control points throughout the project for the contractor. The
contractor sets construction stakes and is responsible for the correctness of alignment,
elevation, and position of all construction required by the contract. The contractor shall
provide a qualified and experienced work force to perform this work. The contractor shall
keep the AE informed a reasonable time in advance of the time and place he intends to
work, so that measurements may be made as necessary for the record and for determination
of pay quantities. The contractor shall furnish all stakes and other materials necessary to
preserve these control points.
The AE may, at his/her option, make spot or complete checks on all construction alignment
and grades to determine the accuracy of the contractor’s survey work. These checks,
however, will not relieve the contractor of his responsibility for the correctness of alignment,
elevation, and position of all construction as shown on the plans or approved changes.
Construction Staking Method B
In Method B the AE shall set construction stakes necessary for establishing the correctness
of alignment, elevation, and position of all construction required by the contract. The
contractor shall furnish, at his expense, additional stakes and other materials necessary for
marking and maintaining points and lines.
Responsibility of the Contractor
In both methods, the contractor is held responsible for the preservation of all stakes and
marks established by the AE. If, in the opinion of the AE, any of the stakes or marks have
been carelessly or willfully destroyed or disturbed by the contractor, the cost of replacement
will be deducted from any money due or to become due the contractor.
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Chapter 5 —
Section 3 — Staking and Surveying the Project
Contractor Survey Work
Unless otherwise shown on the project plans, the contractor is responsible for setting
construction stakes for the alignment, elevation, and position of all construction on a project.
See Item 5.7 of the Standard Specifications for further information.
When the contractor is doing the surveying on a project, the AE must provide two copies of
the earthwork cross sections and two copies of the computer printouts of the Design Cross
Section List. The Design Cross Section List will be available when the interactive computer
graphic system develops the earthwork sections.
Area Engineer Survey Work
When shown on the plans, the AE is responsible for setting all construction stakes and
points on a project. See Article 5.7 of the Standard Specifications.
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Chapter 5 —
Section 4 — Inspections
Section 4
Inspections
Inspection by the Department
The AE inspects the work to determine if performance is according to the plans and
specifications. The contractor furnishes the AE with every reasonable facility to safely
expedite the inspection operations. The contractor advises the AE in advance of the
proposed construction work so the AE can inspect the work. Where practical, the AE
provides suitable inspection as the work is being done. Item 5.8 under “Authority and Duties
of Inspectors” provides that such inspection does not relieve the contractor from any
obligation to do the work according to the requirements of the specifications. However, this
part of the specifications is not justification for inadequate, unsuitable, or negligent
inspection.
Defective and Unauthorized Work
The contractor will correct or remove and replace all rejected work with acceptable work.
Otherwise, the AE has the authority to cause the correction of defective work, its removal
and replacement, or removal of unauthorized work using department resources. The AE will
deduct the cost to the department from any money due to the contractor.
The contractor may work beyond the lines and grades given or shown on the plans with the
approval of the AE. If the contractor does any extra work without written authority, it will
be at the contractor expense.
Inspection by Outside Organizations
The AE is responsible for inspection of a construction project and for determining
compliance with the contract provisions. Other organizations, both inside and outside the
department, may visit a project to review the work or project records. Review of project
records by private individuals or organizations is subject to the Public Information Act. Any
request must be in writing. See Chapter 4, Section 2 ‘Public Information Act’ for
instructions.
The Texas Architectural Barrier Act of 1991 (http://www.license.state.tx.us/ab/abfaq.htm)
gave the Texas Department of Licensing and Regulation (TDLR) authority of architectural
barriers. It is the policy of TxDOT to construct pedestrian facilities that are accessible to
persons with disabilities to the maximum extent feasible and to comply with the Americans
with Disabilities Act (ADA) (http://www.usdoj.gov/crt/ada/adahom1.htm). In order to
accomplish this, coordination is required between TxDOT and TDLR for S&E submission
and review of projects for compliance with the spirit of the Texas Architectural Barriers Act
and the guidelines established in the Texas Accessibility Standards (TAS)
(http://www.license.state.tx.us/ab/tas/abtas.htm).
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Chapter 5 —
Section 4 — Inspections
District personnel need to refer to the project plans title sheet for a note which states "TDLR
Inspection Required," indicating that the project needs to be inspected by TDLR
representatives during the construction phase. This serves as a reminder to construction
personnel to inform TDLR staff and coordinate an appropriate time for visiting the site and
inspecting pedestrian-related elements.
Districts will need to schedule a TDLR inspection two weeks prior to completion of the
work. Districts should not contact a local Independent Contract Provider to schedule the
inspection. All requests are to be submitted to TDLR in Austin. To request a TDLR
inspection:
1.
Complete a TDLR Inspection Request Form. The TDLR project number (EABPRJ#)
can be found on the TDLR review comments transmitted to the District from DES.
2.
Fax the form to TDLR.
3.
If arrangements for the inspection or the inspection itself have not been conducted
within two weeks, notify the Project Management Branch of CST for assistance.
Inspections conducted by TDLR are based on the TAS of the Architectural Barriers Act,
Article 9102, Texas Civil Statutes (http://www.license.state.tx.us/ab/tas/abtas.htm#1.3).
Such inspection does not make the TDLR a party to the contract between TxDOT and the
contractor.
Non-Exempt Federal-Aid Projects
FHWA representatives periodically inspect projects financed with federal funds according
to the Federal-Aid Policy Guide (http://www.fhwa.dot.gov/legsregs/directives/fapgtoc.htm).
Such inspection does not make the FHWA a party to the contract between the department
and the contractor.
When the FHWA representative reports to the district for the usual inspection of
construction projects, the AE may make arrangements with the representative to observe
project and independent assurance sampling and testing. However, the contractor’s normal
operations can not be delayed due to securing either type of samples. In addition, the AE
will maintain a complete file of the results of all tests performed and make them readily
available for inspection by FHWA representatives.
It is very important to inform the FHWA’s representative at the early stages of CO
preparation when the FHWA must give advance approval before the contractor starts work
covered by the change order (refer to major-minor change order definition). This early
involvement can improve department and FHWA relationships and speed up the CO
approval process.
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Chapter 5 —
Section 4 — Inspections
Exempt Federal-Aid Projects
On October 1, 1992, according to the options and provisions of the Intermodal Surface
Transportation Efficiency Act of 1991 (ISTEA) (http://ntl.bts.gov/DOCS/ste.html), TxDOT
assumed responsibility for certain federal-aid projects. FHWA and TxDOT have agreed that
the department assumes FHWA responsibilities of the program, design, and inspection on
these projects. Day-to day inspection of these projects will remain the responsibility of the
district through project completion. On December 1, 1995, responsibility for project review
and acceptance of exempt federal-aid (state oversight) projects for federal participation was
transferred from the Construction and Maintenance Division (now the Construction
Division) to the districts. Each district developed its state oversight review program. This
program is to insure that all state oversight projects are constructed in reasonably close
conformance with the approved plans, specifications, COs and that all pertinent FHWA
regulations and policies are followed. CST, in conjunction with FHWA, has developed a
Suggested State Oversight Project Review Plan.
State oversight duty is required not only on exempt federal-aid construction projects that go
through the CST letting process, but also on any project that has federal money and has been
exempted from FHWA oversight. Such projects may fall under one of the following
categories:
♦
Emergency Relief (ER)
♦
Congestion Mitigation (CM or CMAQ*)
♦
State Force Account Work
♦
Enhancement Projects.
*CM or CMAQ – Congestion Mitigation and Air Quality Improvement Program
(http://www.fhwa.dot.gov/tea21/factsheets/cmaq.htm).
Form FHWA1446 is completed and submitted to FHWA for all exempt federal-aid projects.
Effective December 1, 1995, the districts are also responsible for determining FHWA
participation for COs, time suspensions, and time extensions (TE) for exempt federal-aid
projects.
CST is responsible for the construction oversight program’s overall effectiveness in
complying with TxDOT and FHWA requirements. CST will monitor the construction
oversight program by reviewing and approving District programs. Once CST concurrence
has been provided, the District office will be responsible for adhering to and ensuring
compliance with the approved program.
State Projects
The department is responsible for state projects, from beginning through final inspection.
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Chapter 5 —
Section 4 — Inspections
Final Inspection
Item 5.12 of the Standard Specifications requires the “Final Inspection” to be made after the
contract has been satisfactorily completed (with the exception of any performance periods)
and the “Final Clean Up” is performed as described in Item 4.7. It further requires “Final
Acceptance” to be given if the work is found to be satisfactory (with the exception of any
performance periods).
To accomplish this, the AE notifies the District Construction office when the project is
satisfactorily completed. The District Construction office shall conduct a "Final Inspection"
within ten (10) days after such notification. No time charge will be made against the
contractor between the date of satisfactory completion and the date of the “Final
Inspection.”
After the “Final Inspection,” if all the work is satisfactory, with the exception of any
performance period, a ‘Final Acceptance’ letter (Final) will be completed by the District
Construction office and sent to the contractor, informing them that the project has been
accepted and they are released from further maintenance responsibilities. As further
stipulated in Item 5, the “Final Acceptance” will not release the contractor from
responsibility for all items, materials or equipment requiring performance test periods or
final measurements unless otherwise shown in the contract. To facilitate “Final Acceptance”
the district should provide a checklist of deficiencies prior to the completion of construction.
In any case, barricades should be removed and time charges suspended when work in the
field is complete.
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Chapter 5 —
Section 5 — Post Construction Evaluation
Section 5
Post Construction Evaluation
Overview
The primary purpose of the post-construction Evaluation Form is to document the quality
and constructability of a provider's design plans prepared under a given TxDOT contract.
The following process applies to firms that have contracted directly with TxDOT:
♦
Two post-construction evaluations are conducted, one by the Construction Project
Manager and one by the Project Manager responsible for the design contract.
♦
The Post Construction Provider Evaluation refers to the evaluation performed by the
Construction Project Manager.
♦
The Provider Performance Evaluation refers to the evaluation performed by the Design
Project Manager responsible for administering the professional services contract under
which the provider developed the design work.
♦
Using the Post Construction Provider Evaluation, the Construction Project Manager
evaluates a provider's quality of design plans and impact on the use of change orders to
correct deficiencies. The original evaluation is sent to the construction file and a copy is
sent to the District Design Office. The District Design Office forwards the evaluation to
the Design Project Manager.
♦
The Design Project Manager uses the Post Construction Provider Evaluation to prepare
a Provider Performance Evaluation to document the constructability and quality of
design plans based on actual construction.
♦
If the Post Construction Provider Evaluation is negative and/or shows that the change
orders were issued because the provider's design was deficient, the Design Project
Manager’s Provider Performance Evaluation will document this deficient work. Also,
the Design Project Manager may initiate the errors/omission procedures (following DES
guidance) to determine the provider's liability. The Post Construction Provider
Evaluation may be used as the initial basis for assessing liability.
If the Post Construction Provider Evaluation is positive and shows that the quality of the
provider's design was excellent, the Design Project Manager's Provider Performance
Evaluation will document the outstanding work.
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Chapter 6
Control of Materials
Contents:
Section 1 — Material ............................................................................................................6-3
Section 2 — Material Testing ...............................................................................................6-8
Section 3 — Buy America ..................................................................................................6-15
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Chapter 6 — Control of Materials
Constructioni Contract Administration
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Section 1 — Material
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Chapter 6 — Control of Materials
Section 1 — Material
Section 1
Material
Background
Control of materials is a necessary and important part of every construction project. It
involves the AE's field laboratories, the district laboratory, the Materials & Pavements
Section’s laboratory, and commercial and manufacturer’s laboratories. The Materials &
Pavements Section of the Construction Division (CST M&P) correlates the results of the
work of these various organizations. For CST M&P to do this, computer Report CIS36
(District Sourcing Letter listing material suppliers) must be posted at the earliest possible
time so proper arrangements can be made for sampling and testing of the various materials.
The contractor should order materials sufficiently in advance of related work to allow
enough time for sampling and testing. The contractor identifies the project and the
specification item number on all material orders.
The AE accepts only those materials that comply with the specification requirements. The
AE maintains records of the test results to substantiate acceptance or rejection of the
materials. Both failing and passing tests are recorded, with documentation of the disposition
of the failing material; that is, reworked, re-tested, disposed of, etc.
Many specifications provide tolerances, which allow the AE to accept work. Specification
tolerances will be applied unless the plans state otherwise.
The specifications identify which test is used for each material. The sampling and control of
materials are in the Manual of Testing Procedures and Guide Schedule of Sampling and
Testing.
Sample materials for testing at the locations and frequencies shown in the Guide Schedule.
The test procedures do not generally specify sampling points. Area personnel are responsible
for establishing locations to receive the samples when there are no established sites. The AE
notifies the contractor of the point of sampling as soon as possible to provide the contractor
a better opportunity to make corrections when the materials do not meet the specifications.
Stockpiled materials must be determined acceptable prior to payment as material-on-hand.
Item 6.1 of the Standard Specifications states:
All materials being used are subject to inspection or tests at any time during
preparation or use. Any material which has been tested and accepted at the source
of supply may be subjected to a check test after delivery, and all materials which,
when re-tested, do not meet the requirements of the specifications will be rejected.
The method and location of sampling materials should be consistent and uniform. The AE
can retest accepted materials if the material shows visible changes, does not conform to
specifications, or if further testing is called for by the specifications or Guide Schedule. CST
M&P Material Inspection Guide contains additional material specific information on the
sampling and testing responsibilities of the districts and CST M&P.
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Chapter 6 — Control of Materials
Section 1 — Material
Material Source Information
The AE should obtain accurate and complete material source information per Standard
Specifications Item 6, “Control of Materials” before granting approval to the source supplier
for all materials to be used on the project. All materials should be sourced to their original
generation location.
Materials utilized in the project must be free of any hazardous material. If materials
delivered to the project are found to be contaminated, the material shall be removed and
disposed of by the contractor (Standard Specifications Item 8.10, Hazardous Materials). It
should be noted that while some contaminated materials may be easily identified by visual
observation or smell, others may not. If there are concerns or doubts about a material’s
contamination potential, full disclosure of the source of supply may yield answers about the
material’s quality. The AE should note that Standard Specification Article 6.2 states “When
requested, the Contractor shall furnish a complete written statement of the origin,
composition and/or manufacture of any or all materials that are to be used in the work.”
Materials containing recycled hazardous waste are not allowed. "Hazardous waste" is a
regulatory term defining wastes that contain certain chemicals of concern over specified
concentration limits. However, a non-hazardous recyclable material may be acceptable for
use if it meets the engineering specifications of the material it is replacing and it meets the
environmental criteria specified in DMS-11000, "Guidelines for Evaluating and Using
Nonhazardous Recyclable Materials (NRMs) in TxDOT Projects." The AE should note that
although non-hazardous recyclable materials are not "hazardous waste" by definition, they
may contain chemicals of concern (i.e. they may be contaminated) and could present a
problem for TxDOT depending on their use. For this reason, it is important that the AE
identifies such materials and ensures they are appropriately evaluated in accordance with
DMS-11000. Contact the Environmental Affairs Division, Hazardous Materials
Management Section or the General Services Division’s Recycling Coordinator for
information relating to DMS-11000 and using non-hazardous recyclable materials in
TxDOT projects.
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Chapter 6 — Control of Materials
Section 1 — Material
Local Material Sources
Local material sources are secured for project use as either Required or Listed sources. See
the Right-of-Way Division manuals for necessary procedures and forms for acquiring an
option on a material source.
Local material sources are “Required” when the contractor must use material from sources
shown on the plans. The department assumes full responsibility for the quantity of
acceptable material available in the source. Another source will be provided if the required
source cannot produce enough acceptable material.
The contractor will be paid for all additional costs for producing material from a new source.
This payment may include the cost of dismantling, moving, and reassembling equipment,
additional haul, and additional costs in producing the material if such costs are determined.
Local material sources are “Listed” when the department has secured options or easements
on sources which allow access to the source for testing and material removal by the
successful bidder. However, the department takes no responsibility for the quantity of
acceptable material in the source. Securing options to listed sources promotes competition
by preventing any firm from getting exclusive rights to a potential source.
The contractor makes investigations to determine the quantity of acceptable material
available. The AE makes the results of all source testing available to the prospective bidders.
The contractor must provide acceptable material from either the listed source or another
source at no additional cost to the department. The department is not liable for additional
costs when a listed source does not provide a sufficient quantity of acceptable material.
Material Certification from the Contractor
Material certifications provided by the contractor may provide the basis for accepting certain
materials. The manufacturer must furnish a material certification to the department through
the contractor. Examples of such materials include cement, lime, concrete admixtures,
electrical cable, etc. The specifications may require including certain detailed information
with the certification.
Royalty Payments
Handling royalty payments is the same for both the required and the listed sources, except in
unusual and specific cases for the listed sources. The contract may require the contractor to
negotiate royalty payments with the owner of a listed source.
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Chapter 6 — Control of Materials
Section 1 — Material
Use of Designated Materials
Some project specifications require a contractor to use state-owned material, such as
material from a Reclaimed Asphalt Pavement (RAP) stockpile. The department assumes full
responsibility for the quantity and quality of acceptable material. If designated material is
unacceptable, the contractor is paid for any justifiable additional cost in securing acceptable
material through a change order.
Storage of Materials
Materials are often sampled and tested before storing. Good storage facilities must be
provided to ensure that the material does not deteriorate. The AE has the authority to
approve the storage facilities. The AE may require covers, wooden platforms, hard clean
surfaces, or any combination of these. Any material that becomes unfit for use due to
improper storage will be rejected.
Stockpiling of Aggregates
Aggregates are stockpiled for various purposes. Stockpiled aggregates for surface
treatments, Portland cement concrete, and asphaltic concrete ensure a ready supply and an
orderly progress of the work. These materials are often sampled for testing at the stockpile
site. If the material is accepted, the contractor is responsible for maintaining the quality of
the stockpiled material. Incorrect or careless handling of accepted and stockpiled material,
which results in excessive degradation, segregation, or contamination, will be justification to
re-sample and retest. If the tests fail, the AE rejects the material. For materials prone to
degradation during handling, a general note requiring acceptance sampling from the
windrow is recommended.
Some materials may vary widely but remain within the specification requirements; however,
it would be difficult to construct a uniformly good subbase or base under such conditions.
When the material varies widely, stockpiling can improve uniformity.
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Chapter 6 — Control of Materials
Section 1 — Material
Purchasing Excess Materials
Excess materials acquired by the state are handled by using the following procedures:
♦
The contractor suitably stores or stockpiles materials and the materials meet
specifications at the time the contractor turns them over to the state
♦
A duly executed CO between the state and the contractor shall cover the acquisition
♦
After completion of the CO and the work, make payment to the contractor by including
the agreed compensation in the next estimate
♦
If the materials are not to be used on the contract involved, then charge the cost to the
district stock account.
The AE should not accept materials that do not have potential TxDOT use unless
contractually obligated to do so. Refer to Receipt from Contract in Chapter 7 of the
Materials and Supply Management System (MSMS) Users’ Manual for more instructions on
transactions involving materials.
Note: When purchased materials are not used on the federal-aid project, note the material
cost as “non-participating” on the final estimate and/or the CO.
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Section 2
Material Testing
Testing of Materials
Sampling and testing of materials used on the project can be divided into the following tests:
♦
♦
Project Tests
•
acceptance
•
monitoring
Independent Assurance Tests.
The following table identifies actions and responsibility for the different types of tests.
Type of Test
Project:
Acceptance
Project:
Monitoring
Independent
Assurance (IA)
Actions and Responsibility for Tests
Results
Action
Pass or Fail
Passing material is acceptable.
Failing material is:
♦ Rejected and replaced OR
♦ Reworked and re-tested OR
♦ Accepted at reduced price for specific
items only.
Pass or Fail
Passing material is acceptable.
AE may accept failing material; however,
contractor must modify process to bring
product into a passing condition.
Meets tolerance District Laboratory compares Independent
or does not meet Assurance test to acceptable tolerances
tolerance
established in the Quality Assurance
Program for Construction, and documents
results of comparison. If result is out of
tolerance, AE determines cause and takes
remedial action.
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6-8
Test Performance
Usually in AE
laboratory; other cases,
district laboratory, CST
M&P’s laboratory or
outside laboratory.
Usually in AE
laboratory; in other
cases, district laboratory
or outside laboratory.
Any qualified
laboratory. NOTE: If IA
testing is performed by a
non-TxDOT laboratory,
the laboratory must be
accredited by the
AASHTO Accreditation
Program. The same
technician must not
perform both the project
and IA test.
TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Test Methods and Testing Equipment
When department specifications refer to specifications from outside the department,
department bulletins, or test methods, they become a part of the contract and must be
followed.
All the testing equipment must be in good working order as required by CST M&P test
methods. In addition, a qualified laboratory technician will make an independent check or
calibration on each piece of testing equipment used on project testing at least once each year
or as required by CST M&P. Examples of equipment needing calibration include, but are
not limited to, beam breakers, air meters, nuclear gauges, volumeters, and scales. Each piece
of testing equipment or a proper document attached to a piece of testing equipment should
display the date of the last check or calibration. Calibration documentation must be
maintained in accordance with the requirements described in the Quality Assurance Program
for Construction, Laboratory Qualification Program.
Project Tests
The AE uses two types of project tests – acceptance and monitoring tests – to verify whether
the material conforms to the specifications.
Acceptance Tests
Acceptance tests determine if the quality of the materials or the quality of the construction
work produced conforms to the plans and specifications. Normally, the AE is responsible for
the acceptance tests. When an acceptance test fails select one of the following solutions:
♦
Reject and remove
♦
Rework, then retest for acceptance
♦
Accept and adjust the unit price as provided by the specification.
Monitoring Tests
Monitoring tests determine the need for adjustment of the contractor’s operations, including
material adjustments or changes. Normally, the AE is responsible for the monitoring tests.
When a monitoring test fails, the contractor adjusts the operations to comply with the plans
and specifications. The AE does not reject and remove materials or products represented by
a failing test unless the AE determines that it is clearly unacceptable for the purpose
intended.
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Independent Assurance Program
The aim of the Independent Assurance (IA) Program is to ensure the accuracy of the:
♦
procedures and techniques of the project sampling and testing personnel
♦
equipment used by the project personnel.
In order to accomplish these goals, the department employs the system approach.
System Approach
The system approach is used for all items for which the tester, laboratory and testing
equipment are qualified. In order to use the system approach, testing personnel, laboratories,
and equipment must be qualified under the procedure found in the Quality Assurance
Program for Construction (QA).
The intent of the system approach to the Independent Assurance (IA) program is to assure
that testing personnel and equipment are capable of performing project tests properly. The
primary objective is to reduce the amount of testing required as compared to the project
approach. The system approach will permit TxDOT to fulfill the requirement for an IA
program by implementing a schedule of activities to cover equipment operation and tester
competence. If testing personnel and equipment are qualified according to the Quality
Assurance Program, it is assumed that the project test results are accurate and that no IA
tests are required.
IA sampling and testing shall be performed by split or proficiency samples at the frequency
established in Frequency for System Approach Independent Assurance Testing. Material is
not accepted or rejected based upon the results of IA testing.
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Referee/Split Sample
The referee/split sample procedure confirms the correlation between tests performed in
different laboratories. Such procedures may be used on many different materials. This
procedure serves as a check on the testing techniques and procedures of the personnel and
equipment at the project laboratory, and may be used on many different materials. This is an
excellent method to ensure the reliability of project testing. Additional split samples are
taken in the event of laboratory personnel changes or for wide variations between the project
tests. Some independent sampling is required to test the accuracy of the sampling method.
As an example, referee/split samples are taken for the Liquid Limit and Plasticity Index
(P.I.) tests in addition to normal testing in the early stages of projects containing large
quantities of flexible base.
Note: The sample should be split by project personnel who will perform project acceptance
tests on a portion of the sample.
Forms and Reports to be Submitted to Austin
The AE will complete and send the following forms and reports to the proper division in
Austin:
Forms and Reports to be Submitted
Form No.
Form Title
Reference Publication
Form168
Pile Record
Construction Bulletin C-8 – Pile Driving Manual
Form181
Test Pile Data
Construction Bulletin C-8 – Pile Driving Manual
Form1276
Drilled Shaft Records
Construction Bulletin C-9 – Drilled Shaft Manual
Form269*
Monthly Record of Material Received CST M&P, Operations Manual
Form107*
Final Summary of Material Tested
CST M&P, Operations Manual
202-97
Identification of Material Samples
CST M&P, Operations Manual.
517
Tag Envelope
CST M&P, Operations Manual
*Required only if the contract is not on computer (such as emergency contracts).
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Forms and Reports Not To Be Submitted to Austin
The AE will complete the following forms or equivalent substitutions, according to
instructions issued by the district engineer:
Forms and Reports Not to be Submitted
Form No.
Form Title
Reference
187
Daily Road Report – Asphalt
Construction Records to Support Pay Quantities of
Work Done on Contract Construction Projects
309
Concrete Design Work Sheet – Natural
Aggregates
310
Field Laboratory Aggregate Sieve
Analysis Report
311 Rev. Daily Road Report – Concrete Pavement
312 Rev. Field Laboratory Report for Concrete
356 Rev. Concrete Design Report
360
Soil Laboratory Mechanical Analysis of CST M&P, Test Method “Tex-110-E, Particle Size
Soil and Base Course Aggregate
Analysis of Soils.”
404 Rev. Daily Construction Report: Asphaltic
* Not required when automated hot mix program is
Concrete Pavement
used.
476A
Soils and Base Materials Test Report
CST M&P, Operations Manual . This form may be
obsolete for the users.
1644
Asphaltic Concrete Centrifuge
CST M&P, Test Method “Tex-210-F, Determining
Extraction Work Sheet
Asphalt Content of Bituminous Mixtures by
Extraction.”
1645
Asphaltic Concrete Vacuum Extraction CST M&P, Test Method “Tex-210-F, Determining
Work Sheet
Asphalt Content of Bituminous Mixtures by
Extraction.”
481
Cumulative Mechanical Analysis
CST M&P, Test Method “Tex-110-E, Particle Size
Analysis of Soils.”
1748
Worksheet for Test Method “Tex-104-E, CST M&P, test methods “Tex-104-E, Determining
Liquid Limits of Soils, Tex-105-E, Determining Plastic
Determining Liquid Limits of Soils”
Limits of Soils” and “Tex-110-E, Particle Size
♦ (1748-1) for 1-point method
Analysis of Soils.”
♦ (1748-3) for 3-point method
♦ (ex1748) to see an example of 3point method worksheet
544 Rev. Asphaltic Concrete Sieve Analysis
Worksheet
545 Rev. Asphaltic Concrete Data Sheet on
Molded Specimens and Road Samples
1062
Triaxial Test Data Sheet (1062)
CST M&P, Test Method “Tex-117-E, Triaxial
Compression for Disturbed Soils and Base Materials.”
590
Weekly Summary of Embankment
May be used as construction records to support pay
Subbase or Base Material Tests Results quantities of work done on contract construction
project. No longer required.
596
Concrete Batch Tickets
Cement Factor Curve
Construction Bulletin C-11
Pilot Strength
Construction Bulletin C-11
Density Stability Curve
Construction Bulletin C-14
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Portland Cement Concrete Plant Inspection
A department inspector will be present at the concrete batch plant when batching concrete
for:
♦
Bridge decks
♦
Concrete with high range water reducer
♦
Concrete for post tensioned members
♦
Mass concrete with temperature control
♦
Critical concrete such as latex-modified concrete
♦
Instances when the maturity method is used for estimating concrete strength
♦
Instances specified by the AE.
The inspector will ensure:
♦
Practices, such as stockpiling and loading at the plant, contribute to maximum
uniformity and durability
♦
Only materials conforming to the specifications are used
♦
Batching and mixing practices are satisfactory.
CST M&P’s Quality Monitoring (QM) Programs
The “Quality Monitoring (QM) Programs”were created by CST M&P to improve efficiency
of TxDOT operations. The QMP provides the requirements and procedures for CST M&P to
accept products that have demonstrated continuing quality and uniformity. The QMP allows
the districts to use materials from rated sources qualified through QMP without project
specific testing by CST M&P. The districts need to subject only Aggregate Quality
Monitoring Program (AQMP) materials to job control tests for final acceptance.
The kinds of qualified materials currently covered by the QMP include aggregate, lime,
cement and steel. Test Method “Tex-499-A, Aggregate Quality Monitoring Program,” for
example, is designed to provide continuous quality assurance of aggregate products,
including:
♦
Quality monitoring of aggregate products representing normal production at a single
source
♦
Statistical evaluation of recent aggregate quality test histories
♦
Expediency in aggregate quality acceptance and optimized resource utilization by
reducing aggregate acceptance on a test-prior-to-use basis. Aggregate suppliers are
added to AQMP based on test history of aggregate products used on TxDOT projects.
To obtain detailed information and rules regarding the Quality Monitoring Program for
specific materials, please refer to the Materials Directory in CST M&P’s on-line Operations
Manual or contact CST M&P.
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Guide Schedule of Sampling and Testing
Guide Schedule tables (English or Metric) apply to all construction contracts. The frequency
of tests shown in these tables is the minimum acceptable. The AE may perform additional
testing as necessary.
The type of tests shown in the schedule are project tests. A description of this test appears
earlier in this section. The department or independent laboratories employed by TxDOT will
conduct testing except when shown on the plans. Contractor-performed QC sampling and
testing may be used as part of the acceptance decision when required or allowed by
specification (currently, allowed only in QC/QA hot mix), and the conditions described in
the Acceptance Program are met. In all other cases, contractor testing is for information only
at the contractor’s expense, and such testing will not replace testing done by the department.
The FHWA requires submission of a list of exceptions for the material certification. When a
non-exempt federal-aid project test fails but the product is accepted, document the reasons
for acceptance on the ‘Letter of Certification of Materials Used’ (Material). Do not include
failing material which has been reworked, re-tested, and meets the specifications in the list
of exceptions.
For exempt federal-aid (SLOA) projects and state projects, the AE should document in the
project file the justification and explanation for acceptance of materials that fail project tests.
Automated Guide Schedule
A computer program, Autoguide, which computes the required number of tests based on the
“Guide Schedule of Sampling and Testing,” is available from CST M&P.
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 3 — Buy America
Section 3
Buy America
Overview
"Item 6, Control of Materials," Article 6.1. 'Sources of Supply and Quality of Materials,'
requires that:
All manufacturing processes for steel or iron materials, or for the"action of
applying a coating" to these materials (i.e., epoxy coating, galvanizing, painting,
and any other coating that protects or enhances the value of the steel or iron
material) permanently incorporated into the finished project must occur in the
United States.
This specification requirement, however, allows a minimal use of foreign materials.
The Buy America Documentation Program became effective August 1, 1993 for all TxDOT
projects. A comprehensive overview of the program can be found in the CST M&P's
Material Inspection Guide.
In the event a supplier is possibly providing improper or falsified documentation, the
TxDOT entity responsible for acceptance of the material (division or district warehouse,
project engineer, General Services Division and/or CST M&P) shall notify the supplier in
writing regarding the problem and take appropriate action. The Texas Attorney General's
Office must be notified of major violations.
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TxDOT 11/2002
Chapter 7
Change Orders
Contents:
Section 1 — Changes in Work..............................................................................................7-3
Section 2 — Change Order Approval Policy and Process..................................................7-10
Section 3 — Additional Agreements ..................................................................................7-16
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Chapter 7 — Change Orders
Construction Contract Administration
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Section 1 — Changes in Work
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Section 1
Changes in Work
Significant Changes In the Character of Work
It is the intent of TxDOT to amend contracts whenever a significant change in character of
work occurs.
The engineer has the right to make necessary changes in quantities or alterations in the
work, in writing and at any time, to satisfactorily complete the project. As agreed in the
original contract, the contractor shall perform the work as increased, decreased, or altered. If
changes or alterations significantly change the character of the work under the contract, a
Change Order (CO) must be approved before beginning the changed or altered work.
Item 4.2 of the Standard Specifications defines the condition of significant change. The term
“significant change” shall apply only to the following circumstances:
♦
When the character of the work as altered or changed differs materially in kind or
nature from the original proposed construction, or
♦
When a major item as defined below is increased in excess of 125 percent or decreased
below 75 percent of the original contract quantity.
A major item is defined as any individual bid item included in the proposal that has a total
cost equal to or greater than 5 percent of the original contract or $100,000.00, whichever is
less. Note that a major item at the time of bid will remain a major item. An item that is not
originally a major item does not become one through overruns, COs, etc.
Change Orders
Area office personnel prepare CO’s using the guidelines in this chapter. CO’s are used when
revisions, additions, or deletions to the work are necessary. Changes are made due to error
or omission in the plans, differing site conditions, adding a specification, resolving a dispute,
changing the sequence of work, etc. CO’s with original signatures are routed to CST for
further handling.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Preparation of Change Orders
The CO must show all information and quantities about the proposed change. The contractor
will not be allowed to start the proposed work until the department approves the CO. A
performance bond is not required if the CO amount increases the contract cost above the
$100,000 requirement. The AE prepares the CO as described in the following table:
Step
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Preparing Change Orders
Action
Number each CO consecutively.
Insert the contractor’s name as it appears in the contract (do not reuse CO numbers).
Reference the controlling control-section-job number (CCSJ) on a project containing several
control-section-jobs (CSJs).
♦ Costs are usually prorated to all CSJs in the contract.
♦ When changes apply to a specific CSJ on the CO, mention it in the transmittal memo to the
Contract Administration Branch of CST.
Show the limits of the proposed change in station-to-station numbers.
Indicate if a change is major or minor according to the definition in this manual for federal-aid
non-exempt projects.
State the reason(s) for the CO listing the primary reason(s) if needed. Refer to CO6-02 (Code
Chart tab) for CO.
Describe clearly and concisely the work to be done and the necessity. If a TE is granted, state the
reason for granting time.
Show only those bid items involved in the change, plus any force account work, items,
quantities, or prices.
Attach a half-size copy of the applicable drawings.
If the granted time is part of the CO, number the TE consecutively.
Include a full explanation, including price justification on new bid items, for the proposed work
in the transmittal memo. There may be a delay of the CO approval until the explanation is
received.
If the CO involves third party funding, complete the funding information form, CO6-02 (3rd
Party Funding tab).
CO’s covering modifications to the original contract constitute a portion of the contract. All
CO’s must be signed by the contractor. The written statement in the contractor’s signature block
on the CO form shall not be used to deny the contractor legitimate additional compensation for
work beyond the scope of the CO or for work under the CO that was not apparent or predictable
at the time of CO execution.
Change Orders need to be sealed in accordance with the
Procedures for Sealing Engineering Documents outlined in the DES,
Project Development Policy Manual . District offices must ensure that originals of all change
orders are forwarded to CST to maintain contract files and the automated Contract Tracking
System (CTS).
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Project Cost Overruns
To better manage program funding, TxDOT will consider charging to the district bank
balance the cost of all Change Orders requiring administration's approval. Decisions are
made on a case by case basis.
When submitting CO's for approval, consider which bank balance category could be used
for financing the overruns. Upon approval, CST will be notified of the decision as to
whether or not to charge an overrun to the district bank balance, and will then coordinate
with DES for any necessary program adjustments. DES will coordinate with the affected
district and TPP for any necessary adjustments to the Design/Construction Information
system (DCIS).
Change Orders and TDLR Submissions
Texas Department of Licensing and Regulation (TDLR) will perform a site inspection on
projects submitted to them for PS&E review. TxDOT personnel need to keep TDLR
appraised of any changes that affect pedestrian elements on the same projects. The district is
responsible for determining whether the CO affects pedestrian elements. If it does, the
district needs to place the following note on the Change Order Form, under Item 5 “Describe
the work being revised.”
A copy of this Change Order must be sent to the Field Coordination Section of the Design
Division.
In order to help assure division coordination with TDLR, the district will need to explain in
the transmittal memorandum to CST the reason(s) for adding this note to the Change Order
Form.
Upon receipt of the Change Order, DES will consult with TRF and determine whether the
Change Order needs to be forwarded to TDLR for their information. If Change Orders result
in the cost of pedestrian elements rising to $50,000 or more, DES will contact the district to
obtain the information necessary to make full plans submission to TDLR.
For all projects, if any deviation from Texas Accessibility Standards (TAS) is discovered in
the field and it can not be corrected to attain compliance, a variance needs to be submitted
immediately through DES or TRF for processing to TDLR.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Environmental Review of Change Orders
All proposed changes will be adequately analyzed with the District's environmental branch
for environmental considerations, obligations or commitments to other agencies.
Environmental clearance on any project is valid for the work described therein and shown
on the plans submitted for environmental clearance. The AE is responsible for consulting
with the District’s Environmental Coordinator for any work proposed in addition to
(especially project limit extensions), or as a deviation from that which has received
clearance. Significant changes could require amended or additional environmental clearance
or permits.
Change Order Transmittal
A transmittal memo must accompany a CO to provide additional information not contained
in the CO. An explanation is required when either the Assistant Executive Director for
Engineering Operations or FHWA must provide approval. The memo should include the
following:
♦
Who prepared the plans;
♦
Reason for the change;
♦
Status of the work;
♦
Price justification for newly added items;
♦
District and statewide average bid prices for newly added items; and
♦
Environmental clearance for added roadways.
Note: When the AE or the DE approves a CO for a state funded construction project, submit
only the CO form to CST.
Advanced Funding Agreements
An Advanced Funding Agreement (AFA) is used when some, or all, of a project’s funding
is from an outside source (third party). If a change in a project causes an increase in or a
need for third party funding, the district shall attach a completed 3rd Party Funding
Agreement (CO6-02, 3rd Party Funding tab). Signature of the District Engineer (or the
Designee) on the form indicates that third party funds have been arranged.
For detailed information about the Advanced Funding Agreements used for highway
improvements requested and funded by outside public entities, see Chapter 9 of the Contract
Management Manual prepared by the Contract Services Office.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Force Account
The following requirements concern force account work performed by the contractor:
♦
When the CO provides for force account work (CO6-02, Contract Items, pg 1, pg 2), the
equipment description must list brand, year, model, serial number, type, size,
horsepower, or other identification.
♦
Establish equipment rates and operating costs using the Rental Rate Blue Book, based
on the above description. See Item 9.4 of the Standard Specifications. When it is
necessary for a contractor to rent equipment, payment will equal the actual invoice cost.
If the invoice cost is excessive, the AE has the right to use the comparable Blue Book
rates.
♦
For contractor force account work not included in the contract, list each classification of
labor including equipment operators. When the CO shows a classification, the wage rate
cannot be less than shown in the contracts. On federal-aid projects if the wage rate
schedule in the contract does not list the classification, then CST must approve a
minimum wage rate. When the U.S. Department of Labor periodically increases the
requested minimum wage rate the contractor must pay the difference to the personnel
involved. On state projects, a new wage rate must be at least equal to the federal
minimum wage rate and agreed to by the contractor and the department.
♦
Show only labor rates, equipment rates, and the total dollar amount for the force
account work on the CO. Submit any additional information necessary to support the
CO.
♦
When the proposed force account work is less than $5,000, the contractor may submit a
breakdown of estimated costs; that is, total labor, equipment, and material. After the AE
evaluates the cost breakdown, prepare a CO using the estimated invoice cost. After
completion of the work, the contractor will submit a certified invoice, which contains a
single dollar amount for the contractor’s actual total cost for labor, equipment,
materials, and incidentals. This total cost also shall contain additional compensation as
shown in Item 9.4 of the Standard Specifications and Special Provision. A cost
justification may be required and the CO must still be approved before work begins.
The work can be done by the prime contractor or an approved subcontractor.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Record Keeping
Measurements of work performed according to the bid items, either in the original contract
or added by CO, will be according to these items. Normal record keeping will include the
preparation of Forms 1257, 1258, project diaries, etc.
Force account work requires different record keeping than that described above. When the
work is not paid by certified correct invoice, the department inspector will prepare Form316,
‘Daily Report of Force Account Work’ each day. All equipment and labor must match those
shown on the approved CO. It is necessary to approve a supplemental CO if different or
additional equipment or labor is required. In SiteManager a Daily Work Record is used to
track Force Account work.
The inspector and the superintendent must agree on the force account work at the end of
each day. The inspector, the superintendent, and the AE will sign all copies of the ‘Daily
Report of Force Account Work’ (Form 316). For force account work paid by invoice, the
AE reviews the invoice cost.
Payment
For work performed according to the bid items, regular partial payments are issued on the
monthly estimates.
For force account work, payment is made as a single line item on the monthly estimate.
Payment for labor and equipment is based on the quantities shown on Form 316 Rev.
Regardless of the labor rate shown on the CO, the actual labor rate cannot exceed the labor
rate shown on the contractor’s payroll. For example, if the CO shows a welder at a wage rate
of $15 per hour and the contractor’s payroll shows the actual rate was $11 per hour, use the
$11 rate, assuming it satisfies the Davis-Bacon Act (40 U.S.C. Section 276a) on wage rates.
Payment for rented equipment and materials used in the extra work is based on the
contractor’s invoices. For detailed information about payment see Item 9 of the Standard
Specifications.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 1 — Changes in Work
Slight Deviations
Below are circumstances that do not require a CO, but need to be shown in the as-built
plans:
♦
A slight change in the flow line grade or the skew of a drainage pipe or culvert
♦
Addition or deletion of a driveway pipe
♦
A slight relocation of a crossroad drainage facility
♦
A slight adjustment of the road grade line
♦
A slight adjustment to a drainage channel
♦
A slight adjustment to a traffic sign, traffic signal pole, or illumination pole foundation
♦
A slight adjustment to the Traffic Control Plan.
Time Extensions (TE)
TE’s are granted by the AE and are granted either by a letter to the contractor (Time) or by
CO. TE’s granted by a letter to the contractor are approved by the AE. A TE shown on a CO
is approved with the approval of the CO. All Time Adjustments in SiteManager are done by
CO.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
Section 2
Change Order Approval Policy and Process
TxDOT Change Order Approval Policy
A CO has TxDOT approval once it is signed by the level of signature authority prescribed
by TxDOT administration. The current signature authority for CO’s of construction projects
is as detailed in the CSO, Contract Management Manual, Chapter 2, Contracting Authority.
Change Order Signature Authority
Signature Authority:
AE
District Engineer, Deputy District Engineer, District Director
of Operations, District Director of Construction, Construction
Division Director, Construction Section Director
$300,000 or greater
Assistant Executive Director, Engineering Operations (AED,
EO)
CO changing project limits (construction contracts) AED, EO
Change Order Category:
Less than $50,000
Less than $300,000
A CO that requires a design exception shall be submitted to the appropriate Design
Exception Committee and be approved by the Director of the Design Division or the
Director of Bridge Division.
When CO’s involve traffic control plans (TCP) and/or design changes, the district office
section responsible for the area addressed in the CO should review and approve the
change(s) prior to the appropriate signature approval (i.e., district traffic section, lab,
pavement section, etc.).
CO’s settling disputes should follow the standard signature authority as it stands.
Work authorized by a CO can begin after the CO is approved by signature, or verbal
approval is given by the level of approval authority on:
♦
All CO’s on state funded projects
♦
Minor CO’s on non-exempt federal-aid projects (known also as FLOA for Federal
Letter of Authority), and
♦
All CO’s on exempt federal-aid projects (known also as SLOA for State Letter of
Authority).
All above signature authorities are subject to change in accordance with any changes in the
latest Delegation of Signature Authority.
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TxDOT 9/2002
Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
TxDOT Change Order Approval Process
The following steps outline the procedures for the CO approval.
Step
1
2
3
4
5
6
7
TxDOT Change Order Approval Process
Action
The AE and contractor define details and scope of problem.
The AE and contractor evaluate possible solutions. The AE may request assistance from the District
Construction Office or the District Design Office.
♦ The AE determines the most feasible solution while making certain PS&E parameters are
satisfied.
♦ The AE estimates the cost of the proposed work using contract costs and information from the
contractor.
The AE determines if a revision in contract time is necessary and, if so includes a Time Extension in
the CO. See ‘Time Extensions’ and ‘Contract Time.’
The AE prepares the CO and supporting documentation, including plans, specification changes, cost
justification, letter of explanation and obtains contractor signature on CO.
AE signs the CO and checks the appropriate “approved” or “request approval” box. The CO is
normally submitted to the District Construction Office which coordinates the DE signature (if desired
or required) and submits the CO containing the original signatures and any needed documentation to
CST. The DE must sign CO’s needing Austin office approval.
♦ When Austin office approval is required, CST coordinates the recommendation from other
applicable divisions.
♦ The Director of CST recommends approval to the Assistant Executive Director for Engineering
Operations.
♦ Upon approval, CST will immediately notify the District Construction Office.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
FHWA Approval Policy on Non-Exempt Federal-Aid Projects (FHWA Oversight Projects)
After TxDOT approval for the CO is obtained, CST coordinates the FHWA approval. The
FHWA must formally approve all CO’s on projects where the FHWA has oversight
responsibility. A CO on these projects is one of two types: Major or Minor. Minor and
Major COs are reviewed and approved by the FHWA during the course of the project.
The AE determines if the CO is “Major” or “Minor” based on the following table:
Major/Minor Change Orders for FHWA Oversight Projects
Scope of Change
♦ Reduces the geometric design or structural capacity below project design criteria
(any reduction in geometric design which would normally have required a design
exception).
♦ Increases the contract by 25% of the original contract or by $300,000 whichever is
less.
♦ Changes project limits.
♦ Any change in the Traffic Control Plan (TCP), which reduces the capacity as shown
on the plans for the through traffic or the traffic on major cross streets.
♦ Settlement of a dispute*.
♦ Changes the access on a controlled access highway.
Minor
Everything not described above.
*For additional information see Chapter 8 ‘Disputes and Claims.’
Type of Change
Major
When Work Can Begin on Major Change Orders (FHWA Oversight Projects)
Work authorized by a major CO for non-exempt federal-aid projects can only begin after
FHWA approval is obtained. If work is begun on a major CO before FHWA approval is
obtained, that work is subject to being ruled as non-participating by the FHWA. If work
authorized by a major CO is performed and the CO is disapproved by the FHWA, the entire
project is subject to being ruled as non-participating by the FHWA.
When Work Can Begin on Minor Change Order (FHWA Oversight Projects)
Work authorized by a minor CO for non-exempt federal-aid projects can begin after TxDOT
approval has been obtained. If prior FHWA approval is not received before beginning work,
the change order may still be non-participating.
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Section 2 — Change Order Approval Policy and Process
Change Order Approval Process on Non-Exempt Federal-Aid Project (FHWA Oversight
Projects)
The major and minor CO’s require FHWA’s approval as detailed below:
Step
1
2
3
4
5
6
7
8
9
Change Order Approval Process on Non-Exempt Federal Aid-Projects
Action
The CO is sent to CST through the District Construction Office.
TxDOT approval is first obtained, CST submits the CO to the FHWA for review and
approval.
All Major and Minor Change Orders are reviewed and approved by the FHWA during the
course of the project.
Major Change Orders must have FHWA approval before the contractor can begin work.
FHWA will determine any "non-participating" amounts, if any.
If the CO includes a time extension, the FHWA will determine any "non-participating"
days, if any.
CST will notify FIN of any "non-participating" amounts and/or days.
Upon approval by FHWA, CST notifies District Construction Office.
CST logs the approvals into CTS.
Note for major Change Orders needing immediate approval:
♦
The FHWA can give verbal approval to the district or CST.
♦
Formal written approval will follow as soon as practical.
♦
It is recommended, that AE's keep the District, Divisions and the FHWA informed
during the development of a CO that will need immediate approval.
Change Order Approval Process for Exempt Federal-Aid Projects (State Oversight
Projects)
TxDOT approval of the CO authorizes the work since the FHWA transferred oversight
responsibility to TxDOT on exempt federal-aid projects. Work authorized by the CO can
begin after TxDOT approval is obtained. CO’s on exempt federal-aid projects follow the
approval procedures of the ‘TxDOT Change Order Approval Process’with the following
additional step:
♦
The district determines if the CO is participating or non-participating in federal funds
based on the Federal-Aid Policy Guide and ‘Participating/Non Participating on Federalaid Projects’ described hereunder. On a non-participating CO, the AE writes on the CO
the non-participating amount and days in the “For TxDOT Use Only” box before it is
sent to CST. CST then sends a copy of the CO to FIN. In SiteManager a single CO can
not be set up as both Participating and Non-participating.
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Section 2 — Change Order Approval Policy and Process
Participating/Non-Participating on Federal-Aid Projects
Federal-aid funds can be used to participate in CO’s which are:
♦
In conformance with federal and state laws, and
♦
Allowed by the Federal-Aid Policy Guide (CFR-23), or
♦
In compliance with an FHWA policy or procedure.
Also, participation can be granted in retrospect by the FHWA if:
♦
The work on the CO did not adversely affect the public, and
♦
TxDOT acted in good faith to willfully not violate a federal requirement, and
♦
The work was performed in full compliance with federal and state laws, and
♦
The cost to the FHWA is not excess of the cost incurred had there been full compliance,
and
♦
The work was performed according to the plans and specifications.
The Federal-Aid Policy Guide (CFR-23) (listed as Title 23) can be found at the Internet web
site http://www.access.gpo.gov/cgi-bin/cfrassemble.cgi?title=200223 or the FHWA Internet
web site http://www.fhwa.dot.gov/. Some examples of CO’s that would be considered
FHWA non-participation are:
1.
Work performed prior to the “effective date” given in the Federal Letter of
Authorization.
2.
Work performed outside the project limits, unless the limits are extended and approved
by FHWA in writing.
On State oversight, federally funded projects, the Federal Project Authorization and
Agreement (FPAA) must reflect accurate project limits. Therefore, to obtain FHWA
participation, the Administrative Operations Branch of CST will review the CO Form for
FHWA participation, and send a copy of the approved change order with a memo to the
Letting Management Section of the Design Division to request a revised FPAA. Some
examples of contract items which are considered not eligible for FHWA participation are as
follows:
1.
Work performed by State Forces or other “non-competitively bid” situation unless
covered by a written “Public Interest Determination” (Public).
2.
Completed work that is not in “substantial compliance” with the plans and
specifications. “Substantial” is determined by the FHWA or the person delegated
authority to act on behalf of the FHWA.
3.
Materials which do not meet specifications. If the engineer determines the material will
serve the intended purpose, it may remain in place at a reduced price, with Federal
participation in the reduced price. The Engineer may accept minor deviations at full
price, with Federal participation in the full price.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
4.
Additional time or cost caused by unacquired right-of-way and/or incomplete utility
adjustments at the time of letting.
5.
Purchase of materials from a contractor not used on a project and placed in State Stock.
If the material is subsequently furnished to a contractor for use on another Federal-aid
Project, the cost may be charged to the project on which it was used.
6.
Negotiated prices that are not justified. “Justified” is determined by the FHWA or the
person delegated authority to act on behalf of the FHWA.
7.
Work done for the convenience of the contractor.
8.
Claim settlements, which are not audited unless the audit requirement is waived in
writing.
9.
Work for which the contract provides another means of payment such as “Incidental
Construction.”
Expeditious Approval of Change Orders Needing Austin Office or FHWA Approval
After the DE has signed the CO, the District Construction Office will contact the
Administrative Operations Branch of CST to request the expeditious approval of a CO
needing approval by the Austin Office and/or by the FHWA.
Cost Justification for Newly Added Items
When new items are to be added to a contract the contractor must submit a cost breakdown
and justification of the price(s). The AE is responsible for determining if the contractor’s
price(s) is reasonable and justifiable.
On COs needing Austin office approval and on major COs on Non-Exempt Federal-Aid
Projects (FHWA Oversight Projects) the contractor’s cost breakdown must be attached to
the CO. The AE should also prepare a statement of justification in the CO transmittal
memorandum to the district office. The statement should be similar to the following:
Cost justification has been reviewed and supports the cost for this work on this
project. The proposed unit price(s) is fair and reasonable based on a comparison to
the statewide and district average unit bid price reports, or the small quantity of
work involved, or the difficulty of construction conditions, or an independent cost
analysis (attached).
The district will submit to CST the contractor’s breakdown and the AE’s transmittal memo
with the AE’s justification statement.
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Chapter 7 — Change Orders
Section 3 — Additional Agreements
Section 3
Additional Agreements
Supplemental Agreements
A Supplemental Agreement (SA) is a formal agreement between the contracting parties
amending the contract in some manner.
A Supplemental Agreement is used to:
♦
Settle disputes
♦
Assign the contract changes from one entity to another
♦
Change the legal name of the contractor.
SA's with original signatures are routed to CST for further handling.
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Chapter 8
Disputes and Claims
Contents:
Section 1 — Disputes............................................................................................................8-3
Section 2 — Claims ..............................................................................................................8-5
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Section 1 — Disputes
Section 1
Disputes
Department’s Dispute Resolution Policy
It is the department’s policy to resolve disputes at the lowest level, thereby preventing
claims. Resolution of problems by the AE at the time they occur generally provides the
lowest cost and least time-consuming solution.
Dispute Resolution
Project administration is based on the terms and conditions in the contract. Although plans
and specifications provide specific guidance on how the project is to be constructed, no set
of plans is perfect. Problems in the plans or specifications can normally be addressed to the
satisfaction of all parties. Disagreement is created when major impacts to the cost of the
work are not addressed to the satisfaction of all parties. Unresolved disagreements can lead
to disputes and eventually claims.* Every effort should be made to resolve disputes at the
local level.
Successful resolution of disputes requires a combined effort between the AE and the district
staff. The Project Management Branch of CST is available to provide assistance in resolving
disputes. This assistance can be in the form of advice over the telephone or a written report
outlining recommendations on the issues.
*A dispute is defined as a disagreement between TxDOT and a contractor on a contract
issue. A claim is defined as a dispute that is not resolved and requires formal action by the
TxDOT Contract Claims Committee.
Appeals in Disputes
In the event that an impasse is reached between the district and contractor, the contractor has
the right to request an appeal of the district’s final decision in accordance with
Administrative Circular 10-87. If a final decision is appealed by the contractor, the district
requests the Project Management Branch of CST to review the district’s position. A
recommendation is then provided by CST to the district for consideration. Resolution of a
dispute is handled by a CO. A supplemental agreement can be used to settle complicated
disputes providing a way to outline all of the specific issues and their resolution.
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Chapter 8 — Disputes and Claims
Section 1 — Disputes
Relation of Project Records to Disputes and Claims
The AE and district office must maintain complete and accurate project records. Failure to
keep good records can cost considerable sums of money, as available documents and records
will constitute the basis for decisions concerning the contractor’s claim.
The following guidelines are the minimum steps necessary to protect the department from
claims:
♦
Have the contractor furnish a chart or schedule depicting the work schedule as required
according to Item 8.2 of the Standard Specifications. If the contractor falls behind his
published schedule, ask for a revised schedule.
♦
Review the contractor’s schedule, keeping in mind past performance, available
equipment and personnel, construction sequences or phases, weather, etc.
♦
Respond to the contractor in writing concerning any schedule which appears unrealistic.
Request additional information and ask the contractor to justify or clarify unrealistic
schedules.
Note: If the progress schedule is unrealistic and the AE does not question it before beginning
work on the project, it is considered approved by the department. Later disputes may
result in the contractor’s claim for additional costs on the basis that the dispute caused
failure to meet the schedule.
Record in detail any information that may have a connection with a probable dispute or
claim against the department in the project diary.
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Chapter 8 — Disputes and Claims
Section 2 — Claims
Section 2
Claims
Claims
If a contractor does not agree with the district’s decision on the dispute, the contractor may
file a detailed report and contract claim request with one of the following:
♦
The District Engineer (DE) under whose administration the contract was or is being
performed
♦
CST
♦
The Contract Claims Committee of TxDOT.
Documents filed with the DE or CST will be transmitted to the Contract Claims Committee.
The Committee may ask CST for a review by the Project Management Branch.
The Project Management Branch of CST will consult with the district and the contractor to
secure any additional information necessary to produce a report containing
recommendations for the resolution of the claim. The district must respond in writing to the
claim.
Upon review of the claim, CST provides a recommendation for resolution to the Contract
Claims Committee. After a claims meeting with the contractor and district, the Committee
makes a final determination, which resolves the claim.
Administrative Hearings
A claim, which is not resolved by the Contract Claims Committee, is referred to an
Administrative Hearing. This is a legal proceeding, which is presided over by an appointed
administrative hearing officer. The hearing is conducted by the State Office of
Administrative Hearings and not TxDOT. The district staff and AE work with the Attorney
General’s office in preparation for the hearing. The hearing officer makes a determination
on the claim based on the evidence presented.
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Chapter 9
Legal Relationships and Responsibilities to the Public
Contents:
Section 1 — Responsibilities to the Public...........................................................................9-3
Section 2 — Conflicts of Interest..........................................................................................9-8
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Section 1 — Responsibilities to the Public
Section 1
Responsibilities to the Public
Texas Department of Transportation
Item 7 of the Standard Specifications requires the contractor to be familiar with and comply
with all laws, ordinances, and regulations, which affect the work. Although TxDOT is not a
law enforcement agency, the AE is responsible for monitoring the contractor’s compliance
with laws that relate to the contract. There are also other provisions and regulations, which
are the responsibility of other federal and state agencies. The AE will aid the enforcing
agency whenever possible. TxDOT can withhold funds or suspend work to assist the
responsible agency in enforcing applicable laws, rules and regulations.
Federal Highway Administration
Federal law requires all federal-aid construction contracts to contain provisions that the
work will be done according to the federal regulations. The Federal Highway Administration
(FHWA) ensures that these requirements are met by review and approval of department
policies procedures, manuals, and specifications. For example, FHWA has approved this
Manual for use on Federal-aid projects. Accordingly, compliance with TxDOT policies and
procedures should assure compliance with FHWA regulations. The FHWA may also review
actual project conditions on a selective or sampling basis.
On exempt federal-aid projects, the FHWA has delegated this responsibility to the
department. FHWA or CST may conduct a process review to make sure the department has
fulfilled this responsibility.
U.S. Department of Labor
The United States Department of Labor (DOL) is responsible for administering the national
program for occupational safety and health. The Occupational Safety and Health
Administration (OSHA), a division of DOL, issues and enforces mandatory safety and
health regulations and standards. OSHA will investigate complaints, conduct safety
inspections, issue citations for violations, assess penalties, and handle appeals.
Project as a Joint Effort
Every construction project is a joint effort between the department and the contractor.
Department employees and contractor personnel should work together to expedite the
prosecution of the project. The work is to be done without violating the terms and conditions
of the contract or sacrificing the quality of work or materials.
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Section 1 — Responsibilities to the Public
Responsibilities of Department Personnel
TxDOT employees are expected to work with contractors in a congenial and professional
manner. Give clear, precise and concise instructions without any trace of malice,
unfriendliness, or anger. Limit instructions to the contractor to those within the scope of the
plans and specifications. Ask the contractor if there are questions about any instructions.
Resolve misunderstandings with the contractor’s employees promptly.
Provide important instructions to the contractor in writing and keep them in the project
records. Record verbal instructions on minor conditions in the project diary.
Department employees are to provide instructions only to authorized contractor personnel.
The AE may discuss minor irregularities with individual workers if the contractor has agreed
to allow direct contact with employees.
Differences of opinion about the contract, such as interpretation of the specifications, quality
of work, measurement and payment of items, may occur between the contractor’s employees
and those of TxDOT. The AE will try to resolve these differences promptly and fairly within
the scope of the contract documents. If disagreements cannot be satisfactorily resolved, the
AE will refer the matter to an immediate supervisor. When requested by the district, CST
will help resolve disputes.
The Public
TxDOT personnel are public employees. The public will judge the department by its work
and by the action and attitude of each employee. Each employee has a definite responsibility
for creating good will for the department. Therefore, all employees should conduct
themselves in a manner that will earn the respect and confidence of the public.
TxDOT employees are expected to extend courtesy and patience to the public. Take
precautions in those instances where it is necessary to inconvenience the public due to
construction operations. Provide adequate warning signs, barricades, directional signs,
flaggers, access to property, etc., to move traffic quickly and safely through the work area.
Access to private property must be maintained during the time of operations. When access to
any property is temporarily interrupted, advise the occupant of the interruption with a
minimum of one day advance notice. A courteous explanation of the reasons for the
conditions and courteous responses to questions are essential in maintaining a good image
for the department.
Sanitary Accommodations
The AE cooperates with the authorities having jurisdiction to require the contractor to
provide neat, non-segregated, and sanitary accommodations.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 1 — Responsibilities to the Public
Public Safety and Convenience
Item 7.7 of the Standard Specifications gives authority to the AE to require safe and
convenient facilities for the public traveling through a construction project.
When traffic is allowed to drive through construction work, the posted regulatory speed
limit may only be lowered by Commission Minute Order. The AE must require the
contractor to maintain a safe travel-way surface. The AE and the contractor should closely
coordinate the placement of regulatory speed zone signs. Reduced regulatory speed zones
should only be used when their need is apparent. The AE will need to monitor the speed of
construction trucks operating within the speed zone limits, as extremely bad public relations
result when haul trucks operate at a substantially greater speed than that which is posted.
The AE will make frequent checks to see that there are flaggers at the proper places.
Flagger’s attire and flagging procedures will follow department guidelines and the
TMUTCD.
Every effort must be made to reduce damage to automobile windshields, headlights, paint,
etc., caused by flying stones. "Loose Gravel" signs, advisory speed signs, flaggers, and pilot
cars have all been instrumental in handling traffic through seal coat projects. Signs such as
“Loose Gravel” are more than a traffic management tool, they relieve the department of
liability in case of an accident by warning motorists of an unsafe condition.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 1 — Responsibilities to the Public
Traffic Safety in Highway and Street Work Zones
The contractor will erect and maintain all barricades, pavement markings, warning signs,
temporary barriers, illumination, and other traffic control devices. The AE is responsible for
checking them. These barricades, etc., shall follow the project traffic control plan, barricade
and construction standards (BC) and traffic control plan standard sheets (TCP), and the
TMUTCD.
The AE will appoint a Department Responsible Person (DRP) who has authority to assure
compliance to observe implementation of the TCP on each project. The District Safety
Review Team and the District Traffic Control Coordinator (TCC) will periodically review
the project for compliance. The TCC accompanied by the DRP (if possible) shall perform
quarterly barricade inspections and a Form599, ‘Traffic Control Devices Inspection Report,’
shall be completed. The TCC should accompany each DRP on the first inspection.
The contractor will appoint a Contractor’s Responsible Person (CRP) to be the designated
representative to take or direct corrective measures, as soon as possible, of noted
deficiencies.
The DRP must inspect all traffic barricades, etc. on a project, record the inspection on
Form599, and provide a copy of Form 599 to the CRP after the inspection. The original
Form 599 will be transmitted to the AE’s office for review and then to the District
Construction office after the contractor has corrected the deficiencies and the DRP updates
the form. It is of utmost importance that the date and time deficiencies are corrected be
promptly reported to the DRP for inclusion in the report. A minimum of two inspections per
month (one daytime and one nighttime, at approximately two-week intervals) are required
per contract. The first monthly night inspection should be performed as soon as possible
after initial set-up
Protection of Adjoining Property
The contractor will protect and preserve adjacent property from damage by construction
operations. If the contractor damages adjacent property, the property must be restored at the
contractor’s expense. If the contractor fails or refuses to restore or make good damaged
property, the AE will notify the contractor of such damages in writing and notify the DE.
Use of Explosives
Item 7.9 of the Standard Specifications places the responsibility for storage and use of
explosives on the contractor. However, for the protection of the public and the adjacent
property, the AE should observe and monitor the contractor’s operations. Additional
precautions are required when using electric blasting caps close to any railroad track.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 1 — Responsibilities to the Public
Contractor’s Responsibility for Work
Item 7.10, 7.11, 7.12 and 9.2 of the Standard Specifications and related Special Provisions
describe the contractor’s responsibility for work and the responsibility for damages caused
by the contractor or related operations. The AE must be thoroughly knowledgeable with
these items and be guided accordingly.
As stated in Item 9.2, the payment of any current or partial estimate shall in no way affect
the obligation of the contractor to repair, renew or replace any defective parts of the
construction if such defects or damages are discovered on or before the final inspection and
acceptance of the work.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 2 — Conflicts of Interest
Section 2
Conflicts of Interest
Overview
The conduct of department employees are the public image of TxDOT. For that reason,
TxDOT employees will not participate in any activity that could be considered a possible
conflict of interest. A more complete explanation of the policy can be found under
“Conflict of Interest”of the Human Resources Manual. In addition to the Human Resources
Manual employees need to be familiar with the requirements of the Texas Penal Code which
covers gifts to public servants.
Gifts, Benefits, and Favors
Employees will not accept or agree to accept gifts, benefits, or favors for themselves or
others from any person, company, organization, or other entity that:
♦
Could influence or reasonably appear to influence them in performing their duties
♦
Does any kind of business with the department
♦
Could be reasonably expected to do business with the department in the future, or
♦
Is regulated by the department in any way, including:
•
auditing
•
monitoring
•
inspecting
•
testing
•
supervising, or
•
measuring.
However, employees may:
♦
Accept ordinary business lunches
♦
Accept token items that do not exceed an estimated value of $25 where there is no
connection between the donor and the employee's job assignment, and where the items
are distributed generally as a normal means of advertising, and
♦
Visit dining or hospitality rooms or similar facilities, provided they have no restrictions
on visitors, and are in conjunction with a conference, meeting, or other event approved
by the department.
Exceptions to this policy must have the prior approval of the Executive Director as
requested by a DE/DD/OD through the General Counsel's office.
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Chapter 9 — Legal Relationships and
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Section 2 — Conflicts of Interest
Texas Penal Code
Section 36.08 of the Texas Penal Code makes it a criminal offense for a public servant who
exercises discretion on a contract, purchases, payments, claims or other pecuniary
transactions to accept a gift, benefit, or favor from the contractor (see
http://www.capitol.state.tx.us/statutes/pe/pe0003600.html#pe008.36.08). Section 36.09
makes it a criminal offense for a contractor to offer a gift, benefit, or favor to public servants
(see http://www.capitol.state.tx.us/statutes/pe/pe0003600.html#pe009.36.09).
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Chapter 10
Prosecution and Progress
Contents:
Section 1 — Contract Issues ...............................................................................................10-3
Section 2 — Subcontracting .............................................................................................10-10
Section 3 — Project Time.................................................................................................10-14
Section 4 — Incentive Contracts ......................................................................................10-18
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Section 1 — Contract Issues
Section 1
Contract Issues
Assignments
The contractor will not be permitted to assign, sell, transfer or otherwise dispose of the
contract or any portion of the contract, or his/her rights, title or interest therein without the
approval of the Executive Director and/or his designee of the department.
The contractor must send a request for assignment directly to the Director of CST, or
through the district, for concurrence by TxDOT Administration. In either case, CST is
responsible for:
♦
Preparing a supplemental agreement
♦
Sending the supplemental agreement and bond forms to the contractor for execution
♦
Executing the supplemental agreement by the Director of CST.
After completion of the supplemental agreement, CST notifies the contractor, FIN, and the
district. The new contractor is responsible for providing the standard project information and
forms (payroll clerk, etc…) to the AE. Do not alter any other terms and conditions of the
contract, or suspend time during the assignment process.
Change of Legal Name of Contractor
When a contractor changes their legal name they must advise the department so that any
incomplete contracts may be modified to reflect the new legal name. A supplemental
agreement is used to accomplish the modification of the contract.
The contractor sends a notification of the name change directly to the Director of CST. CST
is responsible for:
♦
Verifying the legal filing of the name change
♦
Obtaining administrative approval
♦
Preparing the supplemental agreement
♦
Obtaining the executed agreement, insurance and applicable bonds in the new name of
the contractor for construction contracts.
CST will send copies of the completed supplemental agreement to FIN, affected districts
and the contractor.
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Chapter 10 — Prosecution and Progress
Section 1 — Contract Issues
Project Scheduling
The contractor shall not begin work until CST issues an “Authorization to Begin Work.”
The contractor must begin work within 30 days after the date of the authorization, except
when specifically allowed otherwise.
The contractor shall submit to the engineer for acceptance a schedule of all planned work
activities before beginning work. This schedule shall include the intended sequences to be
followed in order to complete the contract within the allotted time. The purpose of requiring
a project schedule in advance is to:
♦
Ensure good planning in accordance with the allowable number of working days and all
milestones
♦
Assure coordination of the efforts of the contractor, department, utilities and others that
may be involved in the project
♦
Assist the contractor and department in monitoring the progress of the work and
♦
Assist the department in administering the contract time requirements, since the
schedule also serves to help identify the principal unit of work.
There are four levels of scheduling available:
Level:
First Level
– routine maintenance projects
Second level
– standard construction projects
Third level
– projects where enhanced
scheduling is desired
Fourth level
- applicable to large complex
construction projects
Project Scheduling Levels
Description:
Applicable to maintenance projects
The relevant provision requires the schedule be submitted in either a
bar chart or critical path method (CPM) format. The duration of work
activities for either type of schedule shall not exceed 20 working days,
unless otherwise accepted by the engineer. The schedule is to be
updated on a monthly basis and submitted to the engineer. Updating
the project schedule is defined as adding actual progress made during
the previous month. Project status meetings should be held at least on a
quarterly basis. If the contractor desires to make major changes in the
project schedule, the contractor shall notify the engineer in writing.
Projects requiring a CPM schedule by general note
The relevant provision requires a CPM schedule developed using
either the Primavera Project Planner or Suretrak project management
program. In addition to paper copies of the schedule, the provision
requires that the schedule be submitted on a computer diskette. A
general note can also be used to require the schedule be prepared using
the Primavera Project Planner program. The special provision for this
level of scheduling is comprehensive. It requires a computer program
to review the schedule, and the AE requiring it should be familiar with
all the provisions in the specification and how to use the program.
The schedule must include major material procurements, known utility relocations, and
other activities, which may affect the project completion.
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Note: For surface-treatment-only and asphaltic-concrete-overlay-only projects refer to the
latest Special Provision to Item 8 to determine the time of beginning work and
completion time as well as seasonal restrictions.
Workers and Equipment
The superintendent is in charge of all construction operations regardless of who performs the
work and the amount of subcontracted work.
The contractor should employ cooperative workers having adequate skill and experience to
perform assigned duties. The contractor must furnish suitable and adequate machinery and
equipment in good operating condition. Failure to furnish skillful people and good
equipment will be sufficient cause for the AE to suspend the work without suspending the
time charges and/or to withhold all estimates until the contractor complies with such
requests.
Defaults
“Default” is a measure to take the prosecution of work out of the hands of the contractor to
protect the best interest of the public. The department, upon written notice, has full power
and authority to default a contractor without violating the contract. Special Provision to Item
8.7 describes applicable reasons to default the contractor. The engineer may declare the
contractor to be in default of the contract if the contractor:
♦
Fails to begin the work within the time specified, or
♦
Fails to perform the work with sufficient resources to assure timely completion, or
♦
Fails to perform the work in accordance with the contract requirements or neglects or
refuses to remove and replace rejected materials or unacceptable work, or
♦
Discontinues the prosecution of the work without authority, and/or fails to resume work
that has been discontinued within a reasonable time after notice to do so, or
♦
For any other cause whatsoever that does not carry on the work in an acceptable
manner.
Do not default a contractor if they have filed for bankruptcy protection. If defaulting and
completing the contract is necessary, then permission has to be obtained from the
bankruptcy court. Contact CST immediately as soon as bankruptcy is legally declared by the
contractor. The department may perform work to maintain safety for the traveling public.
The work is to be charged against payments to the contract.
Insufficient insurance or lack of insurance by the contractor is not a justifiable reason for
defaulting the contract. If a contractor lacks insurance coverage, then the contractor will not
be able to perform the contract. A contractor’s inability to perform the contract is the reason
for default.
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Section 1 — Contract Issues
The AE has certain responsibilities in the event of a default by a contractor. This includes
the following items:
1.
The AE should send a ten- (10) day warning letter (Warning) to the contractor
explaining the deficiency in performance and reason for potential default. Be specific
about the reason(s) for default. Quote directly from the specification book. For example,
the warning letter may state “we have contacted you several times regarding your
failure to resume work on this project.” In some cases, usually where there is no bond, a
contractor may ask to be declared in default of the contract. In this case, it is not
necessary to write a ten-day warning letter. The AE must still write the default letter
that states “As per your request, you are now in default of your contract…”
♦
Send copies to:
•
Surety (if available)
•
Contractor
•
Construction Section of CST
♦
Send the letter by certified mail with a return receipt requested card to the contractor
and the surety. The ten (10) day period starts on the day the contractor signs the receipt.
♦
If the certified letter to the contractor is returned or the return receipt is not received, the
AE may conclude that contact with the contractor was not possible. The AE should note
this information in the project diary. In this case, the default will be effective ten (10)
calendar days from the date of the ten (10) day warning letter.
2.
If the contractor makes an attempt to correct the problem in ten days, then there is no
default and the contractor resumes work.
3.
There have been occasions where a surety wishes to have a contractor defaulted. The
AE may receive correspondence from the surety suggesting that future progress
payments be sent to the surety. Do not accept this suggestion unless the contractor has
given written permission to do so. Until a contractor is defaulted, TxDOT has an
obligation to fulfill the contract. Continue making payments to the contractor unless and
until the contractor is in default according to TxDOT standards.
4.
If the contractor does not resolve the problem in ten days:
♦
Stop payments to the contractor at that point. There should be no payments of any kind
including the last monthly estimate or retainage.
♦
Write a second official letter of default that states the contractor is in default of this
contract, following examples of the official letter of default (Surety; NoSurety) and the
specification book as closely as possible.
♦
Send copies to:
•
Contractor
•
Surety (if a bonded contract)
•
Construction Section of CST
•
Finance Division
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Section 1 — Contract Issues
♦
Send the letter by certified mail with a return receipt requested card to both the
contractor and the surety.
♦
Forward all default letters to the Construction Section of CST to track and monitor.
Include the following items:
•
Contractor Name
•
Project Number, CSJ No. Payee ID and Contract Number
•
Highway and County
•
Name of Surety and surety's mailing address
♦
TxDOT must ensure that the safety of the traveling public is maintained between the
time of default and the time that work begins again. This work can be done by TxDOT
maintenance forces. The district will establish a state force account to track
maintenance expenditures related to the default, so that the AE may charge the surety
for these costs.
♦
Time charges shall continue until the project is completed.
The following guidelines are provided for handling contract defaults in varied situations:
1.
What if the contractor appeals the decision?
♦
There is no recourse other than allowing the contractor or the surety to file a claim for
wrongful default. However, the time frame is usually longer than the time frame for
completion of the job.
2.
What if the contractor does not have a bond?
♦
There are three options:
•
The work is completed with maintenance forces.
•
The contract is re-let.
•
On rare incidences such as a bridge that has been removed and not replaced, where
emergency services have been limited, the AE may be able to get an emergency
contract.
♦
Do not overrun the quantities of a different project or give the work to another
contractor. Only the Commission can authorize expenditures of state funds on contracts.
The AE cannot change the limits of a job and cannot give work to another contractor
without the permission of the Commission.
3.
If there is a bond, what are the options?
♦
The work is completed using maintenance forces. This is usually not the ideal option, as
the area office must track all the charges (labor, equipment, materials, etc.) and charge
the contract and/or the surety to reimburse the maintenance expenditures. Sometimes
this option is used on maintenance contracts where the contractor goes out of business
near the end of a contract.
♦
Require the surety to complete the work. This is usually the best option and is what has
been required by the contract.
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Section 1 — Contract Issues
•
The area office must notify FIN and CST that the surety will be taking over the
contract and progress payments are to be made to the surety.
•
The area office must notify the surety of these intentions and schedule a meeting to
arrange the completion of the contract. A representative of the Construction Section
of CST and the district and/or area office will need to attend. The surety may bring
a lawyer.
•
At the meeting, the surety may provide alternatives to finish the work. The
following are examples of unacceptable alternatives:
•
The surety might offer to pay TxDOT the remaining balance of the contract. This is
not an option. The surety must guarantee the completion of the work for the
original bid price.
•
The surety might threaten to file a claim for wrongful default or return of liquidated
damages, or some other contract issue. There may be actual issues that need to be
addressed in the claims arena. The department’s representative must inform the
surety that the claims committee will hear their claim, but in the meantime, the
work must be completed.
•
The surety might offer to make a lump sum payment in excess of any estimate for
completing the work. A monetary settlement from the surety must be refused, as
the department’s interest is in completion of the work and not to make a profit on
construction. Further, there is no acceptable option that allows the surety to be
relieved of their responsibilities under the contract.
•
The surety might insist that the department re-let the project. This is not an option.
These are not desirable alternatives. The surety has full responsibility to guarantee the
completion of the work in accordance with terms of the contract.
4.
Can the surety use the original contractor to complete the contract?
♦
Yes, in some cases, the original contractor may only have financial difficulties, and may
only need financial support to get the project completed.
5.
How does the surety get a new contractor?
♦
The surety can find a contractor through any means necessary.
♦
The surety does not have to follow TxDOT’s contracting rules.
♦
The new contractor does not have to be pre-qualified with TxDOT.
♦
The surety remains ultimately responsible for the completion of the contract regardless
of which or how many contractors are needed to complete the work.
♦
The requirement that 30 percent of work be done by the contractor is suspended, but
department approval of all subcontractors continues to be required.
♦
The new contractor must follow all specification requirements.
6.
What about DBE/HUB goals?
♦
TxDOT requires the surety to use the same goals based on the original contract amount.
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Section 1 — Contract Issues
♦
To the best of the surety’s abilities, the surety must use the same DBE contractors that
were subcontracted by the original contractor.
♦
The surety is bound by all the terms of the contract just as the original contractor was.
7.
What about liquidated damages?
♦
Time charges on the contract continue from the point where the original contractor was
defaulted.
8.
What about a “Takeover Agreement”?
♦
A Takeover Agreement between TxDOT and the surety is needed. Contact CST or
OGC to obtain a copy of this document.
9.
What about the money at the end of the contract?
♦
Maintenance work performed by the area office between contractors can be back
charged to the contract and deducted from an estimate.
♦
Contracts without bonds that finish with a negative balance
♦
•
The AE should send a letter to the contractor outlining the charges and asking that a
check be submitted to FIN referencing the project number.
•
If the contractor does not make the payment, the department should forward the
matter to the Attorney General for collection. Depending on the amount due, the
AG may or may not accept the case.
•
The department has the authority to coordinate with the Finance Division and hold
payments on other contracts the contractor has with the department.
Contracts with bonds
•
No payment should be made to the contractor after the contract is defaulted, even
for work performed before the default. The surety will collect this money on their
FIRST monthly estimate in addition to any other work the surety completes that
month.
•
Retainage belongs to the surety when the work is completed.
•
The surety is responsible for liquidated damages. If there is some question about
the time charges, the surety can file a claim.
8.
What else needs to be done at the end of the project?
♦
There should not be any accounting necessary other than the final estimate. All that has
happened is that the contractor changed names.
It is grounds for declaring default if the contractor fails to execute the contract, or to sign or
submit all required documentation within the allowable time. In this case, the bid guaranty
check becomes the property of the state. The defaulted contractor may not bid on the work
when it is re-let.
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Section 2 — Subcontracting
Section 2
Subcontracting
Overview
A subcontractor is defined in Item 1.77 of the Standard Specifications as "An individual,
partnership, firm, corporation or any combination thereof to which the contractor sublets, or
proposes to sublet, any portion of a contract."
The contractor shall perform work with his own organization on contract bid items
amounting to not less than 30 percent of the total contract amount, excluding any specialty
items designated by the DE. Specialty items may be performed by subcontractors and the
amount of any such specialty items so performed may be deducted from the total original
contract before computing the amount of work required to be performed by the contractor’s
own organization. Exceptions are work items not commonly found in contracts for similar
work or those requiring highly specialized knowledge, craftsmanship, or special equipment.
Examples of specialized work:
♦
Removing an underground storage tank on a widening project
♦
Plumbing on a culvert widening project
♦
Electronic work on a typical road construction project.
Certain work of a minor nature may be identified on the plans as specialized work.
All firms that perform work on a project must be submitted by the prime contractor as
official subcontractors. The only firms exempt from subcontractor notification are material
suppliers and specialty-type businesses such as security companies and rental companies.
Refer to ‘Subcontracting and Payroll Requirements’ (Subcont) for further subcontractor and
payroll record requirements.
The contractor’s organization includes only workers employed and paid directly by the
contractor and equipment the contractor owns or rents. Although rental equipment leased
with an operator is considered part of the contractor’s organization, subcontractor employees
or equipment is not part of the contractor’s organization. The cost of materials paid by the
prime contractor may count as work performed by that contractor only when:
♦
Said materials are incorporated in the project; and
♦
The majority of the value of work involved in incorporating each material into the
project is performed using the contractor’s own organization.
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Section 2 — Subcontracting
The contractor's organization may include non-supervisory personnel from an employee
leasing firm licensed by the Texas Department of Licensing and Regulation in accordance
with Chapter 91 of the Texas Labor Code. The contractor must maintain control over the
day-to-day activities of the leased non-supervisory employees and include them in the
certified weekly payroll submissions for federal-aid projects or payrolls maintained by the
contractor for review by TxDOT on state-funded projects. Refer to Item 8.1 of the Standard
Specifications and the Special Provisions for further information.
When Prime Contractor Is an Approved HUB/DBE
When the prime contractor on a state funded project is an approved HUB, the prime
contractor must perform at least 25 percent of the work with the contractor’s own
organization.
When the prime contractor on a federal-aid project is an approvedDBE, the prime contractor
must perform at least 30 percent of the work with the contractor’s own organization.
When Subcontracts Exceed 70%
The original approved subcontract amounts, excluding specialty work, may not exceed 70
percent. When the work included in a subcontractor request causes the total amount
subcontracted to exceed 70% of the original contract amount and if no additional work has
been approved in the contract, the subcontract request is rejected and the district is notified.
Note: If work quantities are reduced or eliminated for items completed by the prime
contractor’s organization and, as a result, the prime contractor does less than 30 percent
of the final total contract cost, the intent of Article 8.1 of the Standard Specifications
and the special provision has been satisfied.
When a prime contractor submits a subcontractor approval request form to the district, the
prime contractor should note in the remarks section of the form the amount of added
quantities of work justifying subcontracted work in excess of 70%. Other requirements
related to the original contract amount, such as percentages for DBEs, can not be changed.
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Section 2 — Subcontracting
First Tier Subcontractor and Subcontractor Approval
If the prime contractor plans to sublet any part of the work, the written request must contain
the:
♦
Description of work to be sublet
♦
Geographic area in which the subcontracted work is to be done
♦
Subcontractor’s name, address, and telephone number
♦
Subcontractor’s federal identification tax number
♦
Estimated start and completion dates
♦
Amount and percentage of the total contract
♦
DBE/HUB goal credit, when the subcontractor is classified as a DBE/HUB.
Approval of subcontractors, as well as verifying the Disadvantaged Business Enterprise or
Historically Underutilized Business (DBE/HUB) Monthly Reports, including inputting the
reports into the Subcontractor Monitoring System (SMS), is the responsibility of each
district.
Subcontractor approvals are processed using the E2 screen in SMS. Form sms8901 aids in
this process. First, the AE enters the approval date, then the district engineer’s office enters
their approval date. A subcontractor is approved once the district’s date is entered. Form
sms8901 must identify whether the subcontractor is or is not a qualified DBE, and must also
indicate whether the subcontractor’s firm is or is not a small business. The AE should verify
that the DBE/HUB commitments submitted by the contractor are in compliance.
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Section 2 — Subcontracting
DBE/HUB Monthly Progress Reports
Since a report to the Commission is prepared using the DBE/HUB monthly progress
payments, subcontractor approval dates and DBE/HUB monthly progress reports need to be
submitted via SMS no later than the 20th of each month. The monthly progress report for
August is the only exception, as the Business Opportunity Programs Section of CST (CSTB)
is required to submit to the Texas Building and Procurement Commission (TBPC) the final
Fiscal Year TxDOT DBE/HUB progress report by the 15th of September. In order for
TxDOT to receive its fiscal year HUB credit, the August DBE/HUB progress reports that are
available (and any others not yet entered) need to be submitted via SMS no later than 2
working days prior to the 15th of September.
From October through August, progress reports need to be continually entered as they
become available and checked. The Goal Setting and Data Report Branch of CSTB prepares
a monthly DBE/HUB progress report to the TxDOT Commissioners and Executive Director
based on the data available by the 20th of each month.
Questions concerning the Debarment List should be directed to the Pre-qualification and
Proposal Issuance Unit of CST. Questions pertaining to the 70 percent limit of
subcontracting work can be addressed by the Construction Section of CST. Questions
regarding the DBE/HUB clearance and the DBE/HUB monthly progress reports are handled
by CSTB. Problems with SMS are managed by the Information Systems Division.
Instructions for verifying and inputting DBE/HUB monthly progress reports are found in
DBE/HUB/SBE Monthly Progress Reports.
Lower Tier Subcontractor
A subcontractor desiring to sublet a portion of the work must submit a request to the
contractor to obtain approval. The contractor in turn will submit the request in the manner
required for the initial subcontract. All conditions and requirements shown for the first tier
subcontractor apply to all lower tier subcontractors, such as the 70 percent subcontractor
requirement. All provisions and conditions required in the original contract will also be
required in all levels of subcontracts. A DBE/HUB subcontractor who is named to meet the
DBE/HUB requirement on a wholly state funded project can sublet 75 percent of their work.
For further information, contact CSTB.
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Section 3 — Project Time
Section 3
Project Time
Contract Time
Contract time usually begins fifteen (15) calendar days after the date shown in the
“Authorization To Begin Work” letter. A working day is charged to the contract if the
contractor could have worked seven hours continuously between 7 a.m. and 6 p.m.,
regardless of whether the contractor actually works or not. Each working day is charged as
defined in Item 1.71 of the Standard Specifications (1995 book), (or Item 1.72 of the 1993
book).
The lead time of fifteen (15) days may be changed by Special Provision to Item 8 of the
Standard Specifications. For example, a contract may include special provisions to Item 8 of
the Standard Specifications, which may modify the 15-day requirement for projects.
Examples of the 15-day modification are district-wide seal coats or overlay projects. On
surface-treatment-only and asphaltic-concrete-overlay-only contracts, refer to the latest
Special Provision to Item 8.
The AE may suspend the “time charge” when conditions not under the control of the
contractor prohibit the performance of the critical activity or activities of work which control
the completion of the project, or it is determined to be necessary when work is suspended.
For example, the AE may suspend the work and the “time charge,” in accordance with Item
8.4 of the Standard Specification, on any holiday, on the day preceding the holiday or on the
day following the holiday if the engineer and the contractor agree that the contractor should
not work, upon the consideration that traffic conditions due to a holiday will cause undue
hazards to the traveling public or the contractor.
Written permission of the AE due to an extreme emergency or a Special Provision to Item
1.71 of the Standard Specifications (1995 book) (or Item 1.72 of the 1993 book), is required
to work on Sundays and the six legal holidays listed below:
Six Legal Holidays
Holiday
New Year’s Day
Memorial Day
Independence Day
Labor Day
Thanksgiving Day
Christmas Day
Date
January 1
Last Monday in May
July 4
First Monday in September
Fourth Thursday in November
December 25
The dates shown in the ‘Additional Legal Holidays’ table are additional legal holidays
authorized by state statutes on which the contractor may not work and not be charged a
working day. When the contractor works on these days, charge one day against the contract.
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Section 3 — Project Time
If the contractor begins work on Saturday or on one of the following holidays, charge one
working day if weather conditions are such that the contractor could have worked seven
hours.
Additional Legal Holidays
Holiday
Martin Luther King, Jr. Day
Confederate Heroes Day
Presidents’ Day
Texas Independence Day
San Jacinto Day
Emancipation Day in Texas
LBJ Day
Veteran’s Day
Additional Day
Christmas Eve Day
Additional Day
Date
Third Monday in January
January 19
Third Monday in February
March 2
April 21
June 19
August 27
November 11
Friday following Thanksgiving
December 24
December 26
Note: Federal holidays may differ from the holidays listed.
The contractor must complete the work within the number of working days shown in the
contract and any additional working days the AE authorized. The authority on contract time
charges, time extensions, and time suspensions rests with the AE or the DE. Make such
decisions within the governing specifications and plans for a project.
The AE may authorize additional working days for:
♦
Extra authorized work (change orders) which would control the completion of the
contract
♦
Time charged inadvertently
♦
An increase in the quantity of an item of work which would affect the completion time
of the contract.
Note: Time extensions must be numbered consecutively, i.e. TE-1, TE-2, TE-3, etc. Time
extensions may be in the form of a letter (Time) or may be included with a change
order. Provide the contractor written authorization for additional working days and send
a copy to the Administrative Operations Branch of CST. In SiteManager Time
Adjustments occur only by Change Order.
No suspension of “Time Charges” and no extensions of working time will be granted to the
contractor resulting from hazardous material delivered by the contractor.
On non-exempt federal-aid projects, CST sends the time extension to the FHWA. The
FHWA reviews the submission and makes a determination on federal participation. For time
suspensions, verbal concurrence from the FHWA is satisfactory.
On exempt federal-aid projects, the district determines FHWA participation for time
extensions and time suspensions while acting for the FHWA.
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Section 3 — Project Time
Temporary Suspension of Work or Time Charge
The AE has the authority to suspend the work and time, separately or together, for as long a
period as necessary. The AE must give written notice (Suspend) of work and time
suspension charges with the reasons to the contractor clearly indicating if all or part of the
work is suspended. Written notice must also be provided to the contractor to resume work
(Resume).
The AE addresses the need for the suspension of work, wholly or in part, at the time the
problem arises. If it is later found that the time charges should have been suspended but
were not, the AE may grant a time extension after the fact. If work is suspended for
contractor non-compliance with contract provisions, time charges should not be suspended.
On non-exempt federal-aid projects, a concurrence from the FHWA for suspension of work
is not required unless time charges are also suspended.
Note that “Time Charges” are based on the contract definition of a “Working Day." There
are two basic types:
♦
For contracts that have the working day exception for weather or other conditions not
under the control of the contractor, time will not be charged when the contractor cannot
continuously perform the critical activity or activities of work for a period of not less
than 7 hours between 7 a.m. and 6 p.m. The project diary will show “no time charge” on
that day and the reasons for not charging the time. This “no time charge” is different
from a “time suspension” which is determined and granted by the AE for particular
reasons.
♦
For contracts that are based on “calendar day” Special Provision, time will be charged
for all working days regardless of weather conditions, materials, or supplies. Time
charges may not be suspended on these projects since the special provision only allows
for time extensions based on a time impact analysis.
On non-exempt federal-aid projects, a concurrence from FHWA for time suspension must be
obtained. Verbal concurrence is satisfactory.
Situations involving a time suspension without a work suspension are rare. This type of
situation should only occur when the critical item of work is impacted. The AE will need to
evaluate the situation carefully to verify that the critical item of work is indeed impacted.
Usually the situation of time suspension without a work suspension is a result of delayed
utility relocation, railroad issues, or non-acquired right-of-way. During the time suspension,
the AE must evaluate when the cumulative effect of “non-critical work” changes the critical
path or the controlling item of work.
Refer to Item 1.72 (1993 book) or Item1.71 (1995 book) and 8.4 of the Standard
Specifications and related Special Provisions for instructions. Also refer to FHWA
document 'Contract Administration Core Curriculum Participant's Manual and Reference
Guide 2001' at http://www.fhwa.dot.gov/programadmin/contracts/coretoc.htm for questions
related to time extensions and time suspensions.
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Section 3 — Project Time
Reasons for Temporary Suspension of Work
Work may be suspended for:
♦
Failure to comply with the plans, specifications, special specifications,
special provisions, and supplemental agreements
♦
Failure to keep insurance coverage in force as provided in Article 7.4 of the Standard
Specifications
♦
Failure to provide workers or equipment as provided in Article 8.3 of the Standard
Specifications
♦
Default upon written notice as provided in Article 8.7 of the Standard Specifications
♦
Unsuitable weather or soil conditions
♦
Unusual conditions which affect the work and are not usually associated with the
highway construction
♦
Conditions which threaten the safety of the workers, public or nearby property.
Disputes Involving Suspension of Work
If the contractor contends that damage to the project resulted from the temporary suspension
of work, the AE must follow procedures provided in Item 8.4 of the Standard Specifications.
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Section 4 — Incentive Contracts
Section 4
Incentive Contracts
Daily Road-User Costs, Incentives, and “A + B” Bidding
In general, daily road user costs are used to estimate costs to the traveling public that are
included in the contract in addition to the standard contract administration liquidated
damages. “A+B bidding” is a bidding strategy that uses the daily road-user cost to establish
the duration of construction into the bidding process.
Project Selection Guidelines for User Costs
Currently department policy requires that the road-user costs be considered for the following
types of projects:
♦
Projects that add capacity (may include grade separations)
♦
Projects where construction activities are expected to have an economic impact to local
communities and businesses
♦
Rehabilitation projects in high traffic volume areas.
In addition to meeting at least one of the above, a secondary evaluation is made considering
the following:
♦
Conflicting utilities will be relocated prior to construction and all right-of-way is clear
♦
Adequate inspection force is available
♦
25% of the estimated daily road-user cost is greater than the contract administrative
liquidated damages.
If any of the secondary criteria is not met, the district should reevaluate the proposed use of
daily road-user cost liquidated damages before making the decision.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Guidelines for Applying Road-User Costs
The following table provides guidelines on applying road-user cost:
Suggested Road-User Cost
Requirements
A + B Bidding Strategy
Daily Road-User Cost With
Incentive
Daily Road-User Cost Without
Incentive
Contract Administration
Liquidated Damages Only
Guidelines for Applying Road-User Costs
Type of Projects
May be used on projects with high volumes that have a significant impact on
the local business or create daily road-user cost in excess of $40,000.00. A+B
bidding should be used on a very limited basis (CPM required).
The majority of projects with higher liquidated damages that meet the criteria
in the topic ‘Project Selection Guidelines for User Costs’ should use
incentives (CPM required).
To be used less frequently on projects where early completion is not desired.
May also want to use daily road-user cost without incentives on projects
where the risk of having utility conflicts is high, such as projects in older
urban areas.
Majority of TxDOT Projects.
To ensure uniformity of time charges, the “calendar day” Special Provision, which defines a
working day as a calendar day, should be used for all “A + B” and incentive projects and
may be used on daily road-user cost projects without incentives.
The following contract information is required when applying daily road-user costs:
♦
Calendar day definition
♦
Address work hours allowed (i.e., nighttime)
♦
Cost per day for each phase and/or substantial completion
♦
Beginning of phases (if applicable)
♦
Ending of phase (if applicable)
♦
Maximum bonus ( number of days ahead of schedule) (incentive only)
♦
Minimum days bid (A + B only)
Time between substantial completion and project acceptance.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Daily Road-User Costs
Daily road-user cost is defined as the estimated daily cost of inconvenience to the traveling
public resulting from roadway construction. Inconvenience is defined in terms of lost time.
The value of lost time varies but generally includes the costs of people’s time, vehicle
operation, accident and traffic violation, etc.
Daily road-user costs, in the unit “$/day,” is determined through a “Road-User Cost Study,”
which is conducted at the time of preparing the bid proposal. In this study, the delay time
(“vehicle-hours/day”) due to roadway construction is estimated based on traffic volume data
and the traffic control plans (TCP). It is then converted into a monetary value by applying a
“value to time” (“$/vehicle-hour” or “$/person-hour”).
The department’s current policy requires that only 25% of the calculated daily road-user cost
should be used as the amount added to liquidated damages for failure to substantially
complete the work on time. The substantial completion is defined as occurring when all
project work (or the work for a specified phase of the project) requiring lane or shoulder
closures or obstructions is completed, and traffic is following the lane arrangement as shown
on the plans for the finished roadway (or specified phase of the project). Failure to
substantially complete the project (or specified phase of the project) within the established
number of working days stated in the contract, plus any additional working days granted,
will result in the daily road-use cost liquidated damages being assessed for every working
day in excess of the stated number.
In addition, failure to complete the entire project within the established number of working
days stated in the contract, plus any additional working days granted, will results in contract
administration liquidated damages being assessed.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Incentives/Disincentives
Item 8.11, Credit for Completion of Work Ahead of Time, and Item 8.6, Failure to Complete
Work on Time, address department policies for “Incentives” and “Disincentives.” It is
recommended that Department personnel working on projects with incentives/disincentives
must be thoroughly familiar with these provisions and apply them effectively.
It is important that the time charges and computation of contract time for completion of the
project is correctly carried and good records are kept. Proposed change orders that change
the sequence of construction and may have impacts on the completion/substantial
completion of the project should be carefully evaluated and adjusted as desired.
Road-user cost liquidated damages and the contract administration liquidated damages will
be assessed not as a penalty, but for added expense incurred by the traveling public and the
department.
“A + B” Bidding
The A+B bidding and incentive/disincentive contracting strategies can be applied to:
♦
A whole project
♦
Projects on a phase-by-phase basis
♦
To only a critical portion of a project.
“A+B bidding”involves time, with its associated cost, in the low bid determination. Under
this method, each bid submitted consists of two components: (A) the contract amount, and
(B) the time element. The cost of “A” component is the traditional bid for the contract items
and is the dollar amount of all work to be performed under the contract. The time or “B”
component is a bid of the total number of calendar days estimated by the contractor to
complete the project.
In A + B bidding, the bid for award consideration is based on a combination of the bid
amount for the contract items and the associated cost of the time needed to complete the
work. The formula designed for computing the combination cost is used only for award
determination; contract payments are based solely upon the “A” component. If awarded, the
completion days included in a contractor’s proposal become a part of the contract. A
disincentive provision that assesses road-user cost liquidated damages can be incorporated
into the contract to discourage the contractor from overrunning the time “bid” for the
project. In addition, an incentive provision should be considered to compensate the
contractor for additional costs if the work is completed earlier than the time bid.
The administration of these contracts will be slightly different from conventionally bid
contracts. Questions on the proper use of road-user costs for projects are addressed by the
Design Division. Questions on calculations and traffic models are handled by the Traffic
Operations Division. Contact the Project Management Branch of CST for assistance on the
use of road-use costs and “A + B” bidding.
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TxDOT 9/2002
Chapter 11
Measurement and Payment
Contents:
Section 1 — Overview........................................................................................................11-3
Section 2 — Forms .............................................................................................................11-4
Section 3 — Scope of Payment...........................................................................................11-6
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Chapter 11 — Measurement and Payment
Construction Contract Administration
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Section 1 — Overview
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TxDOT 9/2002
Chapter 11 — Measurement and Payment
Section 1 — Overview
Section 1
Overview
General Information
The intent of this chapter is to provide a broad overview of the measurement and payment
process. Specific details for district and area personnel for documenting contract pay
quantities, maintaining records and forms is provided in the Estimates Manual for
Construction and Maintenance Projects (June 1998 Edition). As with other areas of project
record preparation, Districts may use different records and procedures to prepare estimates.
Preparing estimates is one of the most complex and important responsibilities done within
the department. TxDOT pays contractors according to the amount of work performed. It is
imperative that sufficient field data is recorded to accurately calculate and completely
document all pay quantities of work performed for every item of construction. Pay records
ensure that:
♦
Contract construction item requirements are being met by the contractor.
♦
The contractor is paid promptly and fairly.
♦
TxDOT's accounts are up-to-date, organized and accurate.
Item 9.1 of the Standard Specifications defines the various dimensions and describes the
measurement of quantities. Some specifications provide a choice in the units of
measurement for payment; therefore, check with the specific item.
For each item, the “Payment” section of the specification defines what work is covered for
payment. This section will also define the subsidiary work. Some items provide for payment
by Plan Quantity with additional provisions for revision of the Plan Quantity. The AE must
become very familiar with the “Measurement” and “Payment” sections of each item.
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Chapter 11 — Measurement and Payment
Section 2 — Forms
Section 2
Forms
Form 124 Rev., Haul Record (Volume Measurement)
Haul Ticket (Form 124 Rev.) may be issued according to instructions on the cover of the
Haul Record Book. Construction Records to Support Pay Quantities of Work Done on
Contract Construction Projects describes other acceptable measurement methods.
Form 124W, Material and Haul Ticket (Weight Measurement)
Issue Form 124W according to the instructions on the back of the Materials and Haul Ticket
Summary. The material is weighed at a central location in the presence of the department’s
inspector. The Construction Records to Support Pay Quantities of Work Done on Contract
Construction Projects contains additional instructions. This will include flexible bases,
asphaltic concrete mixtures, centrally mixed stabilized materials, etc.
An inspector will be stationed at either the non-automated platform truck scales or batching
scales to verify the weight of each batch. The inspector will issue or validate a weight ticket
for each load leaving the plant.
The construction industry commonly uses fully automated mixing plants and automated
scales. The AE is responsible for determining if the automated equipment has been
calibrated as required and will produce accurate records that meet the department’s
requirements. When the automated equipment is acceptable, an inspector is not required.
Form 124WS, Material and Haul Ticket Summary (Weight Measurement)
This form is prepared and used daily. It includes a summary of quantities of all tickets issued
each day for all materials delivered and used. The quantities shown on Form 124WS are
used to determine the quantities for payment for each day’s production.
Form 1257, Work Report
Form 1257 is used to prepare a daily work report of the work done each day for the various
items in the contract. Construction Records to Support Pay Quantities of Work Done on
Contract Construction Projects includes examples showing preparation of this form.
Alternate forms, such as “Daily Road Report Asphalt and Aggregate” (Form 1449) or
“Daily Road Report Asphalt” (Form 187), may be used instead of Form1257.
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Chapter 11 — Measurement and Payment
Section 2 — Forms
Form 1258, Summary of Work Performed
Daily work reports are the basis of payment for most Items and are summarized using
Form1258, “Summary of Work Performed.” Use this form to maintain an accumulated total
of work completed for each bid item. The monthly estimate is prepared using the data listed
on this form.
Form 1259, Daily Summary of Materials Received and Used
This form is used to maintain a record of the receipt and use of materials delivered to the
project. This summary provides an accurate record of material-on-hand (MOH). The AE
must make sure that the material-on-hand does not exceed approved estimate quantities. The
Estimates Manual for Construction and Maintenance Projects includes detailed procedures.
Note: Form 1259 may be unnecessary if the contractor is made responsible for documenting
and reporting material-on-hand by Special Provision.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Section 3
Scope of Payment
Specifications and Damages
Item 9.2 of the Standard Specifications addresses the “Scope of Payment” in detail. The AE
must make sure that the contractor completes the required work according to the plans and
specifications before making payment.
An important part of Item 9.2 focuses on damages to completed work items. If damages
have occurred to the work done under the contract, the contractor is responsible only for the
damage due to the contractor’s operations.
Unless shown otherwise, the contractor may use earth-moving equipment of any size or
weight for excavation, hauling, or compaction. The contractor must rebuild and make good
at no cost to the department all damages caused by contractor’s operations.
Plans Quantity Measurement
When plans quantity measurement is specified for an item, adjustment of quantities will be
made by the following:
If the quantities measured as outlined under "Measurement" vary from those shown in the
proposal and on the "Estimate and Quantity" sheet by more than 5 % (or as stipulated under
the measurement article for the Item), either party to the contract may request, in writing, an
adjustment of the quantities by each separate bid item, except that when stated in the
particular item, the adjustment will be made based upon a designated element shown in the
Item. The party to the contract which requests the adjustment shall present, to the other, one
copy of field measurements and calculations showing the revised quantities in question.
These revised quantities, when approved by the Engineer, together with all other quantities
under the same bid item, shall constitute the final quantity for which payment will be made.
When quantities are revised by a change in design, the "Plan Quantity" will be increased or
decreased by the amount involved in the design change. Typically, payment for revised
quantities will be paid for at the unit price bid for that bid item.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Extra Work
Extra work is the work that is not included in the original contract. It involves adding new
items of work by Change Order and/or force account work. A Change Order must be
executed before any extra work is begun. Payment for extra work is to be included in the
estimate after the work is completed.
Item 9.4 of the Standard Specifications defines add-on compensation for extra work that is
completed by force account. These add-on percentages are the total maximum amounts
allowed for the work regardless of whether the work is performed by the prime contractor or
subcontractors.
For projects where Special Provision 009-043 was added, the prime contractor will be paid
only for administrative cost when extra work is ordered by the engineer and is performed by
a subcontractor or a collection of subcontractors. The payment for administrative cost will
not exceed five (5) percent of the total subcontracted extra work (which includes the total
cost of labor, materials and equipment, plus add-on compensation for labor, materials and
equipment, plus burden on labor and subcontractor’s bond on the extra work, if any).
Partial Payments and Material-on-Hand
Starting with the November 1995 letting, Special Provisions to Item 9 were incorporated to
all construction contracts that transferred the responsibility for documenting and reporting
materials-on-hand from TxDOT to the contractors. The department will perform spot checks
of the Contractor’s material on hand records and record-keeping processes to ensure that the
system is capable of meeting the specifications. Refer to the latest edition of the Estimates
Manual for Construction and Maintenance Projects for guidance to administer the new
materials-on-hand process.
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TxDOT 9/2002
Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Partial Payments and Hot Mix Bonus/Penalty
In order to track the payment of bonus and penalty on QC/QA Hot Mix, standard item and
description codes have been assigned as described in the following table. Instructions for
adding these standards items to the construction estimate are found in the “Add/Delete Items
of Work (M2)” section of the “Construction Estimate” chapter in the CIS District User
Manual.
Type of
Entry
Hot Mix
Production
Bonus
Hot Mix
Placement
Bonus
Hot Mix
Production
Penalty
Adding Hot Mix and/or Ride Bonus/Penalty to Construction Estimate
Procedure
Bid Item Code
For all lots that received a production bonus* (and combining all
♦ 9500-0501
types of mix), sum the value found in the “Production Bonus Paid on ♦ 9500-5001 (metric)
Estimate” on the Pay Factor Worksheet and record the result.**
For all lots that received a placement bonus* (and combining all
♦ 9500-0502
Types of mix), sum the values found in the “Placement Bonus Paid
♦ 9500-5002 (metric)
on Estimate” on the Pay Factor Worksheet and record the result.
For all lots that received a production penalty* (and combining all
♦ 9500-0503
types of mix), sum the values found in the “Production Penalty
♦ 9500-5003 (metric)
Deducted from Estimate” on the Pay Factor Worksheet and record the
result.**
For all lots that received a placement penalty* (and combining all
Hot Mix
♦ 9500-0504
Placement types of mix), sum the values found in the “Placement Penalty
♦ 9500-5004 (metric)
Deducted from Estimate” on the Pay Factor Worksheet and record the
Penalty
result.
Hot Mix
Record the total dollar amount of bonus earned for all Daily Pay
♦ 9500-0505
Ride Bonus Adjustments for ride (all types of mix combined) that resulted in a
♦ 9500-5005 (metric)
ride bonus.*
Record the total dollar amount of ride penalty for all Daily Pay
Hot Mix
♦ 9500-0506
Adjustments for ride (all types of mix combined) that resulted in a
Ride
♦ 9500-5006 (metric)
ride penalty.*
Penalty
* In some cases, hot mix produced in one month has the penalty or bonus recorded on a following estimate.
The intent is to record any bonus or penalty that has not already been recorded on a previous estimate.
** If the contractor is not responsible for placement, sum the values in the “Production Only Bonus” section
instead.
Since any previous monthly estimate which used this method to record bonus or penalty
already shows the total of previous lots, it is only necessary to total the lots for the current
estimate cycle and add to the previous total.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Payment of Incentives and Disincentives on Projects with Road-User Costs
In order to track the payment of incentives and disincentives on projects with road user costs
(RUC), standard item and description codes have been assigned as described in the table
below. Instructions for adding these standard items to the construction estimate can be found
in the “Add/Delete Items of Work (M2)” section of the “Construction Estimate” chapter in
the CIS District User Manual.
Item and Description Codes for Tracking Incentives/Disincentives with RUC
Project with
Description of Payment/Deduction
Item and Description Codes
A+B Bidding
Credit or Damage
♦ 9500-0507 (English)
Item Description – A+B CREDIT OR DAMAGE* ♦ 9500-5007 (metric)
Units should be Lump Sum (L. S.)
RUC (road-user costs) Credit or Damage
♦ 9500-0508 (English)
with Credit or Damage Item Description – RUC CREDIT OR DAMAGE* ♦ 9500-5008 (metric)
Units should be Lump Sum (L. S,)
RUC (road-user costs) Damage Only
♦ 9500-0509 (English)
with Damage Only
Item Description – RUC DAMAGE* ONLY
♦ 9500-5009 (metric)
Units should be Lump Sum (L. S.)
Third Party A+B or
Credit
♦ 9500-0510 (English)
RUC with Credit Only Item Description – RUC/A+B
♦ 9500-5010 (metric)
(CREDIT to be paid by THIRD PARTY)
Units should be Lump Sum (L. S.)
*Negative number would be used when a damage is involved.
Final Estimates
A ‘Final Acceptance’ letter (Final) will be issued to the contractor after the “Final
Inspection” if all the work is satisfactory, with the exception of any performance period.
This “Final Acceptance” of the work will set into motion the preparation of the “Retainage,
Semi-final Estimates” and “Final Estimates”.
Retainage provisions in the contract are required by state law and are intended to ensure that
the contractor will complete the work. Upon completion of the work, the engineer will
conduct a final inspection of the project. TxDOT handles retainage in three basic ways:
♦
Projects utilizing nonhazardous recycled materials (NRM)
♦
Projects not using nonhazardous recycled materials
♦
Projects with vegetative establishment, maintenance or performance period (VEMP)
For projects using NRM's, 4% of the contract amount will be retained until after completion
and acceptance of the work. Immediately after "final acceptance" by the District Engineer or
a designated employee, a retainage estimate will be initiated, releasing 50% of the retainage
shown on the last paid estimate to the contractor. This applies to all NRM construction
projects regardless of dollar amount. The retainage estimate can be transmitted and posted
only if there has been no quantity update since the last paid estimate.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
For projects not utilizing NRM's, 5% of the contract amount will be retained until after
completion and acceptance of the work. Immediately after "final acceptance" by the District
Engineer or a designated employee, a retainage estimate will be initiated, releasing 60% of
the retainage shown on the last paid estimate to the contractor. This applies to all NRM
construction projects regardless of dollar amount. To release 60% of the retainage, the
percent retainage in the CIS files will be changed from 5% to 2%. The retainage estimate
can be transmitted and posted only if there has been no quantity update since the last paid
estimate.
For projects in the December 1999 or subsequent lettings, recent laws provide for a separate
vegetative establishment, maintenance or performance period (VEMP) following
construction. Before the entire improvement is accepted, TxDOT may release a portion of
the amount retained at the time construction of the improvement is completed but not more
than the amount sufficient to ensure compliance with the contract. Retainage for contracts
with VEMP work is handled as follows:
1.
For landscape projects, the standard full retainage of 4% or 5% should apply until
completion of all work and final acceptance.
2.
A reduction of retainage to 2% may be appropriate for most other contracts with a
VEMP, however, a lesser retainage may be considered as explained in item 3.
3.
When the 2% retainage is an amount beyond that needed to ensure completion of a
contract with a VEMP, the Engineer may reduce the amount retained to an amount
sufficient to complete the contract in case of default. To accommodate a retainage of
less than 2%, the CIS program has been revised to allow input of retainage to the
nearest 0.1%. When calculating the amount to be retained and converted to a percentage
to be used in CIS, round up to the nearest 0.1%.
The “Final Estimate” assures that all work performed and amounts due to the contractor are
calculated and paid. During the final estimate stage, all finalized pay quantity records are
checked, and all quantity totals are justified by supporting records. It is extremely important
that the pay quantity records are organized, updated, and totaled, and periodically reviewed
and initiated by the district office.
Prepare and submit final estimates (FE) and supporting papers according to instructions in
the Estimates Manual for Construction and Maintenance Projects. The district should
ensure that payment of final estimates is made in a timely manner. The district should
diligently pursue processing the FE and submit it to FIN within sixty (60) calendar days
after the date of acceptance of the work. The publication Construction Records to Support
Pay Quantities of Work Done on Contract Construction Projects presents an orderly method
of documentation to verify all pay quantities on the final estimate.
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Chapter 12
Environment
Contents:
Section 1 — Hazardous Materials/Waste ...........................................................................12-3
Section 2 — Biological Resources....................................................................................12-11
Section 3 — Water Resources ..........................................................................................12-14
Section 4 — Cultural Resources .......................................................................................12-22
Section 5 — Preservation of Cultural and Natural Resources and the Environment .......12-24
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Chapter 12 — Environment
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Section 1 — Hazardous Materials/Waste
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TxDOT 9/2002
Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Section 1
Hazardous Materials/Waste
Overview
The goals for the construction stage of project development include:
♦
Implementation of any preventive action plans developed in the design stage for
contamination anticipated to be encountered during construction;
♦
Development and implementation of procedures to handle or manage unanticipated
contamination encountered during construction; and
♦
Documentation of implemented preventive provisions and actions.
Definitions
The term hazardous materials/waste is defined in TxDOT Standard Specifications, Item
1.25. Hazardous Materials/Waste. This definition is very broad and the requirements for
handling, testing, removal and disposal may differ depending upon applicable regulations.
Hazardous materials/waste includes, but is not limited to:
♦
Explosives
♦
Compressed gas
♦
Flammable liquids
♦
Flammable solids
♦
Combustible liquids
♦
Oxidizers
♦
Poisons
♦
Radioactive materials
♦
Corrosives
♦
Etiologic agents
♦
Other materials classified as hazardous by 40 CFR 261
(http://www.access.gpo.gov/nara/cfr/waisidx_99/40cfr261_99.html), or applicable state
and federal regulations.
Per TxDOT Standard Specifications, Item 7.1. Laws to be Observed, the contractor shall
observe and comply with all federal, state and local laws, ordinances and regulations. It is
important to note that under the Occupational Safety and Health Act (OSHA), the contractor
(employer) is responsible for the health and safety of his/her employees.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
TxDOT Standard Specifications, Item 8.10. Hazardous Materials, addresses hazardous
materials discovered on sites owned or controlled by the state. Per Item 8.10, materials
utilized in the project shall be free of any hazardous materials. The AE is to be immediately
notified when there is evidence of materials suspected of containing hazardous materials.
Item 8.10 also discusses the responsibilities for existing materials and materials delivered to
the project containing hazardous materials. For existing materials, the State is responsible
for testing and removal and the AE may suspend work. For materials delivered, the
contractor is responsible for testing and removal.
Procedure Overview
One benefit of performing environmental site assessments early in the project development
process is that unanticipated contamination encountered during construction is minimized.
When unanticipated contamination is encountered in a construction project, the potential
negative consequences include possible injury to workers and the public; damage to
equipment and property; delays in construction; damage claims by the contractor; and
additional costs for the procurement of consultant services, specialty contractors and field
changes. The discovery of hazardous materials may delay project construction until a
lengthy, complex process of investigation produces acceptable measures to handle the
contamination. Also, if the unanticipated encounter with hazardous material contamination
aggravates the existing problem, such as causing a further release of contaminants, then
TxDOT may become partially liable for the environmental consequences and required
cleanup of the release.
When hazardous materials are identified during earlier phases of the project development
and it is determined that cleanup is not feasible prior to construction, then preventive action
may be incorporated into the construction project. Preventive action refers to cleanup and
related activities that are required to effect the construction of the highway project. Should
cleanup activities by a responsible party be required due to state or federal regulations to
protect human health and the environment, then the activities are considered corrective
actions.
The following options for handling contamination are available and may be used
individually or in combination:
Option:
Option 1
(preferred)
Option 2
Option 3
Option 4
Option 5
Option 6
Options for Handling Contamination
Description:
Use a state specialty contractor by contract or prearranged purchase order to handle
contamination prior to letting
Obtain an emergency contract for a specialty contractor to handle contamination during
construction
Obtain prearranged purchase order prior to construction for a specialty contractor to handle
contamination during construction
Develop "extra work" order(s) for the prime construction contractor or subcontractor
Develop special provisions in the Plans, Specifications and Estimates (PS&E) for the prime
construction contractor; and/or
Coordinate activities with the responsible party (when the responsible party does cleanup).
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
TxDOT Standard Specifications do not provide for the inclusion of analytical testing,
preventive action or management of contaminants in construction contracts, since it is
outside the scope of "Highway Construction.” If such preventive measures are required of
the prime construction contractor or specialty subcontractor (Option 5), they need to be
included by special provision. Otherwise, other options as detailed above, (e.g., emergency
contract for a specialty contractor (Option 2), prearranged purchase order for a specialty
contractor (Option 3), "extra work" order by the prime construction contractor or
subcontractor (Option 4), or by the responsible party (Option 6)) are available for
anticipated and/or unanticipated contamination. Even if the prime construction contractor
does not carry out preventive measures, the PS&E may need general notes or provisions
alerting the contractor to the presence of contamination or limitations regarding access to
certain areas of the project and other items designed to avoid or minimize contractor
downtime.
The construction responsibilities for anticipated hazardous materials include:
♦
Coordination between the prime construction contractor, specialty contractors,
consultant(s) and other subcontractors
♦
Implementation of provisions for worker and public safety as well as the appropriate
handling and disposal of hazardous materials or waste
♦
Implementation of oversight provisions for preventive action aspects of the contract;
and
♦
Documentation of the actions taken for the sub-items related to preventive action.
Major steps for unanticipated hazardous materials/waste encountered during construction:
♦
Securing the site to protect workers and the public
♦
Notifying the proper authorities and responsible parties
♦
Determining the worker safety and public exposure concerns
♦
Characterizing the contaminant(s)
♦
Developing and implementing hazardous materials/waste management measures; and
♦
Documenting the event starting with discovery.
FHWA may not participate in the additional costs related to hazardous materials if "due
diligence" was not used in assessing the project limits in the planning stages of the project.
During construction if unanticipated contamination is encountered, then it may be necessary
to defend the actions taken with thorough documentation for federal participation.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Hazardous Materials Anticipated to be Encountered during Construction
This section covers hazardous materials identified during earlier phases of the project
development process where preventive action has been incorporated into the project and/or
provided for in the PS&E.
Coordination is needed between the prime contractor and specialty contractors, consultant(s)
and other subcontractors so as not to duplicate activities or cause unnecessary downtime.
Typically, a specialty contractor or subcontractor under the guidance of an environmental
consultant will execute preventive action working with the prime contractor under overall
control of the AE. A Pre-Bid Conference and Partnering should be considered, as effective
coordination between these parties and their work is important. The AE must also consider
phasing (whether part of the original contract or not) to minimize scheduling conflicts
between the prime construction contractor and specialty contractors.
The provisions for worker and public safety, as well as handling and disposing of hazardous
materials or waste, will need to be implemented during construction. The contract may
provide special compliance requirements for the handling, treatment or transportation of
hazardous materials, worker qualifications and safety practices. These special provisions
should be highlighted so the contractor and inspectors are aware of them from the beginning.
Specialized oversight provisions will require participation of consultants, specialty quality
control contractors, or environmental agencies.
The District Construction Office and the AE have the primary responsibility to generate and
maintain a thorough record. During construction, documentation of the actions taken for the
sub-items related to preventive action will be necessary. Appropriate reports close out the
preventive action part of the work.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Unanticipated Hazardous Materials Encountered during Construction
This section covers unanticipated hazardous materials that may be encountered during
construction activities after the contract is awarded.
Identification and recognition of the existing hazardous materials is the first step that
triggers action. During excavation, indicators of possible contamination include, but are not
limited to:
♦
Rusted barrels and containers
♦
Stained or discolored earth in contrast with adjoining soil
♦
Fill material containing debris other than construction-related items
♦
Household trash covered by earth or other material that appears to be interspersed with
industrial debris
♦
Gasoline smells or other odors which emanate when the earth is disturbed
♦
Oily residue intermixed with earth
♦
Sheen on groundwater
♦
Cinders and other combustion products like ash; and
♦
Structures such as asbestos cement (transite) pipe, abandoned oil & gas lines, and
underground storage tanks also require special handling when disturbed.
Usually the contractor will make the discovery of an unanticipated hazardous
materials/waste. When the Contractor (or TxDOT personnel) encounters materials suspected
by visual observation or smell to contain hazardous materials, the Contractor (or TxDOT
personnel) shall immediately notify the AE. The AE shall take the following notification and
coordination steps in dealing with hazardous materials after discovery:
♦
Once the notification is received, the AE should evaluate and confirm whether special
provisions are needed. The AE can contact the Contract Services Office (CSO) for
statewide environmental engineering consultant services; Environmental Affairs
Division, Hazardous Materials Management Section (ENV-HMM); and Design
Division (DES) for assistance as needed
♦
Develop requirements and arrange to secure the suspected area for worker and public
safety as needed. If possible, relocate the Contractor on the construction project to avoid
or minimize construction downtime
♦
Notify the District Construction Office
♦
Determine applicable regulations with ENV-HMM assistance. If notification is required
or if additional regulatory assistance is desired, the District Construction Office must
notify the local office of the Texas Commission on Environmental Quality (TCEQ).
ENV-HMM is available to assist with communication and coordination with the TCEQ.
♦
If possible or practical, identify and notify responsible parties to arrange for preventive
action and/or cost recovery.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
When discovered, the state assumes responsibility for testing, removal or disposition of the
hazardous materials. Compensation to the Contractor for delays and work stoppages is
addressed under the standard provisions of the contract. Provide the Contractor the option to
perform the testing, removal and/or disposition as "extra work" by a Change Order(s) in
accordance with Item 4.3 of the TxDOT Standard Specifications. The Contractor is not
obligated to opt for "extra work" since the required work is outside the scope of the contract.
The AE will need to obtain proposals and estimated costs for "extra work" from consultants
and/or specialty contractors to compare with the estimated costs from the Contractor.
Several factors including required expertise, timeliness in developing extra work orders, cost
effectiveness and pollution liability insurance may affect whether the Contractor consents to
extra work orders or if they are accepted by TxDOT. If the Contractor is unwilling to opt for
the "extra work," or if this option is not cost effective, suspend the work wholly or in part
through proper notice to the Contractor. Again, if possible, re-deploy the Contractor on the
construction project to avoid or minimize construction downtime.
Another available option is to arrange for an emergency contract for a specialty contractor.
Some districts have prearranged purchase orders for specialty contractors and/or
laboratories. An environmental consultant may be necessary for testing or developing
preventive action plans. The AE can contact the CSO for statewide environmental
engineering consultants and/or ENV-HMM for assistance.
Provide coordination between the affected divisions (CST, DES, ENV-HMM and CSO),
prime construction contractor, specialty subcontractor, environmental consultant,
responsible parties and other agencies. At this time "Partnering" should be considered to
reduce the potential for future claims.
Coordinate the implementation of preventive action with the construction activities of the
project. This may involve concurrent activities by consultants, specialty contractors, and the
prime construction contractor and subcontractors.
If work is suspended, then the District Construction Office and the AE will take the
necessary action to issue a "notice of resumption of suspended work" to the prime
construction contractor when preventive action is completed.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Characterize the Contaminant and Develop Preventive Action Plan
Whether arranged by the prime construction contractor or by TxDOT, a consultant may be
required to identify and characterize the contamination through sampling and analytical
testing. The objectives of the consultant's investigation include:
♦
Determine characteristics of the soil, groundwater and vapor (e.g., groundwater
recovery rates; vertical and horizontal extent of contamination; chemicals of concern,
etc.)
♦
Assess worker safety and public exposure concerns
♦
Determine the handling and/or disposal requirements for any contaminated media
unearthed as part of the construction process
♦
Recommend a preventive action plan to ensure the problem is not aggravated and to
avoid or minimize department liability; and
♦
Determine requirements necessary such that the prime construction contractor can
resume work following suspension.
Consultants may also need to develop special specifications to complete portions of the
construction within contaminated environments. The data obtained from the investigation
will enable the consultant to develop special specifications related to groundwater treatment
or filtration systems; ventilation systems; ongoing site monitoring; contaminated material
disposal or reuse options; and permitting. Environmental consultants can be procured
through the statewide engineering and environmental consultant program administered by
CSO with technical oversight provided by ENV-HMM.
As previously stated, the District Construction Office and the AE have the primary
responsibility to generate and maintain a thorough record. Appropriate reports close out the
preventive action part of the work and a proper resumption order restarts the construction.
The AE completes the records by carefully noting all the actions taken from the time the
initial notification was received up to closure with regulatory agencies.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Cost Recovery and Accounting
FHWA may not participate in the additional costs related to hazardous materials if due
diligence was not used in assessing potential impacts within the project limits in the
planning stages of a federal-aid project. Federal participation in preventive action costs
depends on a solid defense of the actions taken when unanticipated contamination is
encountered. This defense is created with a thorough record of all circumstances and actions
taken including coordination with regulatory authorities, worker/public safety plan actions,
and step-by-step preventive action measures. This record, once generated, will form a
valuable management tool and may be useful for a variety of accounting issues.
Discovery of contaminated sites has a potential for claims, litigation, and expectations of
cost recovery from affected parties. For these reasons, and also for statistical data collection
for management decisions, it is essential to track the costs attributable to hazardous material
issues on sites. One effective measure is to assign a unique numbering system to pay items
related to the hazardous material on site.
Responsible Parties
There are cases where TxDOT has successfully identified, contacted and made arrangements
with responsible parties for cost recovery or handling hazardous materials without litigation.
These arrangements have a greater potential for success if negotiated prior to letting.
Arrangements can still be initiated when unanticipated contamination is encountered during
construction.
If possible or practical, identified responsible parties should be contacted before costs are
incurred. The responsible party may be more willing to make arrangements if allowed to
participate in developing preventive action measures. Additionally, if the responsible party
is undergoing other corrective action, they may have the resources to handle the
contamination in an acceptable time frame for the construction project.
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Chapter 12 — Environment
Section 2 — Biological Resources
Section 2
Biological Resources
Endangered Species Act Requirements
There are about 86 species in Texas, at the time of this writing, that are listed as threatened
or endangered under the authority of the Endangered Species Act of 1973 (ESA)
(http://www.house.gov/resources/105cong/reports/105_c/esaidx.htm). There are also two
species proposed for listing and an additional 12 species with candidate status. For Texas
Department of Transportation (TxDOT) purposes, all the listed and proposed species have
the full protection of the ESA. Candidate species, although not afforded the protections of
the ESA, should be considered in project development because listing of candidate species
during project development or construction could cause project delays.
The ESA has two different Sections with directly affect TxDOT projects. Section 7 requires
Federal agencies to consult with the U. S. Fish and Wildlife Service (USFWS) whenever a
project "may affect" a listed species, or to confer with the USFWS whenever a project "may
affect" a proposed species (http://www.wetlands.com/). Section 7 consultations may be
either formal or informal. Section 7 makes it the responsibility of each Federal agency to
conserve listed species. The Federal Highway Administration (FHWA), in a letter to the
USFWS has named TxDOT as a designated representative for FHWA for Section 7
consultations, but not including formal consultations. This means that TxDOT conducts
Section 7 consultations and conferences with the USFWS on projects with Federal funds,
except that all formal consultations go through the FHWA. State funded projects that require
some other federal approval, such as a Corps of Engineers Section 404 permit would also
come under Section 7 of the ESA. Section 10 of the ESA applies to state funded projects
that have no other federal connection. Section 10 requires that a USFWS permit be obtained
to "take" any listed species.
When TxDOT is planning a project and discovers that a listed, proposed, or candidate
species is involved, several courses of action may be possible. If it is believed that a project
"may affect" a listed species, it might be possible to modify the project to eliminate the "may
affect," in which case no further action would be necessary. An example of removing a
"may affect" would be to change a right of way alignment to avoid a population of a listed
plant. If the project cannot be modified to remove a "may affect" consultation with the
USFWS will be necessary. The consultation may start an informal consultation or may
proceed directly to formal consultation. Any discussions, telephone conversations, etc. with
the USFWS are part of the informal consultation process. Formal consultation involves the
preparation of a Biological Assessment, which is transmitted to the USFWS, through
FHWA and the return of a Biological Opinion from the USFWS. The end result of
consultations may be a requirement for the implementation of measures to reduce the
impacts to a listed species. The required measures may be either on-site or off-site, or both.
On-site mitigation may require construction modifications to comply with the results of
consultation with the USFWS.
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Chapter 12 — Environment
Section 2 — Biological Resources
If the USFWS issues a Section 10 permit for a non-federal project, the permit will typically
contain measures to mitigate the "take" of a listed species, such as construction changes or
purchase of replacement habitat.
When measures are identified that are necessary to eliminate the "may affect" or take of a
listed or proposed species, through TxDOT's own project modifications, formal or informal
consultation with the USFWS, or through a Section 10 permit, and the measures involve
construction activities, those activities must be noted in the contract(s) for the project.
Special contract conditions should note any on-site measures. If incidental take of a listed
species is allowed by either the formal consultation process or a Section 10 permit, that
incidental take should also be noted in special contact conditions.
Once construction starts, any observed differences in the affects of the construction on listed
species, or incidental take that exceeds that allowed in the Biological Opinion or Section 10
permit must be immediately brought to the attention of the District Environmental
Coordinator. Any new information that shows the affects of the project on listed species is
greater than anticipated may require additional consultation with the USFWS.
Stream Channel Modifications
Projects that receive federal funds or approval are subject to review by the USFWS and the
Texas Parks and Wildlife Department (TPWD), under the authority of the Fish and Wildlife
Coordination Act when work involves modifications to:
♦
Stream channels in new rights-of-way
♦
Stream channels in existing, unmaintained rights-of-way (ROW)
♦
In new channel easements
♦
Or in new disturbance to existing channel easements.
USFWS and TPWD may make recommendations for mitigation of the channel affects on
wildlife and habitat. However, the recommendations are not limited to the stream channel
itself.
These recommendations are not binding to TxDOT, but could result in special contract
requirements. Once TxDOT accepts the recommendations, a good faith effort must be made
by both TxDOT and the contractors to implement them.
The recommendations of the USFWS might entail permit requirements through the federal
permit process. USFWS and TPWD should be included in the contract, when necessary, to
ensure that the recommendations will be followed.
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Chapter 12 — Environment
Section 2 — Biological Resources
Memorandum of Understanding between TxDOT and the Texas Parks and Wildlife
Department
Project environmental documents that meet specific criteria in a Memorandum of
Understanding between TxDOT and TPWD are reviewed by TPWD. TPWD may provide
recommendations for mitigation of impacts to wildlife and habitats. TxDOT has the final
decision on how to implement these recommendations, and a good faith effort must be made
to implement them. All such requirements must be observed by both TxDOT and
contractors, once the recommendations have been accepted by TxDOT.
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Chapter 12 — Environment
Section 3 — Water Resources
Section 3
Water Resources
Storm Water Discharges
The Clean Water Act (CWA) (http://www.epa.gov/oar/oaqps/peg_caa/pegcaain.html) is the
principal law governing pollution control and water quality of the nation’s waterways. The
act regulates discharges to waters of the United States through permits issued under the
National Pollutant Discharge Elimination System (NPDES) permitting program. The Act
makes it unlawful to discharge storm water from construction sites, unless authorized by a
NPDES permit. The NPDES permit regulations, promulgated by the U.S. Environmental
Protection Agency (EPA), require that storm water discharges due to construction activities
apply for coverage under the NPDES program’s Construction General Permit. Unlike an
individual permit that is prepared to cover discharge activities for a specific location, the
General Permit prepared by EPA is for a specific activity, such as construction. The operator
seeking coverage under the General Permit is required to provide a Notice of Intent (NOI) to
the EPA and then comply with the terms of the General Permit. Information on the General
Permit and an NOI can be accessed at http://www.epa.gov/region06/water/.
The General Permit authorizes the discharge of storm water associated with construction
activities that result in the disturbance of five (5) acres or more of total land area, including
areas that are part of a larger common plan of development. The General Permit applies only
during site construction. Once the earth-disturbing activities are complete, the area is finally
stabilized and a Notice of Termination (NOT) has been submitted to the EPA, then the
requirements of the General Permit are complete. NOT can be accessed at the above EPA
website.
In July 1998, the EPA reissued the NPDES Construction General Permit. The major
revisions from the previous General Permit are:
♦
A requirement to comply with the Endangered Species Act and a new section on the
NOI form certifying that measures to protect endangered species, if necessary, have
been taken. To meet its obligation under the Clean Water Act and the Endangered
Species Act and to promote those Acts’ goals, TxDOT must ensure that activities
regulated by the General Permit are protective of listed endangered and threatened
species and critical habitats. TxDOT is required by the new General Permit to assess the
impacts of storm water discharge and related activities on listed endangered and
threatened species and critical habitats
♦
Expanded coverage to sites less than five (5) acres if designed by the Regional Director
of EPA
♦
A requirement to post project information at the project site, the posted information
includes the issued permit number (or copy of the NOI if the permit number has not
been assigned); a brief description of the project; and the name of a contact person. The
department is responsible for this poster requirement
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Chapter 12 — Environment
♦
Section 3 — Water Resources
The addition of criteria and objectives to be followed in developing and implementing
the storm water pollution prevention plan (SW3P).
The effective date of the new General Permit was July 6, 1998.
Receiving Coverage Under the NPDES Construction General Permit
To receive coverage under the Construction General Permit, TxDOT is required to complete
the following actions:
♦
Develop Storm Water Pollution Prevention Plans (SW3P) for each project requiring an
NPDES permit (http://crossroads.dot.state.tx.us/org/env/NRMintranet/index.htm)
(http://www.dot.state.tx.us/insdtdot/orgchart/env/nrm.htm).
♦
Submit a Notice of Intent (NOI) to the EPA
♦
Satisfy special conditions of the NPDES General Permit
♦
Perform scheduled inspections, together with remedial actions, of storm water erosion
control devices
♦
Submit a Notice of Termination (NOT) after completion of all required activities.
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Chapter 12 — Environment
Section 3 — Water Resources
NPDES Construction General Permit Storm Water Pollution Prevention Plans (SW3P)
Requirements
A SW3P must be prepared for projects that require coverage under the NPDES Construction
General Permit requirements. The intent of the SW3P is to reduce pollutants in storm water
discharges from the project site. The NPDES Construction General Permit requires that the
SW3P be completed before the submittal of the NOI and that it must include the following
information:
♦
Detailed site description
♦
Description of appropriate control measures (i.e., Best Management Practices) that will
be implemented as part of the construction activity to control pollutants in storm water
discharges
♦
Description of planned maintenance activities that will be necessary to keep the erosion
and sediment control measures identified in the SW3P in effective operating condition
♦
Description/record of inspections of erosion and sediment control devices, disturbed
areas of the construction site, equipment and material storage areas and construction
entrance and exist points (results of the inspection would be used to modify the SW3P
as necessary)
♦
Description of all non-storm water related discharges associated with the construction
activity and a description of the pollution prevention measures that will be implemented
for the non-storm water component(s) of the discharge.
The above list is only a brief summary of the required contents of the SW3P. A more
detailed discussion is outlined in the NPDES Construction General Permit.
The SW3P must be reviewed regularly and kept current by noting any changes in the plan. If
any runoff control measure does not function adequately, the SW3P must be modified to
correct the problem. Repair, replace, or modify all failing devices according to the revised
SW3P.
The SW3P, together with any revisions, must be kept with the project files at the project
field office. If there is no project field office, the AE must designate a specific location for
the SW3P, together with any revisions. In this situation, they must be at an accessible
location.
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Chapter 12 — Environment
Section 3 — Water Resources
Notice of Intent (NOI)
To receive coverage under the NPDES Construction General Permit, TxDOT must submit a
NOI (3510-9) at least 48 hours before project construction begins. Submit the NOI only after
the SW3P has been prepared.
The NOI contains a certification, which reads as follows:
I certify under penalty of law that this document and all attachments were prepared
under my direction or supervision in accordance with a system designed to assure
that qualified personnel properly gathered and evaluated the information submitted.
Based on my inquiry of the person or persons who manage the system, or those
persons directly responsible for gathering the information, the information
submitted is, to the best of my knowledge and belief, true, accurate, and complete. I
am aware that significant penalties exist for submitting false information, including
the possibility of fine and imprisonment for knowledge of violations.
The DE signs the NOI. By submitting the NOI, TxDOT is required to control storm water
discharges from the project site as specified by the provisions of the NPDES Construction
General Permit. Regulations are found in 40 CFR, Part 122
(http://www.access.gpo.gov/nara/cfr/waisidx_99/40cfr122_99.html) reinforcing the
requirement. The NPDES general permit contains fines or imprisonment for failure to fulfill
the general permit requirements.
Note: On March 8, 1999, the Director of the Environmental Affairs Division issued a memo
regarding the delegation of signature authority on NOI under the terms of the NPDES
Construction General Permit, having stated that “many DE’s have sought to extend this
authority to their AE’s.” For this reason, after having discussed the meaning of Part
VI.G.(2) with the EPA in a meeting on February 2, 1999, it is appropriate for AEs to
sign NOIs at the discretion of their DE (i.e., where the DE agrees that the AE has
‘…responsibility for the overall operations of a principal geographic unit of the
agency…’). Under no circumstances should anyone other than the DE or designated
AEs sign and submit NOIs to the EPA.
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Chapter 12 — Environment
Section 3 — Water Resources
Contractor Involvement
The NPDES Construction General Permit and SW3P must clearly identify the contractor or
subcontractor that will implement any measure outlined in the SW3P. A list of the
responsible contractor or subcontractor must be submitted to the AE at the pre-construction
conference.
In certain situations, the contractor is responsible for SW3P preparation. When contractor
facilities such as asphalt or concrete plants are within the ROW, the contractor is responsible
for preparing an SW3P for these operations. The AE must approve these SW3Ps and
maintain them with the TxDOT project SW3P. The TxDOT permit or NOI does not cover
contractor facilities off the ROW. For these off-ROW facilities the contractor must prepare
SW3Ps and submit an NOI to the EPA under EPA requirements. However, a Project
Specific Location (PSL) is required to be included in the overall project’s SW3P if the PSL
is under the operational control of TxDOT and is used to directly and exclusively support
the TxDOT project.
Inform the contractor of any violations of NPDES regulations by the contractor off the
ROW and document these actions in the project diary.
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Chapter 12 — Environment
Section 3 — Water Resources
Inspections
The DE is responsible for appointing a Department Responsible Person (DRP) to make
regular inspections of the construction site to verify that the erosion control measures and
devices are working. These inspections should be conducted according to the 1995
Standard Specification, “Item 506 Temporary Erosion, Sedimentation, and Water Pollution
Prevention and Control.” The DRP documents the inspection in the “Construction Pollution
Prevention Plan Inspection and Maintenance Report” (located in the ‘Storm Water
Management Guidelines for Construction Activities’ or obtained from the Environmental
Affairs Division).
The Construction General Permit requires that qualified personnel inspect the following
areas at least once every fourteen (14) calendar days and within 24 hours of the end of a
storm event of 0.5 inches or greater:
♦
Disturbed areas of the construction site that have not been finally stabilized
♦
Areas used for storage of materials that are exposed to precipitation
♦
Structural control measures, and
♦
Locations where vehicles enter or exit the site.
Where sites have been finally or temporarily stabilized or during seasonal arid periods in
arid areas (average annual rainfall of 0 to 10 inches) and semi-arid areas (average annual
rainfall of 10 to 20 inches) inspections are required at least once every month.
Based on the results of the inspection, the SW3P must be modified as necessary (e.g., show
additional controls on the site map; revise description of controls) to include additional or
modified best management practices (BMPs) designed to correct problems identified.
Revisions to the SW3P must be completed within seven (7) calendar days following
inspection. If existing BMPs need to be modified or if additional BMPs are necessary,
implementation must be complete before the next anticipated storm event or implemented as
soon as practicable.
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Chapter 12 — Environment
Section 3 — Water Resources
NPDES Construction General Permit Notice of Termination (NOT)
TxDOT policy is that the DE or AE signs the NOT (3510-7) and submits this notice to the
EPA after completion of the project and stabilization of all disturbed areas. The NOT
certification reads as follows:
I certify under penalty of law that all storm water discharges associated with
industrial activity from the identified facility that are authorized by an NPDES
general permit have been eliminated or that I am no longer the operator of the
facility or construction site. I understand that by submitting this notice of
termination, I am no longer authorized to discharge storm water associated with
industrial activity under this general permit, and that discharging pollutants in
storm water associated with industrial activity to waters of the United States is
unlawful under the Clean Water Act where the discharge is not authorized by a
NPDES permit. I also understand that the submittal of this notice of termination
does not release an operator from liability of any violations of this permit from the
Clean Water Act.
Completion of a Project and Release of a Contractor
It is standard department practice to release the contractor fully after satisfactory completion
of the project and achievement of 70 percent perennial vegetative cover, or equivalent. Final
acceptance of the project may be granted if measures to control erosion, sedimentation, and
water pollution, have been employed. State forces implement SW3P, by:
♦
Standard maintenance operations
♦
Function Code 261, State Force Account – Storm Water Pollution Prevention, (refer to
Code Chart 12, Function Codes and Descriptions by FIMS Segments, in Code Chart
Reference Guide 12-1-95)
♦
Maintenance contract
♦
Or another construction type contract.
If a job is accepted with less than 70 percent stabilization, CST must be notified to keep the
contract CSJ open. After submitting the NOT to the EPA, notify CST to close the project
from the Contract Information Segment (CIS).
For more information on NPDES General Permit for storm water discharges from
construction activities contact the Water Resources Management Branch of the
Environmental Affairs Division.
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Chapter 12 — Environment
Section 3 — Water Resources
Section 404 Permit Requirements
The U.S. Army Corps of Engineers is directed by Congress to regulate and permit the
discharge of material into all waters of the United States, including wetlands. The intent of
the law is to protect the nation's waters from indiscriminate discharge of material capable of
causing pollution and to restore and maintain chemical, physical and biological integrity.
TxDOT is required to obtain a Corps of Engineers permit for any project that will have an
impact on these waters. Discharge material has been very broadly defined to mean almost
anything that can affect the waterway or wetland. The Corps defines the following general
types of construction projects as needing a permit:
♦
Bridge crossings
♦
Temporary fills in jurisdictional waters including streams, wetlands, and some stock
ponds
♦
Dredged material that flows back into water from upland dredged material placement
site
♦
Land clearing in Corps jurisdictional waters.
Depending on the project, TxDOT is required to construct a project under a Corps
Nationwide permit (NWP) or Individual permit. NWP's are a type of general permit issued
for minor activities with minimal impacts. They are designed to relieve the time consuming
administrative burden for minor discharges. The construction project must satisfy all terms
and conditions of the specific NWP.
For all discharges not permitted under a NWP or other General Permit, an Individual Permit
will be required. Procedures for an Individual Section 404 permit are very time-consuming
and have extensive requirements.
The permit for each project will have conditions that must be met exactly as stated in the
permit. Any changes in the project plans or field changes during construction that alter what
was stated in the Corps permit application and permit must be approved by TxDOT prior to
being conducted. A significant change could require a new permit to be issued in the case of
an individual permit.
Failure to comply with all permit conditions could, and have in the past, resulted in project
work stoppages being issued by the Corps. This results in costly delays for both TxDOT and
the contractor.
For more information on Corps of Engineers permit requirements; contact the Water
Resources Management Branch of the Environmental Affairs Division.
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Chapter 12 — Environment
Section 4 — Cultural Resources
Section 4
Cultural Resources
Antiquities Code of Texas (Chapter 191 of the Natural Resources Code)
This law applies to all on and off system department projects. Chapter 191
(http://www.capitol.state.tx.us/statutes/nr/nr0019100toc.html) states that historical sites and
archaeological landmarks on land belonging to the state, a state agency, or a political
subdivision of the state may not be altered, destroyed or excavated without a permit from the
Texas Historical Commission. The department has agreed to avoid sites, buildings and
locations of historical, archaeological, educational, or scientific interest in rights-of-way
(ROW) and other areas affected by a transportation activity or to minimize or mitigate any
transportation related impacts to them.
Typically, these obligations are completed by the department in the pre-construction phase
of project planning. In some cases, however, the department must complete our obligations
after award of the construction contract. In those cases, the department will:
♦
Obtain Texas Historical Commission approval to proceed to construction with a
commitment to delay construction or other transportation activities that may impact
state archeological landmarks.
♦
Include a note in the PS&E to require that no construction related activities occur in
specifically designated project areas until the department’s commitments to the Texas
Historical Commission have been completed. The Environmental Affairs Division will
coordinate these commitments and their completion with the AE and the district’s
Environmental Coordinator.
If archaeological materials or human remains are identified within the ROW, or material
source under option to the department, all construction related activities shall cease and the
find shall be reported to the Environmental Affairs Division in accordance with
Specification 7.17 and the department’s Emergency Discovery Guidelines (EmerDisc)
(http://www.dot.state.tx.us/insdtdot/orgchart/env/resources.htm). The contractor will be
notified by the AE or Project Inspector when work may resume.
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Chapter 12 — Environment
Section 4 — Cultural Resources
National Historic Preservation Act as amended (16 U.S.C. §470 and 36 CFR 800)
This act applies to all federally funded projects and projects involving permitting or
approval by a Federal agency, such as the Corps of Engineers. When significant
archeological sites, marked and unmarked cemeteries, traditional cultural properties,
buildings, structures or objects will be affected by the project, the act requires consultation
with the Texas Historical Commission, federally recognized Indian tribes, local
governments, other consulting parties, and members of the interested public prior to
approval of funding or issuance of permits or approvals. The purpose of the consultation is
to avoid, minimize, or mitigate project-related impacts to these significant cultural
resources. (http://www2.cr.nps.gov/laws/NHPA1966.htm) and
(http://www.achp.gov/regs.html).
Typically, consultation is completed by FHWA and the department in the pre-construction
phase of project planning. In some cases, however, the department must complete mitigation
or other requirements after award of the construction contract. In those cases, the department
will:
♦
Obtain Texas Historical Commission approval to proceed to construction with the
commitment to avoid construction or other transportation activities that may impact
significant cultural resources until the commitment has been met.
♦
Include a note in the PS&E to require that no construction related activities occur in
specifically designated project areas until the department’s commitments to the Texas
Historical Commission have been completed. The Environmental Affairs Division will
coordinate these commitments and their completion with the AE and the district’s
Environmental Coordinator.
Properties subject to consultation may be outside the ROW under certain circumstances.
Impacting or allowing contractors to impact areas subject to these commitments can result
in loss of Federal funding, work stoppages, and litigation.
If archaeological materials or human remains are identified within the ROW, or material
source under option to the department, all construction related activities shall cease and the
find shall be reported to the Environmental Affairs Division in accordance with
Specification 7.17 and the department’s Emergency Discovery Guidelines (EmerDisc). The
contractor will be notified by the AE or Project Inspector when work may resume.
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Section 5 — Preservation of Cultural and Natural
Resources and the Environment
Chapter 12 — Environment
Section 5
Preservation of Cultural and Natural Resources and the Environment
Certification
For all project specific locations (PSL’s) (material sources, waste sites, parking areas,
storage areas, field offices, staging areas, haul roads, etc.) the contractor certifies by signing
the contract that they and all subcontractors will comply with all applicable laws, rules and
regulations pertaining to the preservation of cultural resources, natural resources, and the
environment as issued by the following or other agencies.
♦
U.S. Department of Transportation
♦
U.S. Army Corps of Engineers
♦
U.S. Federal Emergency Management Agency
♦
U.S. Fish and Wildlife Service
♦
U.S. Environmental Protection Agency
♦
Texas Department of Transportation
♦
Texas Historical Commission
♦
Texas Parks and Wildlife Department
♦
Texas Commission on Environmental Quality.
The contractor and all subcontractors will be required to maintain documentation of
certification activities including environmental consultant reports, contractor documentation
on certification decisions, contacts with the resource agencies, and correspondence with use
the pertinent resource agency. This documentation will be provided upon request.
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Chapter 13
Health and Safety
Contents:
Section 1 — Federal Safety and Health Laws ....................................................................13-3
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Section 1
Federal Safety and Health Laws
Introduction
OSHA has published regulations concerning safety and health in Title 29 of the Code of
Federal Regulations, Part 1926, “Safety and Health Regulations for Construction,” and Part
1910, “Occupational Safety and Health Standards.” Regulations are based on the Act of
1970.
(http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_id
=10593&p_text_version=FALSE).
The contractor is responsible for ensuring compliance with all Code of Federal Regulation
requirements. The contractor’s employees and departmental personnel must have safe
working conditions. The public must be safe while traveling through the construction site.
Contractor Performance
The specifications require the contractor to protect the safety of the public and the life and
health of personnel on a project. The following subsections describe the necessary the steps
to take before work begins and during the operation. Construction safety regulations and
standards published by OSHA contain detailed requirements. Exact information is located in
Title 29, Code of Federal Regulations, Part 1926 and 1910. Additional information on safety
is in the American Association of State Highway Transportation Officials (AASHTO)
publication, Informational Guide on Occupational Safety on Highway Construction
Projects.
Pre-Construction Preparation
The AE and project inspector need to review the OSHA regulations so they are familiar with
violations of safety requirements. Contract plans and specifications are reviewed to identify
hazardous types of work, such as trenching and underground/overhead utilities, etc. If the
contract provides for special work that presents a danger to the public or workers on the
project, the contractor’s plan must be discussed with the contractor at the pre-construction
conference, emphasizing safety aspects. This may include a discussion of requirements for
special equipment, unique procedures; and necessary permits or reports.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Pre-Construction Conference
The conference should cover the following safety points:
♦
The contractor must meet all state and federal construction safety standards, a copy of
the contractor's written Safety/Accident Prevention Plan, and the Safety
Policies/Procedures/Regulations for TxDOT's review and files.
♦
The written accident prevention plan of the contractor must be discussed -organization,
staff, names of responsible individuals, meetings, training, reports, etc.
♦
The contractor’s responsibility for subcontractor compliance with safety regulations
must be reviewed.
♦
The contractor’s plans for meeting specific specialty job safety requirements and for
eliminating potentially critical hazards on the project must be reviewed.
♦
A written record of reviewed safety measures must be added to the project files.
Construction Surveillance
Project personnel must record any violations of applicable safety requirements. The
following brief discussion is based on the 29 CFR 1926 construction safety standards and
lists some of the principal safety requirements of specific OSHA safety standards.
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cfr1926_99.html).
♦
First aid and medical services – The contractor must provide readily accessible first aid
kits and conspicuously post telephone numbers of doctors, hospitals, and ambulances,
per 29 CFR 1926.23 &.50.
♦
Housekeeping – Clear scrap and used materials from work areas (scattered debris and
combustible scrap) that would constitute hazards to workers, per 29 CFR 1926.25
♦
Noise exposure – If the contractor cannot provide means to lower noise level exposures
to permissible levels, personal protective equipment must be provided, per 29 CFR
1926.52
♦
Head protection – Employees must wear protective helmets to avoid injuries, per the
requirements of 29 CFR 1926.100
♦
Eye and face protection – Eye and face protection must be provided to protect against
eye or face injury, per 29 CFR 1926.102
♦
Safety nets – Safety nets are used as protection for unprotected sides, leading edges,
working on the face of formwork or reinforcing steel, overhead or below surface
bricklaying, work on roofs, and pre-cast concrete work. For further information about
“Fall Protection,” see 29 CFR 1926, Subpart M
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
♦
Power-operated hand tools – Only employees trained in operating power tools are
permitted to use them. Certain hand-held powered tools must be equipped with a
constant pressure switch that will shut off the power when the pressure is released.
These include circular saws, chain saws, and percussion tools without positive
accessory holding means. Electrically powered hand tools must be of the doubleinsulated type or grounded. Pneumatic power tools must be secured to the hose or whip
by some positive means to prevent the tool from becoming accidentally disconnected.
Additional requirements for the safety operation of power tools are found in 29CFR
1926. 302
♦
Ladders – Required characteristics:
1.
must be free of defects;
2.
adequately supported or anchored
3.
fixed ladders must have cages per the requirements of 29 CFR 1926.1053
♦
Scaffolds –All scaffolding shall be erected in accordance with the requirements for the
specific scaffold type as provided in 29 CFR 1926 Subpart L
♦
Cranes and derricks – Operations must comply with the requirements of 29 CFR
1926.550. Other material handling requiring the use of overhead lift equipment must
comply with applicable standards of Subpart N. Rated load capacities must be posted on
the equipment. A trained person must make frequent inspections of the equipment and a
thorough annual inspection of the hoisting machinery. Electrical distribution lines near
operating equipment must be de-energized and grounded, or insulating barriers erected
to prevent contact with the lines. Otherwise operation must allow at least ten (10) feet
clearance from live electrical power lines.
♦
Earth moving equipment – Equipment must have brakes capable of stopping and
holding the equipment when fully loaded. All bi-directional machines (rollers,
compactors, front-end loaders, bulldozers, and similar equipment) must have an
operable horn. Audible back up warning devices must be in place and in good operating
condition on equipment, which has an obstructed view to the rear. Other applicable
specific requirements as found in 29 CFR 1926 Subpart O, .600 through .605 must be
followed
♦
Excavation – Existing trees, boulders, and other surface obstructions creating a hazard
to employees working on or near excavations must be removed or made safe before
excavation is begun. All excavation operations must be done in accordance with the
requirements of 29 CFR 1926 Subpart P, .650 through .652 and all
appropriate/applicable appendices
Note: There may be special contract requirements beyond the minimum requirements stated
above.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
♦
Concrete forms – Concrete forms must be erected and braced to withstand all vertical
and horizontal loads that may be imposed on them during concrete placement. Concrete
forms must be removed and stockpiled promptly after stripping. Protruding nails, wire
ties, etc., must be removed to eliminate a hazardous condition. Other requirements per
29 CFR 1926.700 through .706 must be followed as applicable
♦
Structural steel assembly – During structural steel erection the hoisting line must be
retained on the members until there are two (2) bolts at each connection or two (2)
erection clamps wrenched tight at each welded connection. The safety standards in
Subpart R of 29 CFR 1926 provide the complete requirements for structural steel
erection and must be followed as applicable.
♦
Cofferdams – If high water overtopping of the cofferdam is possible, a methodology
must be provided for controlled flooding. At least two (2) means of rapid egress from
the work area must be provided, per the requirements of 29 CFR 1926.802
♦
Explosives – Cigarettes, firearms, and matches are prohibited while handling,
transporting, or using explosives. All other requirements for the handling of explosives
are found in 29 CFR 1926 Subpart U
♦
Handling traffic through and around construction – Temporary roadways and detours
must be properly maintained. Use the Traffic Control Plan and Texas Manual on
Uniform Traffic Control Devices (TMUTCD) to check signs, barricades, and flaggers.
Flaggers must be trained using a recognized training course, such as offered by TEEX.
Note: TxDOT employees, as well as contractor’s employees, must continually follow safety
practices. The inspector must follow all requirements for personal safety.
Violations of Safety Regulations
Violations of safety and health regulations may be minor in nature, or they may be a serious
threat to human life. Inform the contractor by written notice or orally of the failure to fulfill
the specific safety regulation(s). When an apparent violation is noted, rather than attempting
to tell the contractor how to correct the deficiency, department personnel must take the
following steps:
Step 1: When a hazardous condition is detected and presents an immediate danger, inform
the superintendent at once so immediate corrective action may be taken. Document all
discussions and interactions. If the project engineer or the inspector is aware of the
immediate hazardous condition, he or she can suspend the work in the area of the hazard.
Refer the suspension to the AE. The AE must give notice to the contractor as required by
Article 8.4 of the Standard Specifications. After determining that adequate corrective
measures have been taken, the work may proceed.
Step 2: If corrective action is not taken, write the contractor requesting immediate
correction. Also state that, without correction, the Department of Labor (DOL) will be
notified.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Notifications
As a matter of policy, the AE, acting on the behalf of the DE, must be aware of Federal
Safety and Health regulations that affect construction projects. The AE must notify CST of
all work suspensions due to serious violations or if a contractor refuses to take corrective
action. Either event may require the department to request a review by OSHA. OSHA
notification is the responsibility of the district. The district should seek guidance from the
Occupational Safety Division concerning any questions that they are unable to resolve
through the district safety coordinator or district safety committee.
Investigations by Other Agencies
TxDOT personnel must cooperate with the FHWA, DOL and other agencies during
inspections or services.
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Chapter 14
Business Opportunity Programs
Contents:
Section 1 — Program Overview .........................................................................................14-3
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
Section 1
Program Overview
Introduction
Administrative Rules of the Business Opportunity Programs provide detailed information on
the responsibilities of the department, contractor and DBE organizations, as well as detailed
information on the scope and goal of the Disadvantaged Business Enterprise (DBE),
Historically Underutilized Business (HUB), and Small Business Enterprise (SBE) programs.
These rules are contained in the Texas Administrative Code Title 43, Part 1, Chapter 9,
Subchapter D
(http://info.sos.state.tx.us/pub/plsql/readtac$ext.ViewTAC?tac_view=5&ti=43&pt=1&ch=9
&sch=D&rl=Y), and can also be obtained from the Business Opportunity Programs Section
of CST (CSTB).
Disadvantaged Business Enterprise Program (Federal-Aid Contracts)
The Disadvantaged Business Enterprise (DBE) program
(http://www.dot.state.tx.us/business/dbeinfo.htm) is authorized by 49 CFR, Part 26
(http://www.access.gpo.gov/nara/cfr/waisidx_01/49cfr26_01.html). The department
annually establishes a DBE goal for its federal-aid highway construction programs.
The districts have the responsibility for approval of the requests from contractors for DBE
removals, substitutions, and ensuring that DBE subcontractors are performing a
commercially useful function (CUF). A DBE is considered to perform a CUF when it is
responsible for execution of the work of the contract and is carrying out its responsibilities
by actually performing, managing, and supervising the work involved. To perform a CUF,
the DBE must also be responsible, with respect to materials and supplies used on the
contract, for negotiating price, determining quality and quantity, ordering the material, and
installing (where applicable) and paying for the material itself. If there are circumstances
that suggest that a DBE is not performing a CUF, the CSTB should be contacted to
investigate.
Historically Underutilized Business (HUB) Program (State Contracts)
The Historically Underutilized Business (HUB) program was established for projects let
from January 1994 through June 2000. The HUB Program authorized an established goal for
HUB participation on state-funded highway construction projects.
The districts have the responsibility for approval of the requests from contractors for HUB
removals, substitutions, and Good Faith Efforts resulting from removal of a HUB.
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
Small Business Enterprise (SBE) Program (State Contracts)
The Small Business Enterprise (SBE) Program
(http://www.dot.state.tx.us/business/sbeinfo.htm) was instituted beginning with projects let
in July 2000. The SBE Program authorizes an established goal for SBE participation on
state-funded highway construction projects; however, individual highway construction
project goals are not being implemented at this time. SBE participation will be monitored
through voluntary submittal of progress reports by contractors to determine whether or not
individual project goals will be required in the future.
When Prime Contractor Is an Approved DBE/HUB
When the prime contractor on a state funded project is an approved HUB, the prime
contractor must perform at least 25 percent of the work with the contractor’s own
organization. When the prime contractor on a federal-aid project is an approved DBE, the
prime contractor must perform at least 30 percent of the work with the contractor’s own
organization.
DBE/HUB Subcontractor Approval Requests
Form sms8901 must identify whether the subcontractor is or is not a qualified DBE. The AE
should verify that the contractor is in compliance with the DBE/HUB commitments
submitted. The AE should also verify that items subcontracted to Non-DBEs/HUBs are not
committed to DBEs/HUBs.
For DBEs, The 70% subcontractor requirement applies to all lower tier subcontractors on
Federally-funded projects. A HUB subcontractor on a wholly state funded project can sublet
75% of the work. For further information, contact CSTB.
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
DBE/HUB/SBE Monthly Progress Reports
It is the responsibility of each district to verify the Disadvantaged Business Enterprise or
Historically Underutilized Business (DBE/HUB) Monthly Reports, including inputting the
reports into the Subcontractor Monitoring System (SMS).
Since a report to the Commission is prepared using the DBE/HUB monthly progress
payments, subcontractor approval dates and DBE/HUB monthly progress reports need to be
submitted via SMS no later than the 20th of each month. The monthly progress report for
August is the only exception, as the Business Opportunity Programs Section of CST (CSTB)
is required to submit to the Texas Building and Procurement Commission (TBPC) the final
Fiscal Year TxDOT DBE/HUB progress report by the 15th of September. In order for the
department and the district to receive its fiscal year HUB credit, the August DBE/HUB
progress reports that are available (and any others not yet entered) need to be submitted via
SMS no later than 2 working days prior to the 15th of September.
From October through August, progress reports need to be continually entered as they
become available and checked. The Goal Setting and Data Report Branch of CSTB prepares
a monthly DBE/HUB progress report to the TxDOT Commissioners and Executive Director
based on the data available by the 20th of each month.
Questions regarding the DBE/HUB clearance and the DBE/HUB/SBE monthly progress
reports are directed to CSTB.
Instructions for verifying and inputting DBE/HUB monthly progress reports are found in
“Subcontracting.”
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Chapter 15
Contractor Workforce
Contents:
Section 1 — Overview........................................................................................................15-3
Section 2 — Labor Laws ....................................................................................................15-6
Section 3 — Optional On-the-Job Training......................................................................15-10
Section 4 — Workforce Project Posters ...........................................................................15-12
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Chapter 15 — Contractor Workforce
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Chapter 15 — Contractor Workforce
Section 1 — Overview
Section 1
Overview
Introduction
This chapter provides a brief summary of EEO and Labor issues that District and Area office
personnel need to be cognizant of and monitor for compliance. These topics should be
discussed with contractors and subcontractors attending the pre-construction meeting. This
summary is intended for use as a quick reference tool and is not intended as a complete
account of all Equal Employment Opportunity (EEO) and labor requirements.
EEO Special Provisions
EEO Special Provisions are included in the contract with the primary function to carry out
the U.S. Department of Transportation’s (DOT) policy of ensuring that equal opportunity
exists on all contracts and subcontracts financed in whole or in part with Federal Funds.
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Chapter 15 — Contractor Workforce
Section 1 — Overview
Forms and Documents
Form FHWA1273 Required Contract Provisions Federal-Aid Construction Contracts –
the following stipulations are included in all subcontracts or purchase orders of $10,000 or
more:
♦
Nondiscrimination Clause
•
EEO Policy Statement
•
EEO Officer Appointment
•
Dissemination of EEO Policy
•
Recruitment
•
Personnel Actions
♦
Training and Promotions
♦
Selection of Subcontractors, Procurement of Materials and Leasing of Equipment
♦
Records and Reports
•
Non-segregated Facilities
•
Payment of Predetermined Minimum Wage
•
Statements and Payrolls
•
Record of Materials, Supplies, and Labor
•
Subletting or Assigning the Contract
•
Safety Accident Reporting
•
False Statements Concerning Highway Projects
•
Implementation of Clean Air Act and Federal Water Pollution Control Act
•
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion
•
Certification Regarding Use of Contract Funds for Lobbying.
Certification of Nondiscrimination in Employment - Contains the Department of Labor’s
Office of Federal Contract Compliance Program’s (OFCCP) reporting requirements.
Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity
(Executive Order 11246) - Specifies the OFCCP’s minority and female employment goals
for each county.
Standard Federal Equal Employment Opportunity Construction Contract Specifications
(Executive Order 11246) - Lists the OFCCP’s EEO program minimum requirements that
are used to evaluate a contractor’s EEO program and results.
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Chapter 15 — Contractor Workforce
Section 1 — Overview
EEO Correspondence/Reports
On federal-aid construction contracts greater than $10,000, the prime contractor and each
subcontractor must post their EEO Policy along with the EEO officer’s name and phone
number on the project site.
Form FHWA FHWA1391 – Federal-Aid Highway Construction Contractors Annual
EEO Report
♦
The employment data reflects the workforce utilized during peak activity in the month
of July.
♦
The prime contractor and subcontractors with contracts $10,000 or more submit three
copies of Form 1391 to the AE by August 5th.
♦
The contractor submits a negative report if not active that month.
♦
The AE’s office retains one copy and submits two copies to the district office.
Form FHWA FHWA1392 – Federal-Aid Highway Construction Summary of Employment
Data
♦
A compilation of the information from all Form 1391’s by the district office
♦
The district office submits Form 1392, along with all 1391’s, to the Contract
Compliance Section (CCS) of the Office of Civil Rights by August 15th.
Annual Contract Compliance Inspection Form (Annual) - This form must be completed on
each active federal-aid project during the month of July to document project inspection. The
form is completed for the prime contractor and each subcontractor with contracts of $10,000
or more, and the completed form is added to the project file.
Note: When completing the form, the AE’s office must attach a brief description of any
actions taken to bring the contractor or subcontractor into compliance for each negative
response shown. N/A must be entered for all questions that do not apply to the project.
OJT Training Schedule (Train). If Optional OJT training is utilized, the contractor must
submit a training schedule to the CCS for approval.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Section 2
Labor Laws
Introduction
Item 7 of the Standard Specifications requires the contractor to be familiar with and comply
with all laws, ordinances, and regulations, which affect the work. The department is not a
law enforcement agency in the usual sense. However, the AE is responsible for monitoring
the contractor’s compliance with laws that relate to the contract.
Labor Interviews
The AE conducts at least three employee labor interviews for each project per quarter to
determine if the contractor and/or subcontractor are in compliance with labor laws. The
employees of the prime contractor and/or subcontractors must be randomly selected for the
interviews. The AE will inform the contractor when payroll errors are found. If payrolls do
not match interview information, the AE must have the contractor correct the problem. If the
contractor does not correct the payroll problem, the AE must notify the DE. If the contractor
still does not correct the problem, the AE, through the DE, shall ask FIN to withhold the
monthly estimates. Notification will be provided to FIN to resume monthly estimates only
when the problem is corrected. The Administrative Operations Branch of CST provides
guidance for the purpose of conducting wage dispute investigations.
Additional Labor Classifications
When the contract wage schedule does not include a job classification used on the project,
the contractor must submit an “Additional Classification and Wage Rate Request” (Wage).
All requests for additional labor classifications and rates must be submitted to the
Administrative Operations Branch of CST for approval. The AE may submit the
recommendation with the request.
Copeland Anti-Kickback Act
The Copeland Anti-Kickback Act (http://www.dol.gov/dol/compliance/compcopeland.htm), a federal law, provides regulations concerning the construction and repair of
public works contracts and subcontracts exceeding $2,000 and financed in whole or in part
by federal funds. A portion of the Act concerns the payment of wages to the workers of the
contractor and subcontractors on a project. The Act authorizes the U.S. Department of Labor
(DOL) to make regulations, including requiring each contractor and subcontractor to furnish
weekly a statement with respect to the wages paid and payroll deductions made for each
employee during the preceding week on work covered by the Act. For TxDOT federal-aid
projects, contractor and subcontractor compliance are monitored by TxDOT with
enforcement authority residing with the DOL.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
To satisfy the payroll reporting requirement, contractors may use the FHWA ’s payroll
forms (WH-347 and WH-348) or forms with identical wording. Each contractor or
subcontractor must furnish a payroll statement to the AE within 14 days after the end of the
payroll period. The contractor’s authorized payroll officer must sign the statement. The chart
‘Subcontracting and Payroll Requirements’ (Subcont), illustrates when payroll records are
required and when a firm must be approved as subcontractor.
The Copeland Anti-Kickback Act (29 CFR, Part 3) (the wages of laborers and mechanics
http://www.dol.gov/dol/allcfr/ESA/Title_29/Part_3/toc.htm) permits certain payroll
deductions.
Examples:
♦
Bona fide fringe benefits
♦
Any deduction made in compliance with the requirements of federal, state, or local law,
such as income and social security taxes
♦
Any deduction required by court process, such as child support
♦
Any deduction for the cost of safety equipment for the employee’s own protection such
as safety glasses provided the cost is nominal and the employer is not otherwise
required to furnish the equipment pursuant to law.
The Act also permits certain payroll deductions from the wages of laborers and mechanics
when the employee’s written consent is provided.
Examples:
♦
Life insurance, hospitalization and medical insurance, retirement plan, vacation plan,
safety shoes, and safety hats
♦
Other deductions require a written application and approval of the DOL. For example,
gasoline and uniforms that are required by the employer as a condition of employment.
Finally, under the Copeland Anti-Kickback Act, TxDOT does not have any monitoring
responsibilities for certain types of personnel, contracts and employers. Some examples
include:
♦
Supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies, materials, and equipment
♦
Contracts with a political subdivision
♦
Contracts or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Davis-Bacon (40 U.S.C Sections 327-334) and Related Acts
These acts apply to all federal or federal-aid construction contracts, except for projects with
functional class code 6 (rural minor collector) or 7 (local road or street). The Davis-Bacon
Act:
♦
Gives the department the primary responsibility for ensuring compliance with the
requirements
♦
Sets a minimum wage rate for various labor classifications predetermined by the
Secretary of Labor to be paid to laborers and mechanics
♦
Requires the laborers and mechanics be paid weekly at prescribed rates for all hours
worked
♦
Provides that fringe benefits or its wage equivalent are to be paid laborers and
mechanics when included in the Secretary of Labor’s minimum wage rate decision
♦
Requires the contractor to post the minimum wage rate on the job site.
For TxDOT projects, the Davis-Bacon act does not apply to:
♦
Contractor’s supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies and equipment
♦
Contracts with a political subdivision
♦
Contracts or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
Prevailing Minimum Wage Rates (Title 10, Chapter 2258 of the Texas Government Code)
♦ The following applies to construction projects financed entirely with state funds. Title
10, Chapter 2258 of the Texas Government Code requires payment of prevailing wage rates
for each craft needed to execute a public works contract on behalf of the State of Texas
(http://www.capitol.state.tx.us/statutes/go/go0225800toc.html).
♦
The Contractor and all Subcontractors shall keep, or cause to be kept, copies of weekly
payrolls for review by TxDOT for a period of three (3) years from the date of the
completion of the contract.
♦
The department has the responsibility for ensuring contractor compliance with the
above requirements.
Construction Contract Administration
Manual
15-8
TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Wage Rate Survey (Federal-Aid Contracts)
Wage rate survey(s) are conducted periodically as mandated by DOL and/or State statutes.
These surveys determine applicable wage rates for the State of Texas for highway
construction. The area offices extract wage information from contractor/subcontractor
payrolls as requested by CST and enter this information into an automated Wage Rate
Survey system. The frequency of the survey(s) depends on the departments survey plan for a
given year. Questions may be forwarded to Administrative Operations Branch of CST.
Contract Work Hours and Safety Standards Act
The Contract Work Hours and Safety Standards Act
(http://www.dol.gov/asp/programs/handbook/cwhssa.htm):
♦
Applies to all construction contracts
♦
Provides that any laborer, worker, mechanic, watchman or guard must be paid on the
basis of a forty-hour workweek (Sunday through Saturday). Overtime must be paid at
one and one-half times the regular rate for every hour worked more than forty hours per
week. Overtime payments are based on time actually worked (including break periods
but not lunch) and cannot include holiday, vacation, or other time paid but not worked.
♦
Gives the department the primary responsibility for ensuring compliance with the
requirements of this Act.
The Contract Work Hours and Safety Standards Act does not apply to:
♦
Contractor’s supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies and equipment
♦
Contracts with a political subdivision
♦
Contract or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
Fair Labor Standards Act
The Fair Labor Standards Act (FLSA )
(http://www.dol.gov/esa/regs/statutes/whd/allfair.htm) applies to all federal-aid and state
projects, requiring the contractor to be in compliance with DOL regulations. The department
monitors compliance with this Act.
Construction Contract Administration
Manual
15-9
TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 3 — Optional On-the-Job Training
Section 3
Optional On-the-Job Training
Introduction
In an effort to increase the number of Blacks and females participating in the On–the–Job
Training (OJT) Program, the Federal Highway Administration (FHWA) proposed a pilot
training program whereby goals would no longer be assigned to projects. Also, the amount
of reimbursement for training increased from $0.80 to $2.00 for each hour of training
provided to females and Blacks.
TxDOT initiated the Optional Training Program in January 1997 in an effort to increase
female and Black participation in federal-aid construction projects. An Optional On-the-Job
Special Provision was developed to implement the program:
♦
Goals are no longer assigned to projects
♦
Penalties are no longer assessed for not completing training
♦
Contractors receive $2.00 for each hour of training provided
♦
Critical crafts identified by the Contract Compliance Section (CCS) of the Office of
Civil Rights
♦
Training program utilized must be approved by DOL or the FHWA.
Construction Contract Administration
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15-10
TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 3 — Optional On-the-Job Training
Responsibilities of OCR, Districts, Contractors
The following table illustrates OJT responsibilities:
Process
Enrollment
Monitoring
Reporting
OJT Responsibilities of OCR, Districts, Contractors
Step
Action
1
Prime contractor submits a training schedule (Train) and two (2) copies of Registration in the
Optional OJT Program for each trainee to CCS for approval.
2
CCS approves training schedule and forwards a copy of the registration information to the
AE’s office.
1
The prime contractor submits weekly (Weekly) progress reports for each trainee to CCS and
the AE.
During periods of inactivity, the prime contractor submits a weekly report indicating that there
was no training during the period.
If trainee completes training, quits, drops out, is fired, laid off, etc. the contractor must state
this on the weekly reporting form.
2
The AE’s office reviews the contractor’s weekly payrolls and training reports.
Any discrepancies will be sent to CCS.
CCS coordinates with the affected parties to resolve these issues.
The AE’s office periodically observes and documents the training being provided each trainee.
3
The AE’s office conducts quarterly trainee interviews using the Quarterly Trainee Interview
Report (Intrview).
1
The contractor submits to the AE a summary of training with their monthly estimate
containing the following:
♦ Trainee’s name
♦ Social Security number
♦ Classification
♦ Hours training received
♦ Status – graduated, terminated, in training
2
The AE verifies training hours completed on the project.
The contractor will be is reimbursed $2 for each hour of training.
Contractor receives payment for training on the Final Pay Estimate.
No retroactive payments will be made for training provided before CCS approval.
Note: Unless a DOL approved training or apprentice program provides for different
minimum rates, trainees are paid:
♦
At least 60% of the minimum journeyman level rate for the first half of the training
period
♦
At least 75% for the third quarter
♦
At least 90%for the last quarter.
Construction Contract Administration
Manual
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TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 4 — Workforce Project Posters
Section 4
Workforce Project Posters
Posters and Notices
The following provides information on the EEO posters and required notices to be displayed
on project-site bulletin boards by the prime contractors. The government referral line for
questions regarding required posters for any state is 1-800-688-9889.
Note: Subcontractor may use the prime contractor's project-site bulletin board to display the
required EEO officer information.
Job Site Posters and Notices
Poster/Notice Name
*Equal Opportunity is the Law
*EEOC-P/E-1 (EEO Poster)
*EEOC-P/E-S (Spanish Version)
*Fed. 5 in 1 Labor Law Poster
Source
Required by 41CFR60-1.4(b)(1)
(http://www.dol.gov/dol/allcfr/Title_41/Part_601/Subpart_B.htm)
Available at Department of Labor (DOL) Website
http://www.dol.gov/ or call 1-800-669-3362
G. Neil Co. 1-800-999-9111
Required by 41 CFR 60-741.44
(http://www.dol.gov/dol/allcfr/Title_41/Part_60741/41CFR60-741.44.htm)
*Contractor's EEO Policy
*Statement with Project EEO
Officer's Name and Phone No.
*Wage Rate Information
*FHWA 1495
*FHWA 1495A (Spanish Version)
Notice to Employees(Davis-Bacon
Wage Rate Poster)
USDOL-1321
May be substituted for DOL-1321 per FHWA 1273,
IV(1)(a)
Call Thomas Molock at (301)322-5377
Required by 29CFR5.5(a)(1)
(http://www.dol.gov/dol/allcfr/Title_29/Part_5/29CF
R5.5.htm)
DOL website http://www.dol.gov/ or download
poster at:
http://www.dol.gov/dol/osbp/public/sbrefa/poster/mai
n.htm
May be obtained from project contract
Needed on projects where Davis-Bacon wage rates
are not established.
Available at DOL website or Call (972)850-2647
*Project Wage Rates
*Your Rights-Federal Minimum Wage
*WH 1088
*WH 1088 SP (Spanish Version)
Job Safety and Health Protection
OSHA-3165
OSHA-3167 (Spanish Version)
Required by 29 CFR 1903.2(a)(1)
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cf
r1903_99.html)
Call (202)693-1888 or download poster at
http://www.osha-slc.gov/OshDoc/Additional.html
Texas Workforce Commission
Call (512)463-2747
Texas Payday Law Poster
**T.E.C. Y-10c
**T.E.C. Y-10s (Spanish Version)
Worker's Compensation Poster
Notice 6
Notice 6s (Spanish Version)
Construction Contract Administration
Manual
Texas Worker's Compensation Commission
Call (512)804-4333
15-12
TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 4 — Workforce Project Posters
Job Site Posters and Notices
Poster/Notice Name
Family/Medical Leave Act
WH-1420
WH-1420 (Spanish Version)
Source
Required by 29 CFR 825.300(a)
(http://www.dol.gov/dol/allcfr/Title_29/Part_825/toc.
htm)
for Employers of more than 40 people. Available at
DOL.
Call (202)693-0023
Notice required by 18 CFR 1020 and
23 CFR 635.119
(http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr
0635a.htm)
Call (301)322-5377 or Fax: (301)386-5394
Required by 29 CFR 801.6
(http://www.dol.gov/dol/allcfr/ESA/Title_29/Part_80
1/29CFR801.6.htm)
Available at DOL website http://www.dol.gov/
Or call DOL office (202)693-0067
OSHA Reg. 1926.59
To be developed by Contractor
OSHA Reg. 1926.50
To be developed by Contractor
Falsified Statements
FHWA-1022
Employee Polygraph Protection Act
WH-1462
WH-1462A (Spanish Version)
Hazard Communication Program
Notice
Emergency Telephone Number Notification
*Required by FHWA
**Firm name, address and account number required on this poster.
Construction Contract Administration
Manual
15-13
TxDOT 9/2002
Appendix A
Forms and Documents
Contents
Section 1 — Forms and Guidance Documents .................................................................... A-2
Section 2 — EEO Poster/Notice Checklist .......................................................................... A-4
Section 3 — OFCCP District Office/County Listings ......................................................... A-6
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TxDOT 9/2002
Appendix A — Forms and Documents
Section 1 — Forms and Guidance Documents
Section 1
Forms and Guidance Documents
List of Forms
This manual references the following forms and examples of forms.
Contract Administration Forms and Examples
Name of Form/Example
Link (on-line only) or Contact
TxDOT Form 168, Pile Record
TxDOT Form 181, Test Pile Data
TxDOT Form 1276, Drilled Shaft Record
TxDOT Form 269, Monthly Record of Material Received
TxDOT Form 107, Final Summary of Material Tested
TxDOT Form 599, Traffic Control Devices Inspection
Report
TxDOT Form 316, Daily Report of Force Account Work
TxDOT Form 1257, Work Report
TxDOT Form 1258, Summary of Work Performed
TxDOT Form 202, Identification of Material Samples
TxDOT Form 517, Sample Tag
FHWA-47, Statement of Materials and Labor used by
Contractors on Highway Construction involving Federal
Funds
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/
fhwa47us.pdf
FHWA-1273, Required Contract Provisions Federal-aid
Construction Contracts
http://www.fhwa.dot.gov/programadmin/contracts/1273.htm
FHWA-1391, Federal-aid Highway Construction Contractors
Annual EEO Report
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/
fhwa1391.pdf
FHWA-1392, Federal-aid Highway Construction
FHWA-1446C, Final Inspection of Federal-aid Project
FHWA-1494, For Projects Subject to the Davis Bacon and
Related Acts
WH-347, Payroll (DOL)
http://www.dol.gov/esa/forms/whd/index.htm
WH-348, Statement of Compliance
EPA Form 3510-9, Notice of Intent (NOI) for Storm Water
Discharges Associated with Industrial Activity Under a
NPDES Permit
http://www.epa.gov/region6/6en/w/sw/noi224.pdf
EPA Form 3510-7, Notice of Termination (NOT) of
Coverage Under a NPDES General Permit for Storm Water
Discharges Associated with Industrial Activity
Construction Contract Administration
Manual
A-2
Form168
Form181
Form1276
Form269
Form107
Form599 (instructions included)
No. of
Pages
1
1
1
1
1
2
Form316 (instructions included)
Form1257
Form1258
202-97
Contact CST-Materials Section
FHWA-47 (instructions included)
2
1
1
2
1
4
FHWA1273
21
FHWA1391
1
FHWA1392 (instructions included)
FHWA1446
FHWA1494 (instructions included)
2
1
2
WH-347
5
WH-348
NOI-EPA Form 3510-9
1
2
NOT-EPA Form 3510-7
2
TxDOT 9/2002
Appendix A — Forms and Documents
Section 1 — Forms and Guidance Documents
Contract Administration Forms and Examples
Name of Form/Example
Link (on-line only) or Contact
http://www.epa.gov/region04/water/wpeb/pdfs/not-const.pdf
Temporary Suspension of Work Letter (Example)
Resumption of Work Letter (Example)
Supplemental Agreement (SA) Form
Example of Supplemental Agreement
Change Orders:
Section 1 — Change Order Form
Section 2 — Tables A & B
Section 3 — Advance Funding (Third Party)
Change Order Reason(s) Code Chart
Time Extension Letter (Example)
Certification of Materials Used Letter (Example)
Labor Standards Review
Ten (10) Days Warning Letter (Example)
Surety Letter (Example)
No Surety Letter (Example)
Additional Classification and Wage Rate Request
Example of Statement of Contingencies & Force Account
Items
Final Acceptance Letter (Example)
Optional Training Schedule (Example)
Registration for Optional OJT Program
Public Interest Determination Letter (Example)
Annual Contract Compliance Inspection
OJT Weekly Report
Quarterly Trainee Interview Report
Contractor’s Assurance
Post-Construction Provider Evaluation Form
TDLR Request for Inspection Form
FHWA & TxDOT Oversight Project Review Plan
ENV – Cultural Resource Management Emergency
Discovery Guidelines
ENV – Hazardous Materials Management Technical
Guidelines for Removal of UST’s Encountered During
Construction
Construction Contract Administration
Manual
A-3
No. of
Pages
Suspend
Resume
SAForm
Example
1
1
1
2
CO6-02
CO6-02 (Contract Items pg 1, pg 2 tabs)
CO6-02 (3rd Party Funding tab)
Reason
Time
Material
Labor
Warning
Surety
NoSurety
Wage
Items
1
2
1
1
1
1
1
1
1
1
1
1
Final
Train
OJT
Public
Annual
Weekly
Intrview
Assure
Eval
TDLR
Oversght
EmerDisc
1
1
1
1
1
1
1
1
1
1
1
2
USTs
4
TxDOT 9/2002
Appendix A — Forms and Documents
Section 2 — EEO Poster/Notice Checklist
Section 2
EEO Poster/Notice Checklist
Overview
This is a checklist of the most current EEO posters and/or required notices that should be
posted on project site bulletin boards in order to meet minimum EEO compliance standards.
Although there may be additional poster requirements from other federal and state agencies,
the EEO and Labor Compliance Branch of the Construction Division will primarily focus on
these posters and notices listed below. For any additional information concerning other
federal or state agency posters or notice requirements, please contact the federal or state
agency responsible for its issuance for guidance.
EEO Poster/Notice Checklist
EEO Policy Poster
http://www.dol.gov/esa/regs/compliance/posters/pdf/7975epos.pdf
Minimum Wage Poster (English, WH 1088 – Revised Apr. 1994)
http://www.dol.gov/esa/regs/compliance/posters/flsa.htm
Minimum Wage Poster (Spanish, WH 1088 SP - Apr. 1990)
Wage Rate Information Poster (English, FHWA 1495 – Sep. 1981)
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/fhwa1495.pdf
Wage Rate Information Poster (Spanish, FHWA 1495A - Mar. 1991)
EEO Poster (English, EEOC-P/E-1, Feb. 1992)
http://www.eeoc.gov/publications.html
EEO Poster (Spanish, EEOC-P/S-1, Feb. 1992)
Employee Polygraph Poster (English, WH 1462 – Sep. 1988)
http://www.dol.gov/esa/regs/compliance/posters/eppa.htm
Employee Polygraph Poster (Spanish, WH 1462 – Sep. 1988)
http://www.dol.gov/esa/regs/compliance/posters/eppaspan.htm
Falsified Statement Poster (English, FHWA 1022 – Rev. 8-98)
http://www.fhwa.dot.gov/////programadmin/contracts/fhwa1022.htm
*Family & Medical Leave Act (English, WH 1420 – Jun. 1993)
http://www.dol.gov/esa/regs/compliance/posters/fmla.htm
*Family & Medical Leave Act (Spanish, WH 1420 – Oct. 1993)
http://www.dol.gov/esa/regs/compliance/posters/fmlaspan.htm
*American Disabilities Act
http://www.dol.gov/esa/regs/compliance/posters/disab.htm
Company EEO policy statement (includes designation of the company EEO officer, minority referral
statement, and company training program policy)
http://www.eeo.nsw.gov.au/all/all.htm
**Name and phone number of EEO Officer
Project Wage Rates (must be obtained from the project contract)
Job Safety and Health Poster [English, OSHA 2203 - Rev. 1992])
http://www.osha-slc.gov/Publications/poster.html
Job Safety and Health Poster (Spanish, OSHA 2200 – Rev. 1991)
***Texas Payday Law Poster (T.E.C., English, y-10c - Jan. 1994)
http://www.twc.state.tx.us/ui/lablaw/LL-10.pdf
***Texas Payday Law Poster (T.E.C., Spanish, y-10s - Jan. 1995)
Construction Contract Administration
Manual
A-4
TxDOT 9/2002
Appendix A — Forms and Documents
Section 2 — EEO Poster/Notice Checklist
EEO Poster/Notice Checklist
Workers’ Compensation Poster (Notice 6 - Jul. 1994)
http://www.twcc.state.tx.us/forms/pdf/notice6.pdf
Workers’ Compensation Poster (Notice 6s - Jul. 1994)
Emergency Telephone Number Notification (per OSHA reg. 1926.50)
Hazard Communication Program Notice (per OSHA reg. 1926.59)
http://www.osha.gov/Publications/fedposter.html
*May be included on the EEO Poster.
**May be included in the Company EEO policy statement.
***Firm name, address and account number should be listed on this poster.
Construction Contract Administration
Manual
A-5
TxDOT 9/2002
Appendix A — Forms and Documents
Section 3 — OFCCP District Office/County Listings
Section 3
OFCCP District Office/County Listings
Overview
As part of the Memorandum of Understanding between the Office of Federal Contract
Compliance Programs (OFCCP) and the Federal Highway Administration (FHWA ),
TxDOT is to provide written or verbal notice to the appropriate OFCCP district offices of
scheduled pre-construction conferences on federal-aid projects. The OFCCP offices should
have sufficient notification in order to participate in the conference.
Note: The OFCCP’s Houston and San Antonio offices have requested that they only be
notified of pre-construction conferences on federal-aid projects over $10 million. The
Dallas office requests to receive notification of all scheduled pre-construction
conferences.
OFCCP District Office/County Listings
♦
San Antonio
Andrews
Aransas
Armstrong
Atascosa
Bailey
Bandera
Bastrop
Bee
Bell
Bexar
Blanco
Borden
Brazos
Brewster
Briscoe
Brooks
Brown
Burleson
Burnet
Caldwell
Calhoun
Callahan
Cameron
Carson
OFFCP San Antonio District Office
Cottle
Hardeman
Live Oak
Crane
Hartley
Llano
Crockett
Haskell
Loving
Crosby
Hays
Lubbock
Culberson
Hemphill
Lynn
Dallam
Hidalgo
Martin
Dawson
Hockley
Mason
Deaf Smith
Howard
Maverick
DeWitt
Hudspeth
McMullen
Dickens
Hutchinson
McCullough
Dimmitt
Irion
McLennan
Donley
Jackson
Medina
Duval
Jeff Davis
Menard
Ector
Jim Hogg
Midland
Edwards
Jim Wells
Milam
El Paso
Jones
Mills
Falls
Karnes
Mitchell
Fayette
Kendall
Moore
Fisher
Kenedy
Motley
Floyd
Kent
Nolan
Foard
Kerr
Nueces
Frio
Kimble
Ochiltree
Gaines
King
Oldham
Garza
Kinney
Parmer
Construction Contract Administration
Manual
A-6
Robertson
Runnels
San Patricio
San Saba
Schleicher
Scurry
Shackelford
Sherman
Starr
Sterling
Stonewall
Sutton
Swisher
Taylor
Terrell
Terry
Tom Green
Travis
Upton
Uvalde
Val Verde
Victoria
Ward
Webb
TxDOT 9/2002
Appendix A — Forms and Documents
Castro
Childress
Cochran
Coke
Coleman
Collingsworth
Comal
Concho
Coryell
♦
Gillespie
Glasscock
Goliad
Gonzales
Gray
Guadalupe
Hale
Hall
Hansford
Kleberg
Knox
Lamb
Lampasas
LaSalle
Lavaca
Lee
Limestone
Lipscomb
Pecos
Potter
Presidio
Randall
Reagan
Real
Reeves
Refugio
Roberts
Wheeler
Willacy
Williamson
Wilson
Winkler
Yoakum
Zapata
Zavala
Dallas
Anderson
Archer
Baylor
Bosque
Bowie
Camp
Cass
Cherokee
Clay
Collin
Comanche
Cooke
♦
Section 3 — OFCCP District Office/County Listings
OFCCP Dallas District Office
Harrison
Montague
Henderson
Morris
Hill
Navarro
Hood
Palo Pinto
Hopkins
Panola
Hunt
Parker
Jack
Rains
Johnson
Red River
Kaufman
Rockwall
Lamar
Rusk
Leon
Smith
Marion
Somervell
Dallas
Delta
Denton
Eastland
Ellis
Erath
Fannin
Franklin
Freestone
Grayson
Gregg
Hamilton
Stephens
Tarrant
Throckmorton
Titus
Upshur
Van Zandt
Wichita
Wilbarger
Wise
Wood
Young
Houston
Angelina
Austin
Brazoria
Chambers
Colorado
Fort Bend
Galveston
Grimes
Hardin
Harris
Houston
Jasper
Jefferson
Liberty
OFCCP Houston District Office
Madison
Sabine
Matagorda
San Augustine
Montgomery
San Jacinto
Nacogdoches
Shelby
Newton
Trinity
Orange
Tyler
Polk
Walker
Construction Contract Administration
Manual
A-7
Waller
Washington
Wharton
TxDOT 9/2002
Appendix A — Forms and Documents
Section 3 — OFCCP District Office/County Listings
OFCCP District Directors
The following table lists the names and addresses of the OFCCP district directors.
Name:
Address:
San Antonio
Larry Garza
OFCCP, San Antonio
800 Dolorosa St., Rm. 200
San Antonio, TX 78207
Telephone: (210) 472-5835
Fax:
(210) 472-5842
Construction Contract Administration
Manual
OFCCP District Directors
Dallas
R. Dave Lipscomb
OFCCP, Dallas
A. Maceo Smith Fed. Bldg.
525 S. Griffin St., Rm. 512
Dallas, TX 75202-5007
(214) 767-2911
(214) 767-4239
A-8
Houston
Lois Jimmerson
OFCCP, Houston
2320 LaBranch, Rm. 1103
Houston, TX 77004-4499
(713) 718-3800
(713) 718-3818
TxDOT 9/2002
Administration Manual
Revised November 2002
Construction Contract Administration Manual
November 2002
Manual Notices
Manual Notice 2002-2
To:
Users of the Construction Contract Administration Manual
From:
Thomas R. Bohuslav, P. E., Director, Construction Division
Manual:
Construction Contract Administration Manual
Effective Date: November 1, 2002
Purpose
This manual notice is intended to transmit changes to the content of the Construction
Contract Administration Manual.
Overview of Changes
The following section of Chapter 6 was revised to reflect changes:
♦
Section 2, Material Testing
•
•
added Independent Assurance tests and program information
reduced number of Guide Schedule of Sampling and Testing tables to two tables one English and one Metric.
Contents
The manual change issues the above changes and additions online.
Instructions
Access the new version through the TxDOT Online Manual System.
Effective Date
This manual notice is effective November 1, 2002.
Contact
For more information or questions regarding these changes, please contact David Belser of
the Materials & Pavements Section of the Construction Division.
Manual Notice 2002-1
To:
Users of the Contract Administration Handbook for Construction Projects
From:
Thomas R. Bohuslav, P. E., Director, Construction Division
Manual:
Construction Contract Administration Manual
Effective Date: September 1, 2002
Purpose
To transmit the new Construction Contract Administration Manual (CCAM) which replaces
the Contract Administration Handbook for Construction Projects.
Contents
The manual has been completely rewritten and reorganized. The chapters and appendix of
the Construction Contract Administration Manual are as follows:
♦
Chapter 1, Introduction
♦
Chapter 2, Pre-Award Activities
♦
Chapter 3, Post-award Activities
♦
Chapter 4, Job Records
♦
Chapter 5, Control of the Work
♦
Chapter 6, Control of the Materials
♦
Chapter 7, Change Orders
♦
Chapter 8, Disputes and Claims
♦
Chapter 9, Legal Relationships and Responsibilities to the Public
♦
Chapter 10, Prosecution and Progress
♦
Chapter 11, Measurement and Payment
♦
Chapter 12, Environment
♦
Chapter 13, Health and Safety
♦
Chapter 14, Business Opportunity Program
♦
Chapter 15, Contractor Workforce
♦
Appendix A, Forms and Documents.
Instructions
The CCAM is available through the TxDOT Online Manual System.
Effective Date
This manual notice is effective September 1, 2002.
Contact
For more information or questions regarding the new manual, please contact Renee Frisinger
or John Jameson of the Administrative Operations Branch of the Construction Division.
Manual Notice 2001-2
To: Users of the Contract Administration Handbook
– for Construction Projects
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Revision to the Contract Administration Handbook
Date: April 2, 2001
Purpose
This manual notice transmits necessary changes to Chapter 4, "Section 6, Control of
Materials" due to the inclusion of Appendix C, "Quality Assurance Program for
Construction" added in February 2001.
Effective Date
This manual notice is effective April 2, 2001.
Overview of Changes
Various changes made throughout the section.
Contact
Questions regarding the contents may be addressed to Mr. David Belser (512/465-7740) of
the Materials Section of the Construction Division.
Manual Notice 2001-1
To: Users of the Contract Administration Handbook
– for Construction Projects
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Revision to the Contract Administration Handbook
Date: February 1, 2001
Purpose
This manual notice adds the Quality Assurance Program for Construction as Appendix C.
Effective Date
This manual notice is effective February 1, 2001.
Overview of Changes
The Quality Assurance Program for Construction assures that the materials and
workmanship incorporated into highway construction projects are in reasonable conformity
with the requirements of the approved plans and specifications. This program also complies
with the criteria in 23 CFR 637(B).
This program allows for the use of validated contractor-performed quality control (QC) test
results as part of an acceptance decision and for the use of test results obtained by
commercial laboratories in the Independent Assurance Program.
Contact
Questions regarding the contents may be addressed to Mr. David Belser (512/465-7740) of
the Materials Section of the Construction Division.
Manual Notice 99-1
To: District Engineers, District Construction Engineers,
Area Engineers, Holders of the Area Engineers’ and Inspectors’
Contract Administration Handbook
From: Thomas R. Bohuslav, P. E.
Director, Construction Division
Subject: Releasing Contract Administration Handbook
− for Construction Projects
Date: August 11, 1999
Purpose
To release the Contract Administration Handbook in order to update the Area Engineers’
and Inspectors’ Contract Administration Handbook that is currently being used.
Contents
This publication contains information assisting the area engineers and inspectors as well as
other project personnel in administering construction contracts. It contains references to
other publications when further referencing may be needed and is not intended to be a
“stand-alone” document.
Coordination
This handbook was reviewed and revised by users in the districts, the affected personnel in
the Construction Division and other divisions (offices) and the Federal Highway
Administration (FHWA).
Instructions
This handbook completely replaces the January 1996 edition of the Area Engineers’ and
Inspectors’ Contract Administration Handbook, which had two revisions in June 1996 and
February 1997, and is now, obsolete. The previous edition should be recycled and replaced
with this new edition.
Contact
Questions regarding the contents may be addressed to the Contract Administration Branch
of the Construction Section of the Construction Division. Please contact the branch at (512)
416-2520.
Chapter 1
Introduction
Contents:
Section 1 — Overview..........................................................................................................1-3
Section 2 — Introduction to This Edition.............................................................................1-5
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Chapter 1 — Introduction
Section 1 — Overview
Section 1
Overview
Contract Administration
Contract administration involves numerous tasks occurring prior to and after the contract is
signed by both parties and a written work order is issued. Contract administration is one of
the most important jobs related to construction projects. All work must be administered in
accordance with the specifications, terms and conditions of the contract in particular, and
with state and federal laws, regulations, and Texas Department of Transportation (TxDOT)
policy in general. Contract administration activities include:
♦
Development of proper and accurate bid and contract documents
♦
Compliance with contract documents and specifications
♦
Enforcing State and Federal regulations
♦
Ensuring quality control by overseeing, inspecting and reviewing sampling and testing
of all materials and work
♦
Keeping and maintaining good project records
♦
Recording, verifying and preparing monthly pay estimates
♦
Negotiating and processing of change orders, supplemental agreements and other
contract modifications in a timely manner
♦
Promoting good public relations
♦
Setting and maintaining a high professional standard.
TxDOT conducts its primary activities in 25 geographical districts. Differing local needs
make decentralization of TxDOT necessary. Each district, managed by a District Engineer
(DE) is responsible for the design, location, construction and maintenance of its district
transportation system. Local field offices within the district are known as area offices. The
area office is managed by an Area Engineer (AE). Additionally, all districts have separate
offices that oversee highway maintenance activities.
Functional divisions and offices headquartered in Austin provide administrative and
technical support to the districts. The Construction Division (CST) provides general
oversight of the letting, management, and administration of highway construction contract
including:
♦
Support district construction management
♦
Pre-qualification of construction contractors
♦
Management of construction letting
♦
Claims analysis and processing
♦
Materials and testing specifications
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Chapter 1 — Introduction
Section 1 — Overview
♦
Business Opportunity Program (BOP) administration
♦
Subcontractor policy development and program administration
♦
Contractor workforce issues.
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Chapter 1 — Introduction
Section 2 — Introduction to This Edition
Section 2
Introduction to This Edition
Use of This Handbook
This manual, prepared by CST, provides DE's, AE's and their various representatives,
including inspectors and record keepers a guide for administering construction contracts.
This manual replaces the April 2001 edition of the Contract Administration Handbook for
Construction Projects. The name of this document is now changed to the Construction
Contract Administration Manual. This manual is just one component to managing a
successful construction contract. Other TxDOT resource documents include:
♦
Standard Specifications for Construction of Highways, Streets and Bridges
♦
Manual of Testing Procedures
♦
Material Inspection Guide
♦
Material Specifications
♦
Quality Assurance Program for Construction
♦
Operations Manual
♦
Laboratory Supervisors Handbook
♦
Estimates Manual
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Chapter 1 — Introduction
Section 2 — Introduction to This Edition
How This Manual is Organized
This manual is organized into 15 chapters and 1 appendix, as outlined in the following table:
Chapter:
Chapters 1
through 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Chapter 8
Chapter 9
Chapter 10
Chapter 11
Chapter 12
Chapter 13.
Chapter 14
Chapter 15
Appendix A
Manual Structure
Description:
General overview and procedures related to activities before construction work begins.
Record keeping, including project records and the requirements of the open records law.
Outlines control of work. Control of work encompasses project authority, work documents,
staking the project, inspections, and post construction evaluation.
Summarizes the control of materials covering material management, sampling and testing,
required material forms, and Buy America program.
Highlights change orders, how we process change order documents and other additional
contract agreements.
Outlines construction disputes and TxDOT's claim process.
Covers our legal relationships and responsibilities to the public.
Prosecution and progress.
Summarizes the measurement and payment process.
Provides insight into environmental issues such as hazardous material/waste handling,
biological and water resources, and cultural resource management.
Health and safety items.
Provides an overview of the Business Opportunity Program.
Covers contractor workforce items such as labor laws and On the Job Training.
Includes a listing and links to various forms, document examples and guidelines mentioned
throughout this manual.
Note: Some forms involved in the activities are not included, but users may find them in
other manuals or TxDOT’s Forms Catalog at
http://www.dot.state.tx.us/forms/txdotforms.htm.
Updating of This Handbook
Changes are constant. This manual will be updated to reflect new changes and will continue
to be improved to provide a more user-friendly document. Any suggestions or comments,
including questions, will be greatly appreciated. Please submit them to the Administrative
Operations Branch of CST.
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Chapter 2
Pre-Award Activities
Contents:
Section 1 — Pre-Bid Conference..........................................................................................2-3
Section 2 — Showing the Project .........................................................................................2-5
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Chapter 2 —
Section 1 — Pre-Bid Conference
Section 1
Pre-Bid Conference
Introduction
Pre-bid conferences are not recommended unless absolutely necessary to ensure the best
bids for the department. Bids on some projects must be rejected because of mandatory prebid conference problems. Bid documents must stand on their own. The work as described in
such documents is the only work that is required. Other requirements can not be added at a
pre-bid conference. However, addenda may be developed to clarify issues raised at the prebid conference.
When used, a pre-bid conference may be made mandatory by the bid documents, or it may
be optional. Whether the conference is mandatory or optional, written minutes must be made
available to all bidders. Additionally, a list of attendees should be kept and a copy provided
to the bidders.
The type (mandatory or optional), date(s), and time of pre-bid conferences must be
determined prior to all project advertisements and preparation of the Notice to Contractors.
Conference dates must allow adequate notification to contractors so they may schedule
attendance. Pre-bid conferences should be scheduled approximately two weeks prior to
letting to allow sufficient time to prepare and issue any needed addenda.
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Chapter 2 —
Section 1 — Pre-Bid Conference
Mandatory Attendance
Written approval must first be obtained from the Director of the Design Division prior to
making a mandatory pre-bid conference a contract requirement. After approval is granted,
the mandatory pre-bid conference should be held with the following requirements:
♦
The location and the starting time will be as specified in the Notice to Contractor.
Reasonable consideration shall be made for late arrivals.
♦
The attendance list will be signed by the contractor’s representative. The list will
include the printed name of the representative with the complete firm’s name, complete
address, and telephone and fax number.
♦
Sufficient time must be allowed between bid advertisement and the mandatory pre-bid
conference and between the mandatory pre-bid conference and the letting. This allows
potential bidders time to review the contact documents before the pre-bid conference,
and for the issuance and receipt of proposals by the contractor. Pre-bid conference
should be held approximately two weeks prior to letting.
♦
Issues discussed during the mandatory pre-bid conference are not contractual.
For large, complex, highly technical projects that require attendance at a mandatory pre-bid
conference, a second pre-bid conference must be held at least seven (7) days prior to letting
so that timely issuance of bidding documents can be made. Any change to contract
requirements must be made using an addendum.
The contractors’ attendance at a mandatory pre-bid conference is one condition to submit a
bid on the project. The conference date should be scheduled and held as soon as possible
after the publication of the notice, with sufficient time for potential bidders to become
familiar with the contact documents. The pre-bid conference agenda shall cover a general
review of the completed plans and specifications plus a detailed review of the project’s
special requirements.
The list of contractors attending any mandatory pre-bid conference must be received by the
Pre-qualification and Proposal Issuance Branch of CST by telephone or fax the same day the
meeting is held. This applies to all construction projects that require the mandatory pre-bid
conference.
Optional Attendance
An optional pre-bid conference may be held whenever the AE and the district have special
conditions or requirements for the project. The presentation should be of an informal nature.
The contractors’ attendance at an optional pre-bid conference is encouraged, as these
conferences are held for the contractor’s benefit. A contractor cannot be excluded from
bidding on a project because of failure to attend the optional pre-bid conference.
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Chapter 2 —
Section 2 — Showing the Project
Section 2
Showing the Project
Purpose and Process of Showing a Project
Showing a project is the first phase of the project. When showing a project, the AE gives all
interested parties the opportunity to review the project and provides pertinent information
they request. The AE keeps a record of all questions asked and the answers given; all
interested parties must be treated fairly and alike. Any explanations, information or handouts
made available to one prospective bidder must be made available to all prospective bidders.
The AE or AE’s representative must never make statements regarding the possibility or
probability of changes in plans, specifications, or quantities.
If previously undiscovered errors are pointed out by a prospective bidder they must be
analyzed to determine the overall effect on the project. Major errors must be corrected prior
to the letting by issuing an addendum to all prospective bidders. On projects let at the state
level, these changes are only released by the Pre-qualification and Proposal Issuance Branch
of CST. On locally let projects, these changes can be made and released at the district level
or at CST.
Bidding Proposals at the State Level
All bidding proposals for highway construction projects to be publicly opened and read at
the state level are issued to the contractors from Austin by the Pre-qualification and Proposal
Issuance Branch of CST. Informational proposals are available by request from the Prequalification and Proposal Issuance Branch, or at the department's website
http://www.dot.state.tx.us/business/proposinfo.htm. A contractor is not to be given or
allowed to acquire any “For Information Only” proposal that has been distributed to a
district office or AE’s office. All requests for proposal documents should be forwarded to
the Pre-qualification and Proposal Issuance Branch of CST for processing.
Bidding Proposals at the District Level
Bidding proposals for highway construction projects to be publicly opened and read at the
district level as well as all informational proposals requested by material suppliers,
subcontractors, etc., can be issued to the contractors and suppliers from Austin by CST or by
the district. A contractor is not to be given or allowed to acquire any “For Information Only”
proposal that has been distributed to a district office or AE’s office. All requests for proposal
documents should be forwarded to the Pre-qualification and Proposal Issuance Branch of
CST for processing.
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Chapter 3
Post-Award Activities
Contents:
Section 1 — Press Release....................................................................................................3-3
Section 2 — Pre-Construction Conference...........................................................................3-4
Section 3 — Partnering Process............................................................................................3-8
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Chapter 3 — Post-Award Activities
Section 1 — Press Release
Section 1
Press Release
General
After the public opening of bids and the Commission's award of the contract, the district
should prepare a news release to the newspapers, radio and television stations. The release
announces the award of the contract, describes the project, names the successful contractor,
gives the award amount and points out project highlights.
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Chapter 3 — Post-Award Activities
Section 2 — Pre-Construction Conference
Section 2
Pre-Construction Conference
Conference Responsibilities and Make-up
After the Texas Transportation Commission has awarded the contract, the AE conducts a
pre-construction conference with the contractor prior to commencement of construction
operations. This meeting includes appropriate representatives from the district and area
offices, the contractor(s) organization, subcontractor's, news media, utility companies, local
governmental entities, and local law officers, as required. Usually, one or more members of
the district headquarters will attend the meeting.
As part of a Memorandum of Understanding between the Office of Federal Contract
Compliance Programs (OFCCP) and the Federal Highway Administration (FHWA), TxDOT
is to provide written or verbal notice to appropriate OFCCP District Offices of scheduled
pre-construction conferences in sufficient time to allow OFCCP participation in the
conference.
Purpose of Conference
At the conference, TxDOT personnel and contractor’s staff become acquainted, establish
lines of authority and communication, determine the responsibilities and duties of
contractor’s personnel, subcontractors, and department personnel, clarify potential sources
of misunderstanding and work out the detailed arrangements necessary for the successful
completion of the project. A record of the highlights of the meeting is kept in the project file.
A suggested agenda for a pre-construction conference follows.
Pre-Construction Conference Agenda
A pre-construction conference follows an agenda and discusses specific items. A sample
agenda with discussion topics is in the following table.
Agenda Item
Introduction
Identity of
Representatives
Contractor’s Work Plan
Pre-Construction Conference Agenda
Topic/Comments
♦ Staff introductions
♦ Purpose of meeting
♦ Review of project — location, type, size, special problems or designs, ROW
and utilities
♦ Number of work days
♦ Material and source approval
♦ Other topics as appropriate
Identify the contractor’s representatives and subcontractors, giving name,
address and phone number. Do the same for the AE, law enforcement agencies,
utility companies, and other relevant parties.
♦ Start date
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Chapter 3 — Post-Award Activities
Agenda Item
Construction
Requirements
Adjustments
Environmental
Traffic Control *
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Completion date
♦ Major phases of the project
♦ Detailed progress schedule — chart in brief outlining the manner of
prosecution of work intended to complete work in allotted time
♦ Revisions
♦ Work plans
♦ Criteria on time charges, work day, and temporary suspension of work
• Notify AE at least 24 hours before beginning work in any new operation
♦ Field office and/or lab
♦ Special traffic problems
Usual requirements:
♦ Water truck weight
♦ Roller qualifications
♦ Truck measurements
♦ Asphalt distributor calibration
♦ Truck weight limit
♦ Copies of papers accompanying material delivered to the project
♦ Stump dumping, etc.
Special requirements — discussion of pertinent Items:
♦ Staking
♦ Earthwork
♦ Base
♦ Structures
♦ Miscellaneous.
♦ All utilities should be clear before the letting date; however, if plans include
a date when the utilities are to be clear, adhere to that date. If utilities are not
clear by the given date, it may be necessary to amend the contract to allow
additional work days.
♦ The contractor is responsible for damage to underground utilities located
within the right of way.
♦ Inform contractor of securing proper environmental/archeological clearances
pertaining to Project Specific Locations (PSL).
• Transmit information about any environmental commitments that apply
to the project to the contractor.
♦ Review the contractor’s implementation of the Storm Water Pollution
Prevention Plan (SW3P). Pay attention to areas of erodible-earth, haul road
and material pits, contamination of streams and lakes, and damage to
adjacent property, etc.
♦ Review mitigation requirements of the project.
♦ Determine if there are possible conflicts between the contractor’s work
schedule and the SW3P.
♦ Discuss payments for erosion control procedures and devices.
♦ Identify the TxDOT employee who performs SW3P inspections.
♦ Plans, standards, and specifications
♦ Signs, barricades and lights: inspection & reports; repair & compliance;
special conditions and detours.
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Chapter 3 — Post-Award Activities
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Speed zones
♦ Flagging Procedures
♦ Determine the contractor’s plans for implementing the Traffic Control Plan
(TCP).
♦ Alternate traffic control plan
♦ Letter designating — Contractor’s Responsible Person (CRP)
♦ Department Responsible Person (DRP).
For more information on temporary traffic control for construction areas, go to
http://crossroads/org/trf/TRFTEPS2/cwztcd.pdf. For more information on construction speed
zones, see the Procedures for Establishing Speed Zones volume of the Traffic Operations Manual collection.
Traffic Laws
The contractor and department personnel must be aware of the Texas Traffic
Laws regarding the legal limit of axle load (legal weights) for trucks hauling
materials to the site. Copies of the law can be obtained from the Texas
Department of Public Safety.
Materials
♦ Letter designating sources of all materials proposed to be used on project
♦ Storage of materials
♦ Inspecting and testing.
Storage of Equipment
Review specifications, especially the need to keep the travel way clear.
and Materials
Law Enforcement
The responsibility of the AE is to guarantee that open lines of
communication have been established between contractor and law
enforcement. Discuss the use of law enforcement personnel on project, if
needed. The AE should ensure that specific needs for traffic supervision will
be met. The interested parties must determine exactly how they will share
traffic-related information (accidents, safety hazards, etc.)
News Media
Review procedures for educating the public about construction activities
through media announcements.
Safety Issues *
♦ Does the contractor have a defined safety program? List the goals and
people responsible; letter designating safety officer; minutes of safety
meeting, issue resolution, etc.
♦ Does the contractor’s management support the safety program?
♦ Does the contractor’s safety program include discussion with employees to
promote safe conditions and practices in their work?
♦ How are the job-related injuries and illnesses investigated, recorded and
reported by the contractor?
♦ OSHA compliance. What does the contractor do to keep informed on
government safety regulations and standards?
*For more information on construction safety, see Chapter 13, Health and Safety Items, and Item 7 of the
Standard Specifications.
Contractor Estimates
♦ Partial payments, monthly estimates, closing dates, etc.
♦ Payment for material-on-hand (MOH)
Subcontracts
♦ Letter notifying TxDOT of proposed subcontractors to be used (refer to Item
8.1 of the Standard Specifications)
DBE/HUB
Disadvantaged Business Enterprise (DBE)/Historically Underutilized Business
(HUB) Program:
♦ Contractors will be advised of requirements in the DBE/HUB special
provision.
Agenda Item
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Chapter 3 — Post-Award Activities
Agenda Item
EEO, Training and Labor
Compliance
Partnering
Other Matters
Comments and Adjourn
Section 2 — Pre-Construction Conference
Pre-Construction Conference Agenda
Topic/Comments
♦ Contractors should also be directed to contact the Area Engineer's Office
concerning anticipated changes to their DBE/HUB commitment, any
disputes, inability to meet the goal.
♦ Any request for approval from the contractors for DBE/HUB removals,
substitutions, and Good Faith Efforts resulting from removal of a DBE/HUB
is the responsibility of the districts.
Equal Employment Opportunities (EEO) Compliance Program requirements are
contained in the following special provisions:
♦ Required Contract Provisions Federal-Aid Construction Contracts (Form
FHWA1273)
♦ Standard Federal Equal Employment Opportunity Construction Contract
Specifications (Executive Order 11246 http://www.archives.gov/federal_register/codification/executive_order/1124
6.html)
• Including Form FHWA1391 - Certification of Nondiscrimination in
Employment and Notice of Requirement for Affirmative Action to
Ensure Equal Employment Opportunity (Executive Order 11246).
In addition, the applicable wage determination, the DBE Special Provision,
FHWA 1273, and the Measurement and Payment Special Provision must be
included in subcontract agreements.
Bulletin Board Requirements:
The U.S. Department of Labor, Federal Highway Administration, and U.S.
Department of Transportation require certain posters to be posted on bulletin
boards in places accessible to the employees on a job site.
Optional On-the-Job Training Special Provision:
Contractors electing to train employees under the contract’s Optional On-theJob Training Special Provision are advised that a training schedule (Train) and
registration information for each trainee (OJT) must be submitted to and
approved by the Office of Civil Rights (see Chapter 15 for additional On-theJob Training (OJT) explanations.
Prevailing wage rate requirements:
Contractors and subcontractors must pay employees, at a minimum, the
classification wage rates specified in the contract. The minimum wage rates
must also be conspicuously posted and accessible on the project site.
Payroll records:
♦ Payroll records certifying compliance with the contract's minimum wage
rates, overtime and payroll deduction requirements must be submitted in
timely manner on federal-aid construction projects. On 100% state funded
construction projects the contractor or subcontractor must keep the payrolls
and make them available for review by TxDOT.
♦ Issue escalation
♦ Rocks in the road (review of potential problems)
Shop drawings, erection details, and forming details
Summary and follow up, etc.
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Chapter 3 — Post-Award Activities
Section 3 — Partnering Process
Section 3
Partnering Process
Introduction
Partnering is a management technique used to improve communication and enhance the
resolution of conflicts between owners and contractors working on projects. Partnering
evolved during the early 1980s in the construction industry as a vehicle to reduce adversarial
relationships and costly claims and litigation. The TxDOT Partnering Program began in
April of 1992 (http://crossroads/org/hrd/quality/partnering/parthistory.asp). The focus in
1992 was to reduce claims and disputes while improving working relationships on
construction projects. The partnering concept is presently being used in many areas of
TxDOT.
TxDOT is committed to improving the working relationships with our partners in the
construction industry and encourages a relationship based on integrity, trust, mutual respect,
and fair dealing. Creating the proper working environment will improve dispute resolution at
the project level and encourage efficient project administration by TxDOT and efficient
prosecution of the work by the contractor. The intent of the Partnering Program is to assist
the contractor and the engineer to work together to:
♦
Handle problems fairly and honestly
♦
Use common sense in the interpretation and application of the Specifications (this does
not relieve the contractor of their responsibility in conforming to the specifications) and
♦
Improve on past performance by doing the best job possible.
Requirements
The use of partnering on a project is voluntary, unless otherwise specified, and its use must
be acceptable to both the department and contractor personnel. Partnering can be initiated by
TxDOT or the contractor. Guidelines for the Partnering Program are as follows:
Construction and Design Partnering Workshops
Partnering is on a voluntary basis, unless shown on the plans or in the design advertisement
notice.
Partnering workshops are strongly encouraged on construction and design projects;
however, the need for partnering will be determined by the DE after consideration of the
following factors:
♦
Project complexity
♦
Impact on traveling public
♦
High profile projects
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Chapter 3 — Post-Award Activities
Section 3 — Partnering Process
♦
Potential for citizen complaints
♦
Contract requirements for Road User Costs
♦
Coordination between multiple parties
♦
Any other factors considered important by the DE.
For projects which do not incorporate facilitated Partnering workshop(s), the partnering
concepts of the “Issue Escalation” and “Rocks in the Road” (review of potential problems)
should be included in the Pre-construction Conference.
Participation in Partnering
The engineer and the contractor are responsible for compiling a list of the key project
personnel (inspectors, foremen, superintendents, bookkeepers, project engineers, etc.) who
should participate in the initial partnering workshop. Representatives of all interested parties
should be in attendance. Examples include, but are not limited to, subcontractors, material
suppliers, city and county officials, and utility companies. In addition, the contractor and
engineer should actively encourage district staff to participate as well.
Paperwork Requirements
Paperwork requirements and administrative efforts by the AE and district staff should be
minimal.
For construction and design projects, the district issues a memorandum or GroupWise
message advising the Partnering Program Administrator (Quality Management branch of
HRD) of the decision to conduct a partnering workshop
(http://crossroads/org/hrd/quality/partnering/partneringworkshops.asp). The transmittal
should include pertinent information such as project number, county, highway,
contractor/consultant, contract amount, location of workshop, selected facilitator, etc. This
transmittal is optional for workshops conducted by internal facilitators.
When contract facilitators are used, it is the facilitators’ responsibility for proper
coordination with district and contractor/consultant personnel to assure a quality workshop.
The AE and contractor/consultant will provide a brief written evaluation of the facilitators’
overall performance and transmit this report along with copies of workshop participant
evaluation forms to the Partnering Program Administrator.
The contractor/consultant will pay the full cost to the contract facilitator and the department
will reimburse the contractor/consultant for half of these costs on the next monthly estimate
or the contractor may elect to pay the full cost.
Internal facilitators conducting workshops will be responsible for producing and supplying
participants with a final result report. No evaluation of internal facilitators will be required.
No other paperwork will be required.
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Chapter 3 — Post-Award Activities
Section 3 — Partnering Process
Partnering Performance
If the partnering agreement is not followed and after reasonable efforts have been made to
restore the agreement, either party may withdraw from the partnering agreement by written
notice to the other party. The sole remedy for non-performance of the partnership shall be
termination of the partnering agreement.
Procedures
The Initial Partnering Meeting may last from one half (1/2) day to two (2) days and may
contain one or more of the partnering modules selected by the engineer and the contractor.
This initial meeting may be held prior to or in combination with the pre-construction
conference. Detailed procedures for the Initial Partnering Meeting, including the use of
facilitator and payment can be found in the current Special Provision.
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Chapter 4
Job Records
Contents:
Section 1 — Importance of Accurate Records......................................................................4-3
Section 2 — Public Information Act.....................................................................................4-5
Section 3 — Project Records ................................................................................................4-6
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Chapter 4 — Job Records
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Chapter 4 — Job Records
Section 1 — Importance of Accurate Records
Section 1
Importance of Accurate Records
Overview
Complete and accurate records are important for proper administration of all construction
projects. Document all important information related to the performance of the work. The
main purpose of project records is to provide a permanent record of the following:
♦
Facts and details of all tests, inspections and work performed.*
♦
Proof of and support for the decisions, actions, and fulfillment of TxDOT's
responsibilities.*
♦
Documentation that the contractor has complied with the plans and Specifications.*
*Required for legal purposes.
Records that provide documentation of contractor delays, quantity variations, unacceptable
work, quality of materials, surveying problems and other points of contention must be
complete, clear and accurate. Complete documentation will support the department’s
position if a formal dispute or claim is made.
Record-keeping
This document is a guide and allows districts flexibility in choosing a record-keeping
system. A uniform district system is a beneficial aid in training field personnel and in easing
the transfer of personnel between AE offices. The Construction Records to Support Pay
Quantities of Work Done on Contract Construction Projects and the Estimates Manual
(Estimate) for Construction and Maintenance Projects are available for use as guides in the
development of an acceptable record keeping system.
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Chapter 4 — Job Records
Section 1 — Importance of Accurate Records
Electronic Records
TxDOT allows the use of computers and automation equipment for the collection, storage,
and retrieval of documentation generated for a construction project. The collection and
retention of construction records electronically must be acceptable from an engineering,
audit, and legal standpoint. Any records system should allow for the reconstruction of the
chain of events that occurs on a project. In order for records to be admitted as legal
evidence, they must meet the following requirements:
♦
Records must be made at or near the time of the events.*
♦
Records must be made by or from a person with direct knowledge of the event.*
♦
Records must be kept during the course of business.*
♦
Only authorized personnel must enter records.
♦
Records must provide for adequate backup and recovery of records to protect against
information loss. Protection procedures must be in place to prevent both human errors
and system failures.
♦
Records must be protected to prevent unauthorized alteration or erasure.
♦
Records must provide a method for all authorized users of the system to retrieve desired
information.
♦
Records systems should include adequate documentation of software programs and
hardware dependency.
♦
Record reliability is enhanced if an accurate audit trail is provided to indicate the steps
followed in processing the data and the methods used to prevent loss of data.
♦
Records should be stored on an appropriate media throughout their life cycle.
*Required for legal purposes.
Districts interested in implementing their own automation systems should contact CST for
guidance to ensure uniformity throughout the state and that the above criteria are met.
Correspondence
The AE handles all project correspondence according to the instructions from the DE and
the approved practice within the district.
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Section 2 — Public Information Act
Section 2
Public Information Act
Overview
The Public Information Act, formerly known as the Open Records Act, is located at chapter
552 of the Government Code and provides a mechanism for citizens to inspect or copy
government records (http://www.capitol.state.tx.us/statutes/go/go0055200toc.html). It also
provides for instances in which governmental bodies wish to, or are required by law to,
withhold government records from the public. All government information is presumed to
be available to the public, with certain exceptions, such as documents related to litigation.
The Act provides that a governmental body must respond "promptly" to a request for
information. If the district receives a questionable request, the district writes or calls CST or
the Office of General Counsel (OGC) when the request is received. Then OGC may ask the
Attorney General (AG) to issue an opinion on the questionable request. Under no
circumstances may information be withheld from a requester, unless OGC has requested and
received an opinion from the AG to that effect. Furthermore, if OGC does not request an
opinion from the AG within ten working days from the date the department receives the
request, the information has to be released. It is critical that the written request be date
stamped to validate the date of receipt.
Verbal requests must be received in writing before TxDOT responds.
Internet (e-mail) requests are not valid unless they are sent to the Public Information Office
(PIO) address at http://www.dot.state.tx.us/cgi-bin/mailform.pl. The PIO records all such
requests. Requests sent to other e-mail addresses are not considered open record requests
and TxDOT personnel are not required to respond.
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Section 3 — Project Records
Section 3
Project Records
Anticipated Beginning of Project Letter
Immediately after receiving the project Work Order, the DE notifies the senator and
representative of the state legislature of work beginning on road projects located in their
district. Notification is sent to all legislators in an urban area. This letter will include as a
minimum:
♦
Location and description of the project in non-technical terms
♦
Contractor
♦
Estimated start date
♦
Estimated completion date
♦
The person within the department to contact if there are any questions.
Notice of Beginning of Work
After the Pre-Construction Conference and prior to beginning work, the AE will send the
Construction Engineer (CE) a Notice of Beginning Work. The notice, which may be sent by
e-mail or fax, includes the:
♦
Project number
♦
Date work will begin
♦
AE’s name, address, and telephone number
♦
Contractor’s name, address and telephone number.
Immediately after the contractor begins work, the district inputs the Work Began date
directly into the Construction and Maintenance Contract System (CMCS). Consult with the
automation administrator for assistance in accessing CMCS and for local network or system
problems. In SiteManager this date will be entered in the Critical Dates.
When the contractor requests payment for material-on-hand (MOH)for projects such as seal
coat or traffic signal installation before actually beginning work, the AE may issue a “Notice
of Beginning Work.” The AE suspends time charges until work actually begins or charges
time according to the contract.
The beginning notice needs to be submitted only once for each construction contract.
Individual projects within the contract, and suspensions or resumption of time during the
project duration do not require additional beginning notices.
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Section 3 — Project Records
Project Diary
The AE, or a representative, must keep a project diary. The diary records important events,
activities, and discussions, which occurred on the project during operation. A project
engineer or chief inspector that has direct responsibility for all construction work shall keep
a general diary that addresses time charges. Other inspectors keep good daily records of the
work in progress to supplement the general diary. Diaries are updated daily and in such a
manner that new personnel may take over the work at any time.
In SiteManager it is recommended that all information previously recorded in the Green
Diary be recorded in a Daily Work Report (DWR). This is to maintain integrity of the
project.
Daily diary entries include:
♦
Date
♦
Weather conditions
♦
Contract time charged and reasons for days credited
♦
Work in progress, including temporary erosion control
♦
Location of work
♦
Contractor’s and subcontractor’s work force
♦
Arrival and departure of equipment
♦
Quantity of equipment and usage at the project site
♦
Important instructions to the contractor
♦
Names of official visitors and a summary of any discussions with the visitors
♦
Unusual construction or work conditions
♦
Decision-making discussions with the contractor
♦
Disagreements with the contractor
♦
Detailed information that may have a connection with a probable dispute or claim
against the department
♦
Project completion and final inspection
♦
Other important features of the project, such as discussions concerning Disadvantaged
Business Enterprise (DBE) and Equal Employment Opportunity (EEO) requirements,
etc.
When “time charge” is suspended due to non-acquired right-of-way (ROW), railroad issues,
or utility relocation, the weather conditions are to be listed in the diary with a note indicating
whether a day would normally be charged (based on how a “working day” is defined in the
Special Provision of the contract). This allows for easy determination of the FHWA nonparticipation days. For instance, under the “working day” Special Provision, the days that
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are normally not charged for weather conditions can be excluded from the number of days of
a time suspension in determining the FHWA non-participation.
At least one page must be filled for each day from the date the contractor begins work or the
date time charges begin, whichever occurs first, to the completion of the work.
The person making the daily entries must sign them. If more than one person makes notes on
a daily entry, each person signs in his or her own handwriting for his or her individual
portion.
When the project is complete, the diaries, pay records, correspondence, etc. are to be
combined or referenced so that the project can be reviewed if necessary at a later date.
A properly maintained project diary provides invaluable information and evidence if
controversies arise later. Diary entries are written in ink, and corrections are made by lining
out the entry and initialing. Erasures are not permitted.
Materials Received
Records must be kept of all materials received for each project. When purchasing materials
by weight, make sure weights are accurate. The AE must develop and use a method to
ensure that all material weight is correct. The weight verification program includes random
check weighing, observation of weighing procedures, scales inspection, and observation of
plant weighing. The AE determines the method for verifying weight based on available
personnel, equipment, and existing conditions. Refer to chapter 11 for a summarization of
the measurement and payment process.
When the contractor furnishes materials from within the construction project, refer to
established laws, policies, procedures and Article 4.6 of the Standard Specifications, “Use of
Materials Found on the Right of Way.” Also use the Standard Specifications Article 6.7,
“Hauling of Divisible Materials Paid for by Mass or Truck Measure,” and “Item 520
Weighing and Measuring Equipment.”
Records on Temporary Suspension of Work or Time
When work or time charges are temporarily suspended, the AE will provide the contractor a
written notice (Suspend) with the reasons for the action and the effective date of the
suspension. Record the suspension and reasons in the project diary accordingly.
Resumption of Work
When work and time charges are resumed, the AE notifies the contractor in writing of the
work resumption (Resume). Record the resumption in the project diary.
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Daily Time Charges
Time charges are kept correct and current by daily entry into the project diary. When the
project diary shows one day charged, follow it with the total days charged to the project. If
no time is charged that day, the project diary must show no time charged with an
explanation of why time was not charged. This explanation should correspond to the reason
codes on Form 1452 of the Contract Information Segment (CIS) User Manual, “too wet,”
“too cold,” etc.
Once the daily time charge has been entered, it must never be changed. If it develops later
that time should not have been charged, a time extension for incorrect time charges is
recorded in the project diary and reported to the contractor in writing. For a time extension
granted by a letter (not a change order), send a copy of the letter granting a time extension
(Time) to the Construction Section of CST. The AE will then enter the total additional days
into the CIS system.
Note: Time charges for contracts using calendar day Special Provision are different from
that of contracts using working day Special Provision.
Anticipated Project Completion Letter
The AE will send an ‘Anticipated Project Completion’ letter to the area state senator and
representative at least ten (10) days prior to project completion.
Contractor’s Labor Payrolls
The contractor and the approved subcontractors must pay the wage rates specified in the
contract’s wage schedule, at a minimum. The wage rate schedule must be posted in a
conspicuous and accessible location on the project site. When the contract wage schedule
does not include a job classification utilized on the project, the contractor must submit a
request for an additional classification to the AE using the form entitled ‘Additional
Classification and Wage Rate Request’ (Wage). For both state and federal projects, requests
are forwarded to the Administrative Operations Branch of CST for review.
Employees must receive overtime pay (1.5 x regular rate) for all work in excess of 40 hours
per week. Overtime pay is based on hours actually worked in excess of 40 hours. Therefore,
holiday, sick leave, or other pay for time not worked is not considered when determining
eligibility for overtime pay.
The prime contractor and subcontractors must send a letter to the AE showing the name and
title of each person authorized to sign payrolls and certifications. Each contractor may send
the letter before beginning work or with the first payroll.
Contractors and subcontractors must pay employees not less than once a week. A copy of
the weekly payroll record must be sent to the AE for all federal-aid contracts, and a payroll
record must be submitted for each project. Contractors may use Form WH-347 or adopt any
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other format, which provides the same information. The prime contractor is responsible for
ensuring that subcontractors comply with this requirement.
On federal-aid contracts, the AE’s office must review weekly payroll records for compliance
with the contract’s minimum wage requirements. At a minimum, at least 10% of the overall
project workforce must be reviewed. Area office personnel have discretion as to how the
10% minimum is satisfied. It is not required that 10% of every payroll be reviewed.
Personnel responsible for reviewing payrolls may focus efforts based on a contractor’s
history of compliance or non-compliance. In addition, the AE’s personnel on the project will
conduct labor compliance interviews of the contractors and/or subcontractor’s employees on
federal-aid contracts. A ‘Labor Standards Review’ form is used for these interviews and is
accessed by clicking Labor. TxDOT policy requires at least three labor interviews for each
project per quarter when work was performed during the quarter. The wage rate and job
classification of the interviewed employee must then be verified on the weekly payroll. The
completed interview forms must be retained in the project file.
The first payroll record must contain the following information for each employee:
♦
Name
♦
Social security number
♦
Address
♦
Phone number
♦
Job classification
♦
Rate of pay
♦
Daily and weekly number of hours worked
♦
Gross pay
♦
Deductions made
♦
Benefit calculations made by employer (calculated on hourly bases), and
♦
Net pay.
Employee social security numbers, addresses and phone numbers need only appear on the
initial project payroll record and on the first payroll on which a new employee(s) appears.
The job classifications listed in the Associated General Contractors (AGC) Standard Job
Classification and Descriptions for Highway, Heavy, Utilities and Industrial Construction
(http://www.agc.org/) are recommended for use on a contractor’s weekly payroll record. The
contractor may use other code numbers or abbreviations provided a list of the code numbers
or abbreviations with the corresponding job classification is attached to each payroll record.
The names of truck owner-operators are to appear on a contractor’s weekly payroll with the
designation “Truck Owner-Operator.” No other information is required. Payroll deductions
must comply with the regulations specified in 29 CFR 3.5
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cfr3_99.html). The reason for any
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deduction from an employee’s wages must be specified on the payroll record submitted to
the department. Generally, deductions made in compliance with state or federal law (that is,
social security and income taxes), a court order, or pursuant to a bona fide fringe benefit
plan do not require scrutiny. Direct questions concerning the legality of any deduction to the
attention of the Administrative Operations Branch of CST.
Each week contractors must furnish a statement regarding compliance with the various wage
and payment requirements. The compliance statement must be signed by the contractor or an
authorized agent responsible for the payment of wages. The statement shall be on Form
WH-348, ‘Statement of Compliance,’ or on an identical form on the back of Form WH-347,
‘Payroll (For Contractors Optional Use),’ or on any form with identical wording. Each
weekly payroll and compliance statement must be submitted to the AE’s office within
fourteen calendar days after the end of the payroll period. For weeks when no work is
performed, the statement of compliance is submitted with the statement “No work done this
week.” For longer periods of inactivity, the statement “No work until further notice” can be
written and no subsequent statements need to be submitted until work resumes.
Each contractor or subcontractor shall retain his/her weekly payroll records for a period of
three years from the date of the project’s completion, in accordance with federal regulations.
Special rules determine whether payrolls are required for hauling firms or owner-operators.
Generally, prevailing wage rate requirements apply to hauling which is to or from a site
which is dedicated exclusively, or nearly so, to the completion of the project. Obtain
guidance regarding the minimum wage requirements’ scope of coverage from the
Administrative Operations Branch of CST. The chart ‘Subcontracting and Payroll
Requirements’ (Subcont) illustrates when payroll records are required and when a firm must
be approved as subcontractor on a project.
Payrolls and associated basic records are retained in the area office during the life of the
contract. Refer to the Records Management Manual for the record retention schedule
(http://crossroads.dot.state.tx.us/org/gsd/retsked.htm).
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Final Plans
When a contract is completed, the AE is responsible for revising the original plans to show
the project as it was built. Place the words “FINAL PLANS” in a conspicuous place on the
title sheet followed by the contractor’s name, letting date, date of beginning of work, and the
date of completion and acceptance. Additionally, show a summary of all COs on the title
sheet if space permits. Otherwise, prepare this summary on a separate supplementary sheet
and insert it in the plans immediately following the title sheet.
For projects consisting of bridge construction, the actual tip elevation of drilled shafts or pile
foundations shall be indicated on the bridge layouts in final (as-built) plans. Completed
Form168, Form181 and Form1276 can be used to determine the tip elevations.
The responsible engineer signs, seals, and dates the title sheet of the final plans to reflect
that work was done according to the plans and contract.
For projects let prior to November 1999 the AE should submit a Final Plans Submission
Form with the entire finaled plan set to the General Services Division (GSD). For projects
let in November 1999 or later the AE should submit a Final Plans Submission From with the
changed plan sheets only. GSD will scan the changed plan sheets and insert the image files
into the electronic plan set currently on file in Plans Online
(http://www.dot.state.tx.us/business/plansonline/plansonline.htm).
Required Reports and Forms to Be Submitted to Austin
Submit the following reports and forms to Austin unless otherwise stated. See Appendix A
for referenced forms or click the “highlighted” text below to access MS Word electronic
versions.
Change Order (CO)
♦
After preparation, all COs (CO6-02, CO-TAB, CO-AFA) for construction contracts
are sent to the Administrative Operations Branch of CST to be logged into the Contract
Tracking System (CTS). SiteManager COs are not logged in CTS. The Administrative
Operations Branch processes approval as required, forwards to the Finance Division
(FIN), and distributes copies as needed. As part of the contract documents, all original
COs (those that bear the original signatures) are permanently filed with the original
contracts for audit reasons.
♦
If changes need to be made to a CO that has already been submitted, such changes must
be submitted using a supplemental CO. A supplemental CO will show only the amount
of adjustment to the original CO. If changes are only for the description or code, the
amounts on the “added line” would be zero. The supplemental CO identified by
inserting an “S” after the CO number on the CO form.
Supplemental Agreement (SA)
♦
After preparation, send the SA (SAForm) to CST. Refer to Chapter 7, Section 3
'Additional Agreements' for detailed information.
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Time Extension (TE)
♦
Send the TE letter (Time) to the contractor and a copy of the letter to CST. This process
is for stand-alone TE’s only and is not required if it is part of a CO. In SiteManager TEs
are entered by CO only.
Final Estimates (FE)
♦
Preparation and approval of FE’s is the responsibility of the district. The FE consists of
the CIS02, CIS04 and CIS05 reports. SiteManager does not require reports to be sent to
the Finance (FIN) Division.
♦
Prior to approving the FE, the district needs to have the following:
•
Material and tests clearances
•
Effective March 15, 2002, the districts do not have to wait for clearance from the
Construction Division’s Business Opportunity Programs Section (CSTB) to process
a final estimate on projects where the Disadvantaged Business Enterprise (DBE
)/Small Business Enterprise (SBE) goal has been met. If the project DBE/SBE goal
has not been met, CSTB must give final clearance prior to the district processing
the final estimate.
•
OJT summary submitted by the contractor if the contractor elected to utilize the
Optional On-the-Job Training (OJT) program (Chapter 15 'Contractor Workforce')
•
All COs completed and approved; and
•
Completed FHWA-47 if applicable on a federally funded contract.
•
After the FE is posted and approved by the district, the FE is then directed to FIN
for payment.
•
The FE is sent to FIN no later than sixty (60) calendar days after the final
acceptance ) of the work.
Federal Highway Administration Form FHWA-47 – ‘Statement of Materials and Labor
Used by Contractors on Highway Construction Involving Federal Funds’
♦
Form FHWA-47 is used by FHWA to keep statistics on the quantities of material used
in the construction of highways and bridges. This form must be completed immediately
after the physical completion of the work for all National Highway System federal-aid
construction projects except:
•
Projects whose final contract amount is less than $1,000,000
•
Protective devices at railroad crossings, or
•
Highway beautification.
♦
The district or area office is responsible for the completion of Part A of the form; either
before or after the contractor completes Part B.
♦
The contractor should follow the instructions for completion of Part B, item 3 through
29 on the back of the FHWA-47 form.
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Section 3 — Project Records
♦
Once received from the contractor, check all parts of the form to ensure that it is
complete.
♦
For exempt federal-aid projects each district must sign, date and mail the form directly
to the FHWA in Washington, DC:
Federal Highway Administration
Office of Program Administration HIPA-10
400 7th Street, S. W.
Washington, DC 20590
♦
For non-exempt federal-aid projects send the forms directly to the FHWA division
office in Austin:
Federal Highway Administration
826 Federal Office Building
300 E. Eighth St.
Austin, TX 78701
Form FHWA1494 – Semi-Annual Labor Compliance Enforcement Report
♦
Federal regulations require that districts complete Form FHWA-1494 semi-annually.
The report requires information concerning compliance and enforcement of labor
standard provisions of the Davis-Bacon Act and its related acts during the periods of
October 1 through March 31 and April through September 30, respectively.
♦
Completed forms are to be submitted to the Administrative Operations Branch of CST.
Form FHWA1446 (Rev. 2-78) – Final Inspection of Federal-Aid Project Constructed
under 23 U.S.C. 117
♦
Form FHWA-1446C is the official documentation stating that the project has been
accepted for federal participation. The FHWA requires that Form FHWA-1446C be
completed and submitted to FHWA for all exempt federal-aid projects, including those
completed by State force account.
♦
Upon completion of exempt federal-aid projects and completion of records and
payments, the DE or the DE’s designee reviews and signs this form. Be sure to include
all project numbers that have federal funding and are grouped with a controlling project
when completing this form.
♦
In all cases, including emergency (ER) projects, the original Form FHWA-1446C is
sent directly to the FHWA division office in Austin, and a copy is sent to CST and the
Claims Management Section of FIN.
Letter of Certification of Materials Used
♦
Non-exempt federal-aid (federal oversight) projects require completion of this letter
(Material) and submittal to FHWA.
♦
After preparation and approval, this letter is sent to the FHWA division office in Austin.
♦
Exempt federal-aid (state oversight) projects and state-funded projects do not require
the ‘Letter of Certification of Materials Used.’
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Equal Employment Opportunity (EEO) Compliance Program Forms
♦
On federal-aid construction projects the prime contractor and each subcontractor must
have their EEO policy posted on the project site.
♦
In addition, the name and phone number of each firm’s EEO officer must be posted. It
is recommended that this information be included with the EEO policy.
♦
Contractor and subcontractors must each submit FHWA1391 (Federal-Aid Highway
Construction Contractors Annual EEO Report) to the area engineer by August 5th for
each project. The employment data entered should reflect the work force utilized during
peak activity in the month of July. The prime contractor shall show the employment
data for only his or her employees on the report. Each subcontractor with a subcontract
of $10,000 or more shall submit a report with employment data on those employees
employed on the project site. A subcontractor may submit his or her report through the
prime contractor or it may be submitted directly to the area engineer. Negative reports
are required of covered contractors and subcontractors not active that month. The area
engineer shall sign Form FHWA 1391 as the “reviewer” and as such, examines these
reports to verify accuracy. Distribution of the reports is as follows:
•
one copy to the area engineer’s project file
•
one copy to the district office
•
The district consolidates the results of all the FHWA 1391s on the summary Form
FHWA1392 (Summary of Employment Data) and submits this form along with all
FHWA 1391s to the Office of Civil Rights by the fifteenth day of August.
Form168 – Pile Record
♦
Prepare this form according to Construction Bulletin C-8, Pile Driving Manual.
♦
Send one copy to the Geotechnical Section of the Design Division (DES) according to
instructions shown on the form.
Form181 – Test Pile Data
♦
Prepare this form according to Construction Bulletin C-8, Pile Driving Manual.
♦
Send one copy to the Geotechnical Section of DES according to instructions shown on
the form.
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Form1276 – Drilled Shaft Records
♦
Prepare this form according to Construction Bulletin C-9, Drilled Shaft Manual.
♦
Send one copy to the Geotechnical Section of the DES according to instructions shown
on the form.
Note: To complete forms 168, 181 and 1276, the inspector should document the work used
for trouble shooting problems and determining pay quantities during the operation. After
project completion these forms can be used to determine the tip elevation of drill shaft (or
pile) foundation that should be indicated on the final as-built plans.
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Chapter 5
Control of the Work
Contents:
Section 1 — Project Authority..............................................................................................5-3
Section 2 — Work Documents .............................................................................................5-5
Section 3 — Staking and Surveying the Project ...................................................................5-8
Section 4 — Inspections .....................................................................................................5-10
Section 5 — Post Construction Evaluation.........................................................................5-14
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Chapter 5 —
Section 1 — Project Authority
Section 1
Project Authority
Authority of the Engineer
Item 5.1 of the Standard Specifications outlines that the work performed and materials used
on the project comply with the plans and specifications as interpreted by the AE. The
specifications also provide the AE with authority to determine if the rate of progress is
satisfactory and if other requirements of the contract are being fulfilled. Since the AE's
decisions are final, the contractor must carry out instructions as issued by the AE. The
contractor may dispute the instructions through proper channels when in disagreement with
the AE’s decisions.
Usually, the methods or procedures used by the contractor in doing the work are the
responsibility of the contractor. If the specifications or plans specify the methods or
procedures to follow in doing the work, the AE has the authority not to accept work done by
other methods. The contract requirements hold even though the contractor may claim that
the other methods will result in equally good or better results.
When the governing specifications stipulate the AE will provide direction or approval in
writing, the AE will issue this information to the contractor quickly. When the governing
specifications do not require the direction or approval to be in writing, the AE may issue
them verbally with an appropriate note made in the project diary. Following the diary entry,
the AE or his project engineer will issue a written notification to the contractor documenting
the AE’s verbal direction.
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Section 1 — Project Authority
Authority and Duties of Inspectors
Item 5.8 of the Standard Specifications outlines the authority and responsibility of TxDOT
inspectors. Inspectors have authorization to inspect all the work, materials, and equipment
used on the project. An inspector must thoroughly understand the contract, the relevant
plans, specifications, special provisions, and the work schedule. This enables the inspector
to inspect and judge the quality and thoroughness of the contractor’s work, in comparison to
the contract.
The inspector reports the progress of the work and how it is being performed to the AE. The
inspector notifies the AE when the materials furnished or the work performed by the
contractor fail to fulfill the requirements of the contract. The inspector also notifies the
contractor of any such failure. The inspector shall communicate in a timely manner with the
contractor or his representative regarding all such problems. The inspector documents all
matters related to the prosecution of the contract and the progress of the work as required for
payment in the project diary.
The inspector must follow the plans and specifications, acting as the authorized
representative of TxDOT to the contractor. When a dispute arises, the inspector has the
authority to reject materials or suspend work while the AE makes decisions on the issue.
Only the AE can approve or accept the work or issue instructions contrary to the plans and
specifications.
The inspector must not act as foreman, work for the contractor, or interfere with the
management of the work. Some specifications establish the method of doing the work. The
inspector must not tell the contractor how to do the work when the specifications do not
describe the methods.
Contractor’s Superintendent
The contractor appoints a capable employee to be the project superintendent. The project
superintendent must have full authority to receive instructions and direct performance of the
work according to the contract requirements. The superintendent will be in charge of all
construction operations regardless of whom actually performs the work and what amount of
work is sublet. The project superintendent must be capable of speaking English.
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Chapter 5 —
Section 2 — Work Documents
Section 2
Work Documents
Plan Quantities
The bid quantities are part of the plans. Item 5.3 of the Standard Specifications states:
It is the responsibility of the contractor to verify all quantities of materials shown
on the plans before ordering same, as payment is provided for acceptable materials
complete in place. The contractor will not be paid for material rejected due to
improper fabrication, excess quantity, or for any other reasons within his control.
In those cases where the AE determines that it is not within the control of the contractor to
check the accuracy of the quantities shown on the plans, the following applies:
If the contractor orders the quantity shown on the plans and the AE directs the
contractor to use less material, then the department may utilize a Change Order
(CO) to purchase the excess material at the contractor’s invoice cost.
Excess materials acquired by the state are handled by using the following procedures:
♦
The contractor suitably stores or stockpiles materials and the materials meet
specifications at the time the contractor turns them over to the state.
♦
A duly executed CO between the state and the contractor shall cover the acquisition.
♦
After completion of the CO and the work, make payment to the contractor by including
the agreed compensation in the next estimate.
♦
If the materials are not to be used on the contract involved, then charge the cost to the
district stock account.
The AE should not accept materials that do not have potential TxDOT use unless
contractually obligated to do so. Refer to Receipt from Contract in Chapter 7 of the
Materials and Supply Management System (MSMS) Users’ Manual for more instructions on
transactions involving materials.
Note: When purchased materials are not used on the federal-aid project, note the material
cost as “non-participating” on the final estimate and/or the CO.
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Chapter 5 —
Section 2 — Work Documents
Traffic Control
Warning and regulatory signs called for in the traffic control plan shall be erected at the
appropriate locations. Signs should be used only when necessary. Signs placed prior to their
need must be covered and not remain in place longer than necessary. The timing of erection
and removal of signs should be discussed at the pre-construction conference.
Standard traffic signs that are well maintained and properly used will not only promote
public safety, but will gain the respect of the traveling public.
For more information on temporary traffic control for construction areas, go to
http://crossroads/org/trf/TRFTEPS2/cwztcd.pdf. For more information on construction speed
zones, see the Procedures for Establishing Speed Zones.
Regulatory speed limit signs shall be erected in the construction zone to designate only the
limits of the roadway section where speed reduction is necessary for the safe operation of
traffic and protection of construction personnel. Even though the entire length of the project
may have a reduced maximum speed limit authorized by Commission Minute Order or
City/County Ordinance, reduced speed limits are in effect only within the limits between the
erected speed limit signs. Regulatory speed zone signs must have an applicable Commission
Minute Order or City/County Ordinance.
Advisory speeds are the desirable speeds for curves, intersections, or other locations where
design standards or physical conditions of the roadway restrict safe operating speeds to
values less than the maximum legal speeds or posted regulatory speed limit. Advisory speed
signs may be erected within a regulatory speed zone to advise drivers of a safe operating
speed to negotiate roadway features. A Commission Minute Order or city ordinance is not
required for advisory speed zones. Therefore, advisory speed zones are more flexible as they
can be changed without revising existing commission minutes or ordinances.
For more information on construction speed zones, see
Procedures for Establishing Speed Zones volume of the Traffic Operations Manual
collection.
When reduced construction speed limits are not necessary for the operation in progress,
construction speed limit signs should be made inoperative by removing the signs. The speed
limit signs erected on posts must be properly covered at all times when the reduced speed
limits are not necessary. Locations of speed zone signs shall be set by the AE.
All traffic control devices are to be properly maintained, legible at all times, and in
conformance with the plans, specifications, the Texas Manual on Uniform Traffic Control
Devices for Streets and Highways (TMUTCD ), and the Traffic Signals Manual volume of
the Traffic Operations Manual collection.
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Chapter 5 —
Section 2 — Work Documents
Working Drawings
Specifications may require the contractor to furnish working drawings such as shop
drawings, supplementary bridge plans, or erection drawings for bridge structure
components, sign supports, illumination facilities, and other items. A Licensed Professional
Engineer will sign, seal, and date working drawings according to Item 5.3 of the Standard
Specifications. Handle the review and approval of these drawings and other required
information according to instructions found in the specifications.
Examples of Working Drawings
Drawing
Bridge structure components
Overhead sign supports
Signal poles
All lighting poles
High mast poles
High mast assemblies
Roadside sign supports
Brochures-electrical matters, etc.
Authority
According to instructions found in the specifications
Design Division (DES)
DES
AE or district office
DES
Traffic Operations Division (TRF)
AE or district office
TRF
Distribution of Shop Drawings
Drawings approved by the AE or district office are distributed as follows:
Number of Copies
2
1
1
1
Distribution of Shop Drawings
Destination
Materials & Pavements Section of CST
Contractor
Responsible division
Fabricator
Coordination of Contract Documents
Contract documents are prepared to promote agreement between the various parts of the
plans and specifications that control the work. In cases of disagreement between the plans
and specifications, the following will govern in descending order:
♦
Special Provisions
♦
Plans
♦
•
figured dimensions
•
scaled dimensions
Standard and Special Specifications.
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Chapter 5 —
Section 3 — Staking and Surveying the Project
Section 3
Staking and Surveying the Project
Overview
Construction stakes are set to establish lines and grades for roadway work. They also
establish centerlines and benchmarks for bridge layouts. These stakes will be set sufficiently
in advance of the work to avoid delay of the project. Item 5.7 of the Standard Specifications
outlines the general staking methods for construction projects.
Construction Staking Method A
Unless otherwise shown on the plans, Method A shall be used.
In Method A, the AE provides control points throughout the project for the contractor. The
contractor sets construction stakes and is responsible for the correctness of alignment,
elevation, and position of all construction required by the contract. The contractor shall
provide a qualified and experienced work force to perform this work. The contractor shall
keep the AE informed a reasonable time in advance of the time and place he intends to
work, so that measurements may be made as necessary for the record and for determination
of pay quantities. The contractor shall furnish all stakes and other materials necessary to
preserve these control points.
The AE may, at his/her option, make spot or complete checks on all construction alignment
and grades to determine the accuracy of the contractor’s survey work. These checks,
however, will not relieve the contractor of his responsibility for the correctness of alignment,
elevation, and position of all construction as shown on the plans or approved changes.
Construction Staking Method B
In Method B the AE shall set construction stakes necessary for establishing the correctness
of alignment, elevation, and position of all construction required by the contract. The
contractor shall furnish, at his expense, additional stakes and other materials necessary for
marking and maintaining points and lines.
Responsibility of the Contractor
In both methods, the contractor is held responsible for the preservation of all stakes and
marks established by the AE. If, in the opinion of the AE, any of the stakes or marks have
been carelessly or willfully destroyed or disturbed by the contractor, the cost of replacement
will be deducted from any money due or to become due the contractor.
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Chapter 5 —
Section 3 — Staking and Surveying the Project
Contractor Survey Work
Unless otherwise shown on the project plans, the contractor is responsible for setting
construction stakes for the alignment, elevation, and position of all construction on a project.
See Item 5.7 of the Standard Specifications for further information.
When the contractor is doing the surveying on a project, the AE must provide two copies of
the earthwork cross sections and two copies of the computer printouts of the Design Cross
Section List. The Design Cross Section List will be available when the interactive computer
graphic system develops the earthwork sections.
Area Engineer Survey Work
When shown on the plans, the AE is responsible for setting all construction stakes and
points on a project. See Article 5.7 of the Standard Specifications.
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Chapter 5 —
Section 4 — Inspections
Section 4
Inspections
Inspection by the Department
The AE inspects the work to determine if performance is according to the plans and
specifications. The contractor furnishes the AE with every reasonable facility to safely
expedite the inspection operations. The contractor advises the AE in advance of the
proposed construction work so the AE can inspect the work. Where practical, the AE
provides suitable inspection as the work is being done. Item 5.8 under “Authority and Duties
of Inspectors” provides that such inspection does not relieve the contractor from any
obligation to do the work according to the requirements of the specifications. However, this
part of the specifications is not justification for inadequate, unsuitable, or negligent
inspection.
Defective and Unauthorized Work
The contractor will correct or remove and replace all rejected work with acceptable work.
Otherwise, the AE has the authority to cause the correction of defective work, its removal
and replacement, or removal of unauthorized work using department resources. The AE will
deduct the cost to the department from any money due to the contractor.
The contractor may work beyond the lines and grades given or shown on the plans with the
approval of the AE. If the contractor does any extra work without written authority, it will
be at the contractor expense.
Inspection by Outside Organizations
The AE is responsible for inspection of a construction project and for determining
compliance with the contract provisions. Other organizations, both inside and outside the
department, may visit a project to review the work or project records. Review of project
records by private individuals or organizations is subject to the Public Information Act. Any
request must be in writing. See Chapter 4, Section 2 ‘Public Information Act’ for
instructions.
The Texas Architectural Barrier Act of 1991 (http://www.license.state.tx.us/ab/abfaq.htm)
gave the Texas Department of Licensing and Regulation (TDLR) authority of architectural
barriers. It is the policy of TxDOT to construct pedestrian facilities that are accessible to
persons with disabilities to the maximum extent feasible and to comply with the Americans
with Disabilities Act (ADA) (http://www.usdoj.gov/crt/ada/adahom1.htm). In order to
accomplish this, coordination is required between TxDOT and TDLR for S&E submission
and review of projects for compliance with the spirit of the Texas Architectural Barriers Act
and the guidelines established in the Texas Accessibility Standards (TAS)
(http://www.license.state.tx.us/ab/tas/abtas.htm).
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Chapter 5 —
Section 4 — Inspections
District personnel need to refer to the project plans title sheet for a note which states "TDLR
Inspection Required," indicating that the project needs to be inspected by TDLR
representatives during the construction phase. This serves as a reminder to construction
personnel to inform TDLR staff and coordinate an appropriate time for visiting the site and
inspecting pedestrian-related elements.
Districts will need to schedule a TDLR inspection two weeks prior to completion of the
work. Districts should not contact a local Independent Contract Provider to schedule the
inspection. All requests are to be submitted to TDLR in Austin. To request a TDLR
inspection:
1.
Complete a TDLR Inspection Request Form. The TDLR project number (EABPRJ#)
can be found on the TDLR review comments transmitted to the District from DES.
2.
Fax the form to TDLR.
3.
If arrangements for the inspection or the inspection itself have not been conducted
within two weeks, notify the Project Management Branch of CST for assistance.
Inspections conducted by TDLR are based on the TAS of the Architectural Barriers Act,
Article 9102, Texas Civil Statutes (http://www.license.state.tx.us/ab/tas/abtas.htm#1.3).
Such inspection does not make the TDLR a party to the contract between TxDOT and the
contractor.
Non-Exempt Federal-Aid Projects
FHWA representatives periodically inspect projects financed with federal funds according
to the Federal-Aid Policy Guide (http://www.fhwa.dot.gov/legsregs/directives/fapgtoc.htm).
Such inspection does not make the FHWA a party to the contract between the department
and the contractor.
When the FHWA representative reports to the district for the usual inspection of
construction projects, the AE may make arrangements with the representative to observe
project and independent assurance sampling and testing. However, the contractor’s normal
operations can not be delayed due to securing either type of samples. In addition, the AE
will maintain a complete file of the results of all tests performed and make them readily
available for inspection by FHWA representatives.
It is very important to inform the FHWA’s representative at the early stages of CO
preparation when the FHWA must give advance approval before the contractor starts work
covered by the change order (refer to major-minor change order definition). This early
involvement can improve department and FHWA relationships and speed up the CO
approval process.
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Chapter 5 —
Section 4 — Inspections
Exempt Federal-Aid Projects
On October 1, 1992, according to the options and provisions of the Intermodal Surface
Transportation Efficiency Act of 1991 (ISTEA) (http://ntl.bts.gov/DOCS/ste.html), TxDOT
assumed responsibility for certain federal-aid projects. FHWA and TxDOT have agreed that
the department assumes FHWA responsibilities of the program, design, and inspection on
these projects. Day-to day inspection of these projects will remain the responsibility of the
district through project completion. On December 1, 1995, responsibility for project review
and acceptance of exempt federal-aid (state oversight) projects for federal participation was
transferred from the Construction and Maintenance Division (now the Construction
Division) to the districts. Each district developed its state oversight review program. This
program is to insure that all state oversight projects are constructed in reasonably close
conformance with the approved plans, specifications, COs and that all pertinent FHWA
regulations and policies are followed. CST, in conjunction with FHWA, has developed a
Suggested State Oversight Project Review Plan.
State oversight duty is required not only on exempt federal-aid construction projects that go
through the CST letting process, but also on any project that has federal money and has been
exempted from FHWA oversight. Such projects may fall under one of the following
categories:
♦
Emergency Relief (ER)
♦
Congestion Mitigation (CM or CMAQ*)
♦
State Force Account Work
♦
Enhancement Projects.
*CM or CMAQ – Congestion Mitigation and Air Quality Improvement Program
(http://www.fhwa.dot.gov/tea21/factsheets/cmaq.htm).
Form FHWA1446 is completed and submitted to FHWA for all exempt federal-aid projects.
Effective December 1, 1995, the districts are also responsible for determining FHWA
participation for COs, time suspensions, and time extensions (TE) for exempt federal-aid
projects.
CST is responsible for the construction oversight program’s overall effectiveness in
complying with TxDOT and FHWA requirements. CST will monitor the construction
oversight program by reviewing and approving District programs. Once CST concurrence
has been provided, the District office will be responsible for adhering to and ensuring
compliance with the approved program.
State Projects
The department is responsible for state projects, from beginning through final inspection.
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Chapter 5 —
Section 4 — Inspections
Final Inspection
Item 5.12 of the Standard Specifications requires the “Final Inspection” to be made after the
contract has been satisfactorily completed (with the exception of any performance periods)
and the “Final Clean Up” is performed as described in Item 4.7. It further requires “Final
Acceptance” to be given if the work is found to be satisfactory (with the exception of any
performance periods).
To accomplish this, the AE notifies the District Construction office when the project is
satisfactorily completed. The District Construction office shall conduct a "Final Inspection"
within ten (10) days after such notification. No time charge will be made against the
contractor between the date of satisfactory completion and the date of the “Final
Inspection.”
After the “Final Inspection,” if all the work is satisfactory, with the exception of any
performance period, a ‘Final Acceptance’ letter (Final) will be completed by the District
Construction office and sent to the contractor, informing them that the project has been
accepted and they are released from further maintenance responsibilities. As further
stipulated in Item 5, the “Final Acceptance” will not release the contractor from
responsibility for all items, materials or equipment requiring performance test periods or
final measurements unless otherwise shown in the contract. To facilitate “Final Acceptance”
the district should provide a checklist of deficiencies prior to the completion of construction.
In any case, barricades should be removed and time charges suspended when work in the
field is complete.
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Chapter 5 —
Section 5 — Post Construction Evaluation
Section 5
Post Construction Evaluation
Overview
The primary purpose of the post-construction Evaluation Form is to document the quality
and constructability of a provider's design plans prepared under a given TxDOT contract.
The following process applies to firms that have contracted directly with TxDOT:
♦
Two post-construction evaluations are conducted, one by the Construction Project
Manager and one by the Project Manager responsible for the design contract.
♦
The Post Construction Provider Evaluation refers to the evaluation performed by the
Construction Project Manager.
♦
The Provider Performance Evaluation refers to the evaluation performed by the Design
Project Manager responsible for administering the professional services contract under
which the provider developed the design work.
♦
Using the Post Construction Provider Evaluation, the Construction Project Manager
evaluates a provider's quality of design plans and impact on the use of change orders to
correct deficiencies. The original evaluation is sent to the construction file and a copy is
sent to the District Design Office. The District Design Office forwards the evaluation to
the Design Project Manager.
♦
The Design Project Manager uses the Post Construction Provider Evaluation to prepare
a Provider Performance Evaluation to document the constructability and quality of
design plans based on actual construction.
♦
If the Post Construction Provider Evaluation is negative and/or shows that the change
orders were issued because the provider's design was deficient, the Design Project
Manager’s Provider Performance Evaluation will document this deficient work. Also,
the Design Project Manager may initiate the errors/omission procedures (following DES
guidance) to determine the provider's liability. The Post Construction Provider
Evaluation may be used as the initial basis for assessing liability.
If the Post Construction Provider Evaluation is positive and shows that the quality of the
provider's design was excellent, the Design Project Manager's Provider Performance
Evaluation will document the outstanding work.
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Chapter 6
Control of Materials
Contents:
Section 1 — Material ............................................................................................................6-3
Section 2 — Material Testing ...............................................................................................6-8
Section 3 — Buy America ..................................................................................................6-15
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Chapter 6 — Control of Materials
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TxDOT 11/2002
Chapter 6 — Control of Materials
Section 1 — Material
Section 1
Material
Background
Control of materials is a necessary and important part of every construction project. It
involves the AE's field laboratories, the district laboratory, the Materials & Pavements
Section’s laboratory, and commercial and manufacturer’s laboratories. The Materials &
Pavements Section of the Construction Division (CST M&P) correlates the results of the
work of these various organizations. For CST M&P to do this, computer Report CIS36
(District Sourcing Letter listing material suppliers) must be posted at the earliest possible
time so proper arrangements can be made for sampling and testing of the various materials.
The contractor should order materials sufficiently in advance of related work to allow
enough time for sampling and testing. The contractor identifies the project and the
specification item number on all material orders.
The AE accepts only those materials that comply with the specification requirements. The
AE maintains records of the test results to substantiate acceptance or rejection of the
materials. Both failing and passing tests are recorded, with documentation of the disposition
of the failing material; that is, reworked, re-tested, disposed of, etc.
Many specifications provide tolerances, which allow the AE to accept work. Specification
tolerances will be applied unless the plans state otherwise.
The specifications identify which test is used for each material. The sampling and control of
materials are in the Manual of Testing Procedures and Guide Schedule of Sampling and
Testing.
Sample materials for testing at the locations and frequencies shown in the Guide Schedule.
The test procedures do not generally specify sampling points. Area personnel are responsible
for establishing locations to receive the samples when there are no established sites. The AE
notifies the contractor of the point of sampling as soon as possible to provide the contractor
a better opportunity to make corrections when the materials do not meet the specifications.
Stockpiled materials must be determined acceptable prior to payment as material-on-hand.
Item 6.1 of the Standard Specifications states:
All materials being used are subject to inspection or tests at any time during
preparation or use. Any material which has been tested and accepted at the source
of supply may be subjected to a check test after delivery, and all materials which,
when re-tested, do not meet the requirements of the specifications will be rejected.
The method and location of sampling materials should be consistent and uniform. The AE
can retest accepted materials if the material shows visible changes, does not conform to
specifications, or if further testing is called for by the specifications or Guide Schedule. CST
M&P Material Inspection Guide contains additional material specific information on the
sampling and testing responsibilities of the districts and CST M&P.
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Chapter 6 — Control of Materials
Section 1 — Material
Material Source Information
The AE should obtain accurate and complete material source information per Standard
Specifications Item 6, “Control of Materials” before granting approval to the source supplier
for all materials to be used on the project. All materials should be sourced to their original
generation location.
Materials utilized in the project must be free of any hazardous material. If materials
delivered to the project are found to be contaminated, the material shall be removed and
disposed of by the contractor (Standard Specifications Item 8.10, Hazardous Materials). It
should be noted that while some contaminated materials may be easily identified by visual
observation or smell, others may not. If there are concerns or doubts about a material’s
contamination potential, full disclosure of the source of supply may yield answers about the
material’s quality. The AE should note that Standard Specification Article 6.2 states “When
requested, the Contractor shall furnish a complete written statement of the origin,
composition and/or manufacture of any or all materials that are to be used in the work.”
Materials containing recycled hazardous waste are not allowed. "Hazardous waste" is a
regulatory term defining wastes that contain certain chemicals of concern over specified
concentration limits. However, a non-hazardous recyclable material may be acceptable for
use if it meets the engineering specifications of the material it is replacing and it meets the
environmental criteria specified in DMS-11000, "Guidelines for Evaluating and Using
Nonhazardous Recyclable Materials (NRMs) in TxDOT Projects." The AE should note that
although non-hazardous recyclable materials are not "hazardous waste" by definition, they
may contain chemicals of concern (i.e. they may be contaminated) and could present a
problem for TxDOT depending on their use. For this reason, it is important that the AE
identifies such materials and ensures they are appropriately evaluated in accordance with
DMS-11000. Contact the Environmental Affairs Division, Hazardous Materials
Management Section or the General Services Division’s Recycling Coordinator for
information relating to DMS-11000 and using non-hazardous recyclable materials in
TxDOT projects.
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Chapter 6 — Control of Materials
Section 1 — Material
Local Material Sources
Local material sources are secured for project use as either Required or Listed sources. See
the Right-of-Way Division manuals for necessary procedures and forms for acquiring an
option on a material source.
Local material sources are “Required” when the contractor must use material from sources
shown on the plans. The department assumes full responsibility for the quantity of
acceptable material available in the source. Another source will be provided if the required
source cannot produce enough acceptable material.
The contractor will be paid for all additional costs for producing material from a new source.
This payment may include the cost of dismantling, moving, and reassembling equipment,
additional haul, and additional costs in producing the material if such costs are determined.
Local material sources are “Listed” when the department has secured options or easements
on sources which allow access to the source for testing and material removal by the
successful bidder. However, the department takes no responsibility for the quantity of
acceptable material in the source. Securing options to listed sources promotes competition
by preventing any firm from getting exclusive rights to a potential source.
The contractor makes investigations to determine the quantity of acceptable material
available. The AE makes the results of all source testing available to the prospective bidders.
The contractor must provide acceptable material from either the listed source or another
source at no additional cost to the department. The department is not liable for additional
costs when a listed source does not provide a sufficient quantity of acceptable material.
Material Certification from the Contractor
Material certifications provided by the contractor may provide the basis for accepting certain
materials. The manufacturer must furnish a material certification to the department through
the contractor. Examples of such materials include cement, lime, concrete admixtures,
electrical cable, etc. The specifications may require including certain detailed information
with the certification.
Royalty Payments
Handling royalty payments is the same for both the required and the listed sources, except in
unusual and specific cases for the listed sources. The contract may require the contractor to
negotiate royalty payments with the owner of a listed source.
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Chapter 6 — Control of Materials
Section 1 — Material
Use of Designated Materials
Some project specifications require a contractor to use state-owned material, such as
material from a Reclaimed Asphalt Pavement (RAP) stockpile. The department assumes full
responsibility for the quantity and quality of acceptable material. If designated material is
unacceptable, the contractor is paid for any justifiable additional cost in securing acceptable
material through a change order.
Storage of Materials
Materials are often sampled and tested before storing. Good storage facilities must be
provided to ensure that the material does not deteriorate. The AE has the authority to
approve the storage facilities. The AE may require covers, wooden platforms, hard clean
surfaces, or any combination of these. Any material that becomes unfit for use due to
improper storage will be rejected.
Stockpiling of Aggregates
Aggregates are stockpiled for various purposes. Stockpiled aggregates for surface
treatments, Portland cement concrete, and asphaltic concrete ensure a ready supply and an
orderly progress of the work. These materials are often sampled for testing at the stockpile
site. If the material is accepted, the contractor is responsible for maintaining the quality of
the stockpiled material. Incorrect or careless handling of accepted and stockpiled material,
which results in excessive degradation, segregation, or contamination, will be justification to
re-sample and retest. If the tests fail, the AE rejects the material. For materials prone to
degradation during handling, a general note requiring acceptance sampling from the
windrow is recommended.
Some materials may vary widely but remain within the specification requirements; however,
it would be difficult to construct a uniformly good subbase or base under such conditions.
When the material varies widely, stockpiling can improve uniformity.
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Chapter 6 — Control of Materials
Section 1 — Material
Purchasing Excess Materials
Excess materials acquired by the state are handled by using the following procedures:
♦
The contractor suitably stores or stockpiles materials and the materials meet
specifications at the time the contractor turns them over to the state
♦
A duly executed CO between the state and the contractor shall cover the acquisition
♦
After completion of the CO and the work, make payment to the contractor by including
the agreed compensation in the next estimate
♦
If the materials are not to be used on the contract involved, then charge the cost to the
district stock account.
The AE should not accept materials that do not have potential TxDOT use unless
contractually obligated to do so. Refer to Receipt from Contract in Chapter 7 of the
Materials and Supply Management System (MSMS) Users’ Manual for more instructions on
transactions involving materials.
Note: When purchased materials are not used on the federal-aid project, note the material
cost as “non-participating” on the final estimate and/or the CO.
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Section 2
Material Testing
Testing of Materials
Sampling and testing of materials used on the project can be divided into the following tests:
♦
♦
Project Tests
•
acceptance
•
monitoring
Independent Assurance Tests.
The following table identifies actions and responsibility for the different types of tests.
Type of Test
Project:
Acceptance
Project:
Monitoring
Independent
Assurance (IA)
Actions and Responsibility for Tests
Results
Action
Pass or Fail
Passing material is acceptable.
Failing material is:
♦ Rejected and replaced OR
♦ Reworked and re-tested OR
♦ Accepted at reduced price for specific
items only.
Pass or Fail
Passing material is acceptable.
AE may accept failing material; however,
contractor must modify process to bring
product into a passing condition.
Meets tolerance District Laboratory compares Independent
or does not meet Assurance test to acceptable tolerances
tolerance
established in the Quality Assurance
Program for Construction, and documents
results of comparison. If result is out of
tolerance, AE determines cause and takes
remedial action.
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Test Performance
Usually in AE
laboratory; other cases,
district laboratory, CST
M&P’s laboratory or
outside laboratory.
Usually in AE
laboratory; in other
cases, district laboratory
or outside laboratory.
Any qualified
laboratory. NOTE: If IA
testing is performed by a
non-TxDOT laboratory,
the laboratory must be
accredited by the
AASHTO Accreditation
Program. The same
technician must not
perform both the project
and IA test.
TxDOT 11/2002
Chapter 6 — Control of Materials
Section 2 — Material Testing
Test Methods and Testing Equipment
When department specifications refer to specifications from outside the department,
department bulletins, or test methods, they become a part of the contract and must be
followed.
All the testing equipment must be in good working order as required by CST M&P test
methods. In addition, a qualified laboratory technician will make an independent check or
calibration on each piece of testing equipment used on project testing at least once each year
or as required by CST M&P. Examples of equipment needing calibration include, but are
not limited to, beam breakers, air meters, nuclear gauges, volumeters, and scales. Each piece
of testing equipment or a proper document attached to a piece of testing equipment should
display the date of the last check or calibration. Calibration documentation must be
maintained in accordance with the requirements described in the Quality Assurance Program
for Construction, Laboratory Qualification Program.
Project Tests
The AE uses two types of project tests – acceptance and monitoring tests – to verify whether
the material conforms to the specifications.
Acceptance Tests
Acceptance tests determine if the quality of the materials or the quality of the construction
work produced conforms to the plans and specifications. Normally, the AE is responsible for
the acceptance tests. When an acceptance test fails select one of the following solutions:
♦
Reject and remove
♦
Rework, then retest for acceptance
♦
Accept and adjust the unit price as provided by the specification.
Monitoring Tests
Monitoring tests determine the need for adjustment of the contractor’s operations, including
material adjustments or changes. Normally, the AE is responsible for the monitoring tests.
When a monitoring test fails, the contractor adjusts the operations to comply with the plans
and specifications. The AE does not reject and remove materials or products represented by
a failing test unless the AE determines that it is clearly unacceptable for the purpose
intended.
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Independent Assurance Program
The aim of the Independent Assurance (IA) Program is to ensure the accuracy of the:
♦
procedures and techniques of the project sampling and testing personnel
♦
equipment used by the project personnel.
In order to accomplish these goals, the department employs the system approach.
System Approach
The system approach is used for all items for which the tester, laboratory and testing
equipment are qualified. In order to use the system approach, testing personnel, laboratories,
and equipment must be qualified under the procedure found in the Quality Assurance
Program for Construction (QA).
The intent of the system approach to the Independent Assurance (IA) program is to assure
that testing personnel and equipment are capable of performing project tests properly. The
primary objective is to reduce the amount of testing required as compared to the project
approach. The system approach will permit TxDOT to fulfill the requirement for an IA
program by implementing a schedule of activities to cover equipment operation and tester
competence. If testing personnel and equipment are qualified according to the Quality
Assurance Program, it is assumed that the project test results are accurate and that no IA
tests are required.
IA sampling and testing shall be performed by split or proficiency samples at the frequency
established in Frequency for System Approach Independent Assurance Testing. Material is
not accepted or rejected based upon the results of IA testing.
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Referee/Split Sample
The referee/split sample procedure confirms the correlation between tests performed in
different laboratories. Such procedures may be used on many different materials. This
procedure serves as a check on the testing techniques and procedures of the personnel and
equipment at the project laboratory, and may be used on many different materials. This is an
excellent method to ensure the reliability of project testing. Additional split samples are
taken in the event of laboratory personnel changes or for wide variations between the project
tests. Some independent sampling is required to test the accuracy of the sampling method.
As an example, referee/split samples are taken for the Liquid Limit and Plasticity Index
(P.I.) tests in addition to normal testing in the early stages of projects containing large
quantities of flexible base.
Note: The sample should be split by project personnel who will perform project acceptance
tests on a portion of the sample.
Forms and Reports to be Submitted to Austin
The AE will complete and send the following forms and reports to the proper division in
Austin:
Forms and Reports to be Submitted
Form No.
Form Title
Reference Publication
Form168
Pile Record
Construction Bulletin C-8 – Pile Driving Manual
Form181
Test Pile Data
Construction Bulletin C-8 – Pile Driving Manual
Form1276
Drilled Shaft Records
Construction Bulletin C-9 – Drilled Shaft Manual
Form269*
Monthly Record of Material Received CST M&P, Operations Manual
Form107*
Final Summary of Material Tested
CST M&P, Operations Manual
202-97
Identification of Material Samples
CST M&P, Operations Manual.
517
Tag Envelope
CST M&P, Operations Manual
*Required only if the contract is not on computer (such as emergency contracts).
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Forms and Reports Not To Be Submitted to Austin
The AE will complete the following forms or equivalent substitutions, according to
instructions issued by the district engineer:
Forms and Reports Not to be Submitted
Form No.
Form Title
Reference
187
Daily Road Report – Asphalt
Construction Records to Support Pay Quantities of
Work Done on Contract Construction Projects
309
Concrete Design Work Sheet – Natural
Aggregates
310
Field Laboratory Aggregate Sieve
Analysis Report
311 Rev. Daily Road Report – Concrete Pavement
312 Rev. Field Laboratory Report for Concrete
356 Rev. Concrete Design Report
360
Soil Laboratory Mechanical Analysis of CST M&P, Test Method “Tex-110-E, Particle Size
Soil and Base Course Aggregate
Analysis of Soils.”
404 Rev. Daily Construction Report: Asphaltic
* Not required when automated hot mix program is
Concrete Pavement
used.
476A
Soils and Base Materials Test Report
CST M&P, Operations Manual . This form may be
obsolete for the users.
1644
Asphaltic Concrete Centrifuge
CST M&P, Test Method “Tex-210-F, Determining
Extraction Work Sheet
Asphalt Content of Bituminous Mixtures by
Extraction.”
1645
Asphaltic Concrete Vacuum Extraction CST M&P, Test Method “Tex-210-F, Determining
Work Sheet
Asphalt Content of Bituminous Mixtures by
Extraction.”
481
Cumulative Mechanical Analysis
CST M&P, Test Method “Tex-110-E, Particle Size
Analysis of Soils.”
1748
Worksheet for Test Method “Tex-104-E, CST M&P, test methods “Tex-104-E, Determining
Liquid Limits of Soils, Tex-105-E, Determining Plastic
Determining Liquid Limits of Soils”
Limits of Soils” and “Tex-110-E, Particle Size
♦ (1748-1) for 1-point method
Analysis of Soils.”
♦ (1748-3) for 3-point method
♦ (ex1748) to see an example of 3point method worksheet
544 Rev. Asphaltic Concrete Sieve Analysis
Worksheet
545 Rev. Asphaltic Concrete Data Sheet on
Molded Specimens and Road Samples
1062
Triaxial Test Data Sheet (1062)
CST M&P, Test Method “Tex-117-E, Triaxial
Compression for Disturbed Soils and Base Materials.”
590
Weekly Summary of Embankment
May be used as construction records to support pay
Subbase or Base Material Tests Results quantities of work done on contract construction
project. No longer required.
596
Concrete Batch Tickets
Cement Factor Curve
Construction Bulletin C-11
Pilot Strength
Construction Bulletin C-11
Density Stability Curve
Construction Bulletin C-14
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Portland Cement Concrete Plant Inspection
A department inspector will be present at the concrete batch plant when batching concrete
for:
♦
Bridge decks
♦
Concrete with high range water reducer
♦
Concrete for post tensioned members
♦
Mass concrete with temperature control
♦
Critical concrete such as latex-modified concrete
♦
Instances when the maturity method is used for estimating concrete strength
♦
Instances specified by the AE.
The inspector will ensure:
♦
Practices, such as stockpiling and loading at the plant, contribute to maximum
uniformity and durability
♦
Only materials conforming to the specifications are used
♦
Batching and mixing practices are satisfactory.
CST M&P’s Quality Monitoring (QM) Programs
The “Quality Monitoring (QM) Programs”were created by CST M&P to improve efficiency
of TxDOT operations. The QMP provides the requirements and procedures for CST M&P to
accept products that have demonstrated continuing quality and uniformity. The QMP allows
the districts to use materials from rated sources qualified through QMP without project
specific testing by CST M&P. The districts need to subject only Aggregate Quality
Monitoring Program (AQMP) materials to job control tests for final acceptance.
The kinds of qualified materials currently covered by the QMP include aggregate, lime,
cement and steel. Test Method “Tex-499-A, Aggregate Quality Monitoring Program,” for
example, is designed to provide continuous quality assurance of aggregate products,
including:
♦
Quality monitoring of aggregate products representing normal production at a single
source
♦
Statistical evaluation of recent aggregate quality test histories
♦
Expediency in aggregate quality acceptance and optimized resource utilization by
reducing aggregate acceptance on a test-prior-to-use basis. Aggregate suppliers are
added to AQMP based on test history of aggregate products used on TxDOT projects.
To obtain detailed information and rules regarding the Quality Monitoring Program for
specific materials, please refer to the Materials Directory in CST M&P’s on-line Operations
Manual or contact CST M&P.
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Chapter 6 — Control of Materials
Section 2 — Material Testing
Guide Schedule of Sampling and Testing
Guide Schedule tables (English or Metric) apply to all construction contracts. The frequency
of tests shown in these tables is the minimum acceptable. The AE may perform additional
testing as necessary.
The type of tests shown in the schedule are project tests. A description of this test appears
earlier in this section. The department or independent laboratories employed by TxDOT will
conduct testing except when shown on the plans. Contractor-performed QC sampling and
testing may be used as part of the acceptance decision when required or allowed by
specification (currently, allowed only in QC/QA hot mix), and the conditions described in
the Acceptance Program are met. In all other cases, contractor testing is for information only
at the contractor’s expense, and such testing will not replace testing done by the department.
The FHWA requires submission of a list of exceptions for the material certification. When a
non-exempt federal-aid project test fails but the product is accepted, document the reasons
for acceptance on the ‘Letter of Certification of Materials Used’ (Material). Do not include
failing material which has been reworked, re-tested, and meets the specifications in the list
of exceptions.
For exempt federal-aid (SLOA) projects and state projects, the AE should document in the
project file the justification and explanation for acceptance of materials that fail project tests.
Automated Guide Schedule
A computer program, Autoguide, which computes the required number of tests based on the
“Guide Schedule of Sampling and Testing,” is available from CST M&P.
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Chapter 6 — Control of Materials
Section 3 — Buy America
Section 3
Buy America
Overview
"Item 6, Control of Materials," Article 6.1. 'Sources of Supply and Quality of Materials,'
requires that:
All manufacturing processes for steel or iron materials, or for the"action of
applying a coating" to these materials (i.e., epoxy coating, galvanizing, painting,
and any other coating that protects or enhances the value of the steel or iron
material) permanently incorporated into the finished project must occur in the
United States.
This specification requirement, however, allows a minimal use of foreign materials.
The Buy America Documentation Program became effective August 1, 1993 for all TxDOT
projects. A comprehensive overview of the program can be found in the CST M&P's
Material Inspection Guide.
In the event a supplier is possibly providing improper or falsified documentation, the
TxDOT entity responsible for acceptance of the material (division or district warehouse,
project engineer, General Services Division and/or CST M&P) shall notify the supplier in
writing regarding the problem and take appropriate action. The Texas Attorney General's
Office must be notified of major violations.
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Chapter 7
Change Orders
Contents:
Section 1 — Changes in Work..............................................................................................7-3
Section 2 — Change Order Approval Policy and Process..................................................7-10
Section 3 — Additional Agreements ..................................................................................7-16
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Chapter 7 — Change Orders
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Section 1 — Changes in Work
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Section 1
Changes in Work
Significant Changes In the Character of Work
It is the intent of TxDOT to amend contracts whenever a significant change in character of
work occurs.
The engineer has the right to make necessary changes in quantities or alterations in the
work, in writing and at any time, to satisfactorily complete the project. As agreed in the
original contract, the contractor shall perform the work as increased, decreased, or altered. If
changes or alterations significantly change the character of the work under the contract, a
Change Order (CO) must be approved before beginning the changed or altered work.
Item 4.2 of the Standard Specifications defines the condition of significant change. The term
“significant change” shall apply only to the following circumstances:
♦
When the character of the work as altered or changed differs materially in kind or
nature from the original proposed construction, or
♦
When a major item as defined below is increased in excess of 125 percent or decreased
below 75 percent of the original contract quantity.
A major item is defined as any individual bid item included in the proposal that has a total
cost equal to or greater than 5 percent of the original contract or $100,000.00, whichever is
less. Note that a major item at the time of bid will remain a major item. An item that is not
originally a major item does not become one through overruns, COs, etc.
Change Orders
Area office personnel prepare CO’s using the guidelines in this chapter. CO’s are used when
revisions, additions, or deletions to the work are necessary. Changes are made due to error
or omission in the plans, differing site conditions, adding a specification, resolving a dispute,
changing the sequence of work, etc. CO’s with original signatures are routed to CST for
further handling.
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Preparation of Change Orders
The CO must show all information and quantities about the proposed change. The contractor
will not be allowed to start the proposed work until the department approves the CO. A
performance bond is not required if the CO amount increases the contract cost above the
$100,000 requirement. The AE prepares the CO as described in the following table:
Step
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Preparing Change Orders
Action
Number each CO consecutively.
Insert the contractor’s name as it appears in the contract (do not reuse CO numbers).
Reference the controlling control-section-job number (CCSJ) on a project containing several
control-section-jobs (CSJs).
♦ Costs are usually prorated to all CSJs in the contract.
♦ When changes apply to a specific CSJ on the CO, mention it in the transmittal memo to the
Contract Administration Branch of CST.
Show the limits of the proposed change in station-to-station numbers.
Indicate if a change is major or minor according to the definition in this manual for federal-aid
non-exempt projects.
State the reason(s) for the CO listing the primary reason(s) if needed. Refer to CO6-02 (Code
Chart tab) for CO.
Describe clearly and concisely the work to be done and the necessity. If a TE is granted, state the
reason for granting time.
Show only those bid items involved in the change, plus any force account work, items,
quantities, or prices.
Attach a half-size copy of the applicable drawings.
If the granted time is part of the CO, number the TE consecutively.
Include a full explanation, including price justification on new bid items, for the proposed work
in the transmittal memo. There may be a delay of the CO approval until the explanation is
received.
If the CO involves third party funding, complete the funding information form, CO6-02 (3rd
Party Funding tab).
CO’s covering modifications to the original contract constitute a portion of the contract. All
CO’s must be signed by the contractor. The written statement in the contractor’s signature block
on the CO form shall not be used to deny the contractor legitimate additional compensation for
work beyond the scope of the CO or for work under the CO that was not apparent or predictable
at the time of CO execution.
Change Orders need to be sealed in accordance with the
Procedures for Sealing Engineering Documents outlined in the DES,
Project Development Policy Manual . District offices must ensure that originals of all change
orders are forwarded to CST to maintain contract files and the automated Contract Tracking
System (CTS).
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Project Cost Overruns
To better manage program funding, TxDOT will consider charging to the district bank
balance the cost of all Change Orders requiring administration's approval. Decisions are
made on a case by case basis.
When submitting CO's for approval, consider which bank balance category could be used
for financing the overruns. Upon approval, CST will be notified of the decision as to
whether or not to charge an overrun to the district bank balance, and will then coordinate
with DES for any necessary program adjustments. DES will coordinate with the affected
district and TPP for any necessary adjustments to the Design/Construction Information
system (DCIS).
Change Orders and TDLR Submissions
Texas Department of Licensing and Regulation (TDLR) will perform a site inspection on
projects submitted to them for PS&E review. TxDOT personnel need to keep TDLR
appraised of any changes that affect pedestrian elements on the same projects. The district is
responsible for determining whether the CO affects pedestrian elements. If it does, the
district needs to place the following note on the Change Order Form, under Item 5 “Describe
the work being revised.”
A copy of this Change Order must be sent to the Field Coordination Section of the Design
Division.
In order to help assure division coordination with TDLR, the district will need to explain in
the transmittal memorandum to CST the reason(s) for adding this note to the Change Order
Form.
Upon receipt of the Change Order, DES will consult with TRF and determine whether the
Change Order needs to be forwarded to TDLR for their information. If Change Orders result
in the cost of pedestrian elements rising to $50,000 or more, DES will contact the district to
obtain the information necessary to make full plans submission to TDLR.
For all projects, if any deviation from Texas Accessibility Standards (TAS) is discovered in
the field and it can not be corrected to attain compliance, a variance needs to be submitted
immediately through DES or TRF for processing to TDLR.
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Environmental Review of Change Orders
All proposed changes will be adequately analyzed with the District's environmental branch
for environmental considerations, obligations or commitments to other agencies.
Environmental clearance on any project is valid for the work described therein and shown
on the plans submitted for environmental clearance. The AE is responsible for consulting
with the District’s Environmental Coordinator for any work proposed in addition to
(especially project limit extensions), or as a deviation from that which has received
clearance. Significant changes could require amended or additional environmental clearance
or permits.
Change Order Transmittal
A transmittal memo must accompany a CO to provide additional information not contained
in the CO. An explanation is required when either the Assistant Executive Director for
Engineering Operations or FHWA must provide approval. The memo should include the
following:
♦
Who prepared the plans;
♦
Reason for the change;
♦
Status of the work;
♦
Price justification for newly added items;
♦
District and statewide average bid prices for newly added items; and
♦
Environmental clearance for added roadways.
Note: When the AE or the DE approves a CO for a state funded construction project, submit
only the CO form to CST.
Advanced Funding Agreements
An Advanced Funding Agreement (AFA) is used when some, or all, of a project’s funding
is from an outside source (third party). If a change in a project causes an increase in or a
need for third party funding, the district shall attach a completed 3rd Party Funding
Agreement (CO6-02, 3rd Party Funding tab). Signature of the District Engineer (or the
Designee) on the form indicates that third party funds have been arranged.
For detailed information about the Advanced Funding Agreements used for highway
improvements requested and funded by outside public entities, see Chapter 9 of the Contract
Management Manual prepared by the Contract Services Office.
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Force Account
The following requirements concern force account work performed by the contractor:
♦
When the CO provides for force account work (CO6-02, Contract Items, pg 1, pg 2), the
equipment description must list brand, year, model, serial number, type, size,
horsepower, or other identification.
♦
Establish equipment rates and operating costs using the Rental Rate Blue Book, based
on the above description. See Item 9.4 of the Standard Specifications. When it is
necessary for a contractor to rent equipment, payment will equal the actual invoice cost.
If the invoice cost is excessive, the AE has the right to use the comparable Blue Book
rates.
♦
For contractor force account work not included in the contract, list each classification of
labor including equipment operators. When the CO shows a classification, the wage rate
cannot be less than shown in the contracts. On federal-aid projects if the wage rate
schedule in the contract does not list the classification, then CST must approve a
minimum wage rate. When the U.S. Department of Labor periodically increases the
requested minimum wage rate the contractor must pay the difference to the personnel
involved. On state projects, a new wage rate must be at least equal to the federal
minimum wage rate and agreed to by the contractor and the department.
♦
Show only labor rates, equipment rates, and the total dollar amount for the force
account work on the CO. Submit any additional information necessary to support the
CO.
♦
When the proposed force account work is less than $5,000, the contractor may submit a
breakdown of estimated costs; that is, total labor, equipment, and material. After the AE
evaluates the cost breakdown, prepare a CO using the estimated invoice cost. After
completion of the work, the contractor will submit a certified invoice, which contains a
single dollar amount for the contractor’s actual total cost for labor, equipment,
materials, and incidentals. This total cost also shall contain additional compensation as
shown in Item 9.4 of the Standard Specifications and Special Provision. A cost
justification may be required and the CO must still be approved before work begins.
The work can be done by the prime contractor or an approved subcontractor.
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Record Keeping
Measurements of work performed according to the bid items, either in the original contract
or added by CO, will be according to these items. Normal record keeping will include the
preparation of Forms 1257, 1258, project diaries, etc.
Force account work requires different record keeping than that described above. When the
work is not paid by certified correct invoice, the department inspector will prepare Form316,
‘Daily Report of Force Account Work’ each day. All equipment and labor must match those
shown on the approved CO. It is necessary to approve a supplemental CO if different or
additional equipment or labor is required. In SiteManager a Daily Work Record is used to
track Force Account work.
The inspector and the superintendent must agree on the force account work at the end of
each day. The inspector, the superintendent, and the AE will sign all copies of the ‘Daily
Report of Force Account Work’ (Form 316). For force account work paid by invoice, the
AE reviews the invoice cost.
Payment
For work performed according to the bid items, regular partial payments are issued on the
monthly estimates.
For force account work, payment is made as a single line item on the monthly estimate.
Payment for labor and equipment is based on the quantities shown on Form 316 Rev.
Regardless of the labor rate shown on the CO, the actual labor rate cannot exceed the labor
rate shown on the contractor’s payroll. For example, if the CO shows a welder at a wage rate
of $15 per hour and the contractor’s payroll shows the actual rate was $11 per hour, use the
$11 rate, assuming it satisfies the Davis-Bacon Act (40 U.S.C. Section 276a) on wage rates.
Payment for rented equipment and materials used in the extra work is based on the
contractor’s invoices. For detailed information about payment see Item 9 of the Standard
Specifications.
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Chapter 7 — Change Orders
Section 1 — Changes in Work
Slight Deviations
Below are circumstances that do not require a CO, but need to be shown in the as-built
plans:
♦
A slight change in the flow line grade or the skew of a drainage pipe or culvert
♦
Addition or deletion of a driveway pipe
♦
A slight relocation of a crossroad drainage facility
♦
A slight adjustment of the road grade line
♦
A slight adjustment to a drainage channel
♦
A slight adjustment to a traffic sign, traffic signal pole, or illumination pole foundation
♦
A slight adjustment to the Traffic Control Plan.
Time Extensions (TE)
TE’s are granted by the AE and are granted either by a letter to the contractor (Time) or by
CO. TE’s granted by a letter to the contractor are approved by the AE. A TE shown on a CO
is approved with the approval of the CO. All Time Adjustments in SiteManager are done by
CO.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
Section 2
Change Order Approval Policy and Process
TxDOT Change Order Approval Policy
A CO has TxDOT approval once it is signed by the level of signature authority prescribed
by TxDOT administration. The current signature authority for CO’s of construction projects
is as detailed in the CSO, Contract Management Manual, Chapter 2, Contracting Authority.
Change Order Signature Authority
Signature Authority:
AE
District Engineer, Deputy District Engineer, District Director
of Operations, District Director of Construction, Construction
Division Director, Construction Section Director
$300,000 or greater
Assistant Executive Director, Engineering Operations (AED,
EO)
CO changing project limits (construction contracts) AED, EO
Change Order Category:
Less than $50,000
Less than $300,000
A CO that requires a design exception shall be submitted to the appropriate Design
Exception Committee and be approved by the Director of the Design Division or the
Director of Bridge Division.
When CO’s involve traffic control plans (TCP) and/or design changes, the district office
section responsible for the area addressed in the CO should review and approve the
change(s) prior to the appropriate signature approval (i.e., district traffic section, lab,
pavement section, etc.).
CO’s settling disputes should follow the standard signature authority as it stands.
Work authorized by a CO can begin after the CO is approved by signature, or verbal
approval is given by the level of approval authority on:
♦
All CO’s on state funded projects
♦
Minor CO’s on non-exempt federal-aid projects (known also as FLOA for Federal
Letter of Authority), and
♦
All CO’s on exempt federal-aid projects (known also as SLOA for State Letter of
Authority).
All above signature authorities are subject to change in accordance with any changes in the
latest Delegation of Signature Authority.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
TxDOT Change Order Approval Process
The following steps outline the procedures for the CO approval.
Step
1
2
3
4
5
6
7
TxDOT Change Order Approval Process
Action
The AE and contractor define details and scope of problem.
The AE and contractor evaluate possible solutions. The AE may request assistance from the District
Construction Office or the District Design Office.
♦ The AE determines the most feasible solution while making certain PS&E parameters are
satisfied.
♦ The AE estimates the cost of the proposed work using contract costs and information from the
contractor.
The AE determines if a revision in contract time is necessary and, if so includes a Time Extension in
the CO. See ‘Time Extensions’ and ‘Contract Time.’
The AE prepares the CO and supporting documentation, including plans, specification changes, cost
justification, letter of explanation and obtains contractor signature on CO.
AE signs the CO and checks the appropriate “approved” or “request approval” box. The CO is
normally submitted to the District Construction Office which coordinates the DE signature (if desired
or required) and submits the CO containing the original signatures and any needed documentation to
CST. The DE must sign CO’s needing Austin office approval.
♦ When Austin office approval is required, CST coordinates the recommendation from other
applicable divisions.
♦ The Director of CST recommends approval to the Assistant Executive Director for Engineering
Operations.
♦ Upon approval, CST will immediately notify the District Construction Office.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
FHWA Approval Policy on Non-Exempt Federal-Aid Projects (FHWA Oversight Projects)
After TxDOT approval for the CO is obtained, CST coordinates the FHWA approval. The
FHWA must formally approve all CO’s on projects where the FHWA has oversight
responsibility. A CO on these projects is one of two types: Major or Minor. Minor and
Major COs are reviewed and approved by the FHWA during the course of the project.
The AE determines if the CO is “Major” or “Minor” based on the following table:
Major/Minor Change Orders for FHWA Oversight Projects
Scope of Change
♦ Reduces the geometric design or structural capacity below project design criteria
(any reduction in geometric design which would normally have required a design
exception).
♦ Increases the contract by 25% of the original contract or by $300,000 whichever is
less.
♦ Changes project limits.
♦ Any change in the Traffic Control Plan (TCP), which reduces the capacity as shown
on the plans for the through traffic or the traffic on major cross streets.
♦ Settlement of a dispute*.
♦ Changes the access on a controlled access highway.
Minor
Everything not described above.
*For additional information see Chapter 8 ‘Disputes and Claims.’
Type of Change
Major
When Work Can Begin on Major Change Orders (FHWA Oversight Projects)
Work authorized by a major CO for non-exempt federal-aid projects can only begin after
FHWA approval is obtained. If work is begun on a major CO before FHWA approval is
obtained, that work is subject to being ruled as non-participating by the FHWA. If work
authorized by a major CO is performed and the CO is disapproved by the FHWA, the entire
project is subject to being ruled as non-participating by the FHWA.
When Work Can Begin on Minor Change Order (FHWA Oversight Projects)
Work authorized by a minor CO for non-exempt federal-aid projects can begin after TxDOT
approval has been obtained. If prior FHWA approval is not received before beginning work,
the change order may still be non-participating.
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Chapter 7 — Change Orders
Section 2 — Change Order Approval Policy and Process
Change Order Approval Process on Non-Exempt Federal-Aid Project (FHWA Oversight
Projects)
The major and minor CO’s require FHWA’s approval as detailed below:
Step
1
2
3
4
5
6
7
8
9
Change Order Approval Process on Non-Exempt Federal Aid-Projects
Action
The CO is sent to CST through the District Construction Office.
TxDOT approval is first obtained, CST submits the CO to the FHWA for review and
approval.
All Major and Minor Change Orders are reviewed and approved by the FHWA during the
course of the project.
Major Change Orders must have FHWA approval before the contractor can begin work.
FHWA will determine any "non-participating" amounts, if any.
If the CO includes a time extension, the FHWA will determine any "non-participating"
days, if any.
CST will notify FIN of any "non-participating" amounts and/or days.
Upon approval by FHWA, CST notifies District Construction Office.
CST logs the approvals into CTS.
Note for major Change Orders needing immediate approval:
♦
The FHWA can give verbal approval to the district or CST.
♦
Formal written approval will follow as soon as practical.
♦
It is recommended, that AE's keep the District, Divisions and the FHWA informed
during the development of a CO that will need immediate approval.
Change Order Approval Process for Exempt Federal-Aid Projects (State Oversight
Projects)
TxDOT approval of the CO authorizes the work since the FHWA transferred oversight
responsibility to TxDOT on exempt federal-aid projects. Work authorized by the CO can
begin after TxDOT approval is obtained. CO’s on exempt federal-aid projects follow the
approval procedures of the ‘TxDOT Change Order Approval Process’with the following
additional step:
♦
The district determines if the CO is participating or non-participating in federal funds
based on the Federal-Aid Policy Guide and ‘Participating/Non Participating on Federalaid Projects’ described hereunder. On a non-participating CO, the AE writes on the CO
the non-participating amount and days in the “For TxDOT Use Only” box before it is
sent to CST. CST then sends a copy of the CO to FIN. In SiteManager a single CO can
not be set up as both Participating and Non-participating.
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Section 2 — Change Order Approval Policy and Process
Participating/Non-Participating on Federal-Aid Projects
Federal-aid funds can be used to participate in CO’s which are:
♦
In conformance with federal and state laws, and
♦
Allowed by the Federal-Aid Policy Guide (CFR-23), or
♦
In compliance with an FHWA policy or procedure.
Also, participation can be granted in retrospect by the FHWA if:
♦
The work on the CO did not adversely affect the public, and
♦
TxDOT acted in good faith to willfully not violate a federal requirement, and
♦
The work was performed in full compliance with federal and state laws, and
♦
The cost to the FHWA is not excess of the cost incurred had there been full compliance,
and
♦
The work was performed according to the plans and specifications.
The Federal-Aid Policy Guide (CFR-23) (listed as Title 23) can be found at the Internet web
site http://www.access.gpo.gov/cgi-bin/cfrassemble.cgi?title=200223 or the FHWA Internet
web site http://www.fhwa.dot.gov/. Some examples of CO’s that would be considered
FHWA non-participation are:
1.
Work performed prior to the “effective date” given in the Federal Letter of
Authorization.
2.
Work performed outside the project limits, unless the limits are extended and approved
by FHWA in writing.
On State oversight, federally funded projects, the Federal Project Authorization and
Agreement (FPAA) must reflect accurate project limits. Therefore, to obtain FHWA
participation, the Administrative Operations Branch of CST will review the CO Form for
FHWA participation, and send a copy of the approved change order with a memo to the
Letting Management Section of the Design Division to request a revised FPAA. Some
examples of contract items which are considered not eligible for FHWA participation are as
follows:
1.
Work performed by State Forces or other “non-competitively bid” situation unless
covered by a written “Public Interest Determination” (Public).
2.
Completed work that is not in “substantial compliance” with the plans and
specifications. “Substantial” is determined by the FHWA or the person delegated
authority to act on behalf of the FHWA.
3.
Materials which do not meet specifications. If the engineer determines the material will
serve the intended purpose, it may remain in place at a reduced price, with Federal
participation in the reduced price. The Engineer may accept minor deviations at full
price, with Federal participation in the full price.
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Section 2 — Change Order Approval Policy and Process
4.
Additional time or cost caused by unacquired right-of-way and/or incomplete utility
adjustments at the time of letting.
5.
Purchase of materials from a contractor not used on a project and placed in State Stock.
If the material is subsequently furnished to a contractor for use on another Federal-aid
Project, the cost may be charged to the project on which it was used.
6.
Negotiated prices that are not justified. “Justified” is determined by the FHWA or the
person delegated authority to act on behalf of the FHWA.
7.
Work done for the convenience of the contractor.
8.
Claim settlements, which are not audited unless the audit requirement is waived in
writing.
9.
Work for which the contract provides another means of payment such as “Incidental
Construction.”
Expeditious Approval of Change Orders Needing Austin Office or FHWA Approval
After the DE has signed the CO, the District Construction Office will contact the
Administrative Operations Branch of CST to request the expeditious approval of a CO
needing approval by the Austin Office and/or by the FHWA.
Cost Justification for Newly Added Items
When new items are to be added to a contract the contractor must submit a cost breakdown
and justification of the price(s). The AE is responsible for determining if the contractor’s
price(s) is reasonable and justifiable.
On COs needing Austin office approval and on major COs on Non-Exempt Federal-Aid
Projects (FHWA Oversight Projects) the contractor’s cost breakdown must be attached to
the CO. The AE should also prepare a statement of justification in the CO transmittal
memorandum to the district office. The statement should be similar to the following:
Cost justification has been reviewed and supports the cost for this work on this
project. The proposed unit price(s) is fair and reasonable based on a comparison to
the statewide and district average unit bid price reports, or the small quantity of
work involved, or the difficulty of construction conditions, or an independent cost
analysis (attached).
The district will submit to CST the contractor’s breakdown and the AE’s transmittal memo
with the AE’s justification statement.
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Chapter 7 — Change Orders
Section 3 — Additional Agreements
Section 3
Additional Agreements
Supplemental Agreements
A Supplemental Agreement (SA) is a formal agreement between the contracting parties
amending the contract in some manner.
A Supplemental Agreement is used to:
♦
Settle disputes
♦
Assign the contract changes from one entity to another
♦
Change the legal name of the contractor.
SA's with original signatures are routed to CST for further handling.
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Chapter 8
Disputes and Claims
Contents:
Section 1 — Disputes............................................................................................................8-3
Section 2 — Claims ..............................................................................................................8-5
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Section 1 — Disputes
Section 1
Disputes
Department’s Dispute Resolution Policy
It is the department’s policy to resolve disputes at the lowest level, thereby preventing
claims. Resolution of problems by the AE at the time they occur generally provides the
lowest cost and least time-consuming solution.
Dispute Resolution
Project administration is based on the terms and conditions in the contract. Although plans
and specifications provide specific guidance on how the project is to be constructed, no set
of plans is perfect. Problems in the plans or specifications can normally be addressed to the
satisfaction of all parties. Disagreement is created when major impacts to the cost of the
work are not addressed to the satisfaction of all parties. Unresolved disagreements can lead
to disputes and eventually claims.* Every effort should be made to resolve disputes at the
local level.
Successful resolution of disputes requires a combined effort between the AE and the district
staff. The Project Management Branch of CST is available to provide assistance in resolving
disputes. This assistance can be in the form of advice over the telephone or a written report
outlining recommendations on the issues.
*A dispute is defined as a disagreement between TxDOT and a contractor on a contract
issue. A claim is defined as a dispute that is not resolved and requires formal action by the
TxDOT Contract Claims Committee.
Appeals in Disputes
In the event that an impasse is reached between the district and contractor, the contractor has
the right to request an appeal of the district’s final decision in accordance with
Administrative Circular 10-87. If a final decision is appealed by the contractor, the district
requests the Project Management Branch of CST to review the district’s position. A
recommendation is then provided by CST to the district for consideration. Resolution of a
dispute is handled by a CO. A supplemental agreement can be used to settle complicated
disputes providing a way to outline all of the specific issues and their resolution.
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Chapter 8 — Disputes and Claims
Section 1 — Disputes
Relation of Project Records to Disputes and Claims
The AE and district office must maintain complete and accurate project records. Failure to
keep good records can cost considerable sums of money, as available documents and records
will constitute the basis for decisions concerning the contractor’s claim.
The following guidelines are the minimum steps necessary to protect the department from
claims:
♦
Have the contractor furnish a chart or schedule depicting the work schedule as required
according to Item 8.2 of the Standard Specifications. If the contractor falls behind his
published schedule, ask for a revised schedule.
♦
Review the contractor’s schedule, keeping in mind past performance, available
equipment and personnel, construction sequences or phases, weather, etc.
♦
Respond to the contractor in writing concerning any schedule which appears unrealistic.
Request additional information and ask the contractor to justify or clarify unrealistic
schedules.
Note: If the progress schedule is unrealistic and the AE does not question it before beginning
work on the project, it is considered approved by the department. Later disputes may
result in the contractor’s claim for additional costs on the basis that the dispute caused
failure to meet the schedule.
Record in detail any information that may have a connection with a probable dispute or
claim against the department in the project diary.
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Chapter 8 — Disputes and Claims
Section 2 — Claims
Section 2
Claims
Claims
If a contractor does not agree with the district’s decision on the dispute, the contractor may
file a detailed report and contract claim request with one of the following:
♦
The District Engineer (DE) under whose administration the contract was or is being
performed
♦
CST
♦
The Contract Claims Committee of TxDOT.
Documents filed with the DE or CST will be transmitted to the Contract Claims Committee.
The Committee may ask CST for a review by the Project Management Branch.
The Project Management Branch of CST will consult with the district and the contractor to
secure any additional information necessary to produce a report containing
recommendations for the resolution of the claim. The district must respond in writing to the
claim.
Upon review of the claim, CST provides a recommendation for resolution to the Contract
Claims Committee. After a claims meeting with the contractor and district, the Committee
makes a final determination, which resolves the claim.
Administrative Hearings
A claim, which is not resolved by the Contract Claims Committee, is referred to an
Administrative Hearing. This is a legal proceeding, which is presided over by an appointed
administrative hearing officer. The hearing is conducted by the State Office of
Administrative Hearings and not TxDOT. The district staff and AE work with the Attorney
General’s office in preparation for the hearing. The hearing officer makes a determination
on the claim based on the evidence presented.
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Chapter 9
Legal Relationships and Responsibilities to the Public
Contents:
Section 1 — Responsibilities to the Public...........................................................................9-3
Section 2 — Conflicts of Interest..........................................................................................9-8
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Section 1 — Responsibilities to the Public
Section 1
Responsibilities to the Public
Texas Department of Transportation
Item 7 of the Standard Specifications requires the contractor to be familiar with and comply
with all laws, ordinances, and regulations, which affect the work. Although TxDOT is not a
law enforcement agency, the AE is responsible for monitoring the contractor’s compliance
with laws that relate to the contract. There are also other provisions and regulations, which
are the responsibility of other federal and state agencies. The AE will aid the enforcing
agency whenever possible. TxDOT can withhold funds or suspend work to assist the
responsible agency in enforcing applicable laws, rules and regulations.
Federal Highway Administration
Federal law requires all federal-aid construction contracts to contain provisions that the
work will be done according to the federal regulations. The Federal Highway Administration
(FHWA) ensures that these requirements are met by review and approval of department
policies procedures, manuals, and specifications. For example, FHWA has approved this
Manual for use on Federal-aid projects. Accordingly, compliance with TxDOT policies and
procedures should assure compliance with FHWA regulations. The FHWA may also review
actual project conditions on a selective or sampling basis.
On exempt federal-aid projects, the FHWA has delegated this responsibility to the
department. FHWA or CST may conduct a process review to make sure the department has
fulfilled this responsibility.
U.S. Department of Labor
The United States Department of Labor (DOL) is responsible for administering the national
program for occupational safety and health. The Occupational Safety and Health
Administration (OSHA), a division of DOL, issues and enforces mandatory safety and
health regulations and standards. OSHA will investigate complaints, conduct safety
inspections, issue citations for violations, assess penalties, and handle appeals.
Project as a Joint Effort
Every construction project is a joint effort between the department and the contractor.
Department employees and contractor personnel should work together to expedite the
prosecution of the project. The work is to be done without violating the terms and conditions
of the contract or sacrificing the quality of work or materials.
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Section 1 — Responsibilities to the Public
Responsibilities of Department Personnel
TxDOT employees are expected to work with contractors in a congenial and professional
manner. Give clear, precise and concise instructions without any trace of malice,
unfriendliness, or anger. Limit instructions to the contractor to those within the scope of the
plans and specifications. Ask the contractor if there are questions about any instructions.
Resolve misunderstandings with the contractor’s employees promptly.
Provide important instructions to the contractor in writing and keep them in the project
records. Record verbal instructions on minor conditions in the project diary.
Department employees are to provide instructions only to authorized contractor personnel.
The AE may discuss minor irregularities with individual workers if the contractor has agreed
to allow direct contact with employees.
Differences of opinion about the contract, such as interpretation of the specifications, quality
of work, measurement and payment of items, may occur between the contractor’s employees
and those of TxDOT. The AE will try to resolve these differences promptly and fairly within
the scope of the contract documents. If disagreements cannot be satisfactorily resolved, the
AE will refer the matter to an immediate supervisor. When requested by the district, CST
will help resolve disputes.
The Public
TxDOT personnel are public employees. The public will judge the department by its work
and by the action and attitude of each employee. Each employee has a definite responsibility
for creating good will for the department. Therefore, all employees should conduct
themselves in a manner that will earn the respect and confidence of the public.
TxDOT employees are expected to extend courtesy and patience to the public. Take
precautions in those instances where it is necessary to inconvenience the public due to
construction operations. Provide adequate warning signs, barricades, directional signs,
flaggers, access to property, etc., to move traffic quickly and safely through the work area.
Access to private property must be maintained during the time of operations. When access to
any property is temporarily interrupted, advise the occupant of the interruption with a
minimum of one day advance notice. A courteous explanation of the reasons for the
conditions and courteous responses to questions are essential in maintaining a good image
for the department.
Sanitary Accommodations
The AE cooperates with the authorities having jurisdiction to require the contractor to
provide neat, non-segregated, and sanitary accommodations.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 1 — Responsibilities to the Public
Public Safety and Convenience
Item 7.7 of the Standard Specifications gives authority to the AE to require safe and
convenient facilities for the public traveling through a construction project.
When traffic is allowed to drive through construction work, the posted regulatory speed
limit may only be lowered by Commission Minute Order. The AE must require the
contractor to maintain a safe travel-way surface. The AE and the contractor should closely
coordinate the placement of regulatory speed zone signs. Reduced regulatory speed zones
should only be used when their need is apparent. The AE will need to monitor the speed of
construction trucks operating within the speed zone limits, as extremely bad public relations
result when haul trucks operate at a substantially greater speed than that which is posted.
The AE will make frequent checks to see that there are flaggers at the proper places.
Flagger’s attire and flagging procedures will follow department guidelines and the
TMUTCD.
Every effort must be made to reduce damage to automobile windshields, headlights, paint,
etc., caused by flying stones. "Loose Gravel" signs, advisory speed signs, flaggers, and pilot
cars have all been instrumental in handling traffic through seal coat projects. Signs such as
“Loose Gravel” are more than a traffic management tool, they relieve the department of
liability in case of an accident by warning motorists of an unsafe condition.
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Responsibilities to the Public
Section 1 — Responsibilities to the Public
Traffic Safety in Highway and Street Work Zones
The contractor will erect and maintain all barricades, pavement markings, warning signs,
temporary barriers, illumination, and other traffic control devices. The AE is responsible for
checking them. These barricades, etc., shall follow the project traffic control plan, barricade
and construction standards (BC) and traffic control plan standard sheets (TCP), and the
TMUTCD.
The AE will appoint a Department Responsible Person (DRP) who has authority to assure
compliance to observe implementation of the TCP on each project. The District Safety
Review Team and the District Traffic Control Coordinator (TCC) will periodically review
the project for compliance. The TCC accompanied by the DRP (if possible) shall perform
quarterly barricade inspections and a Form599, ‘Traffic Control Devices Inspection Report,’
shall be completed. The TCC should accompany each DRP on the first inspection.
The contractor will appoint a Contractor’s Responsible Person (CRP) to be the designated
representative to take or direct corrective measures, as soon as possible, of noted
deficiencies.
The DRP must inspect all traffic barricades, etc. on a project, record the inspection on
Form599, and provide a copy of Form 599 to the CRP after the inspection. The original
Form 599 will be transmitted to the AE’s office for review and then to the District
Construction office after the contractor has corrected the deficiencies and the DRP updates
the form. It is of utmost importance that the date and time deficiencies are corrected be
promptly reported to the DRP for inclusion in the report. A minimum of two inspections per
month (one daytime and one nighttime, at approximately two-week intervals) are required
per contract. The first monthly night inspection should be performed as soon as possible
after initial set-up
Protection of Adjoining Property
The contractor will protect and preserve adjacent property from damage by construction
operations. If the contractor damages adjacent property, the property must be restored at the
contractor’s expense. If the contractor fails or refuses to restore or make good damaged
property, the AE will notify the contractor of such damages in writing and notify the DE.
Use of Explosives
Item 7.9 of the Standard Specifications places the responsibility for storage and use of
explosives on the contractor. However, for the protection of the public and the adjacent
property, the AE should observe and monitor the contractor’s operations. Additional
precautions are required when using electric blasting caps close to any railroad track.
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Section 1 — Responsibilities to the Public
Contractor’s Responsibility for Work
Item 7.10, 7.11, 7.12 and 9.2 of the Standard Specifications and related Special Provisions
describe the contractor’s responsibility for work and the responsibility for damages caused
by the contractor or related operations. The AE must be thoroughly knowledgeable with
these items and be guided accordingly.
As stated in Item 9.2, the payment of any current or partial estimate shall in no way affect
the obligation of the contractor to repair, renew or replace any defective parts of the
construction if such defects or damages are discovered on or before the final inspection and
acceptance of the work.
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Chapter 9 — Legal Relationships and
Responsibilities to the Public
Section 2 — Conflicts of Interest
Section 2
Conflicts of Interest
Overview
The conduct of department employees are the public image of TxDOT. For that reason,
TxDOT employees will not participate in any activity that could be considered a possible
conflict of interest. A more complete explanation of the policy can be found under
“Conflict of Interest”of the Human Resources Manual. In addition to the Human Resources
Manual employees need to be familiar with the requirements of the Texas Penal Code which
covers gifts to public servants.
Gifts, Benefits, and Favors
Employees will not accept or agree to accept gifts, benefits, or favors for themselves or
others from any person, company, organization, or other entity that:
♦
Could influence or reasonably appear to influence them in performing their duties
♦
Does any kind of business with the department
♦
Could be reasonably expected to do business with the department in the future, or
♦
Is regulated by the department in any way, including:
•
auditing
•
monitoring
•
inspecting
•
testing
•
supervising, or
•
measuring.
However, employees may:
♦
Accept ordinary business lunches
♦
Accept token items that do not exceed an estimated value of $25 where there is no
connection between the donor and the employee's job assignment, and where the items
are distributed generally as a normal means of advertising, and
♦
Visit dining or hospitality rooms or similar facilities, provided they have no restrictions
on visitors, and are in conjunction with a conference, meeting, or other event approved
by the department.
Exceptions to this policy must have the prior approval of the Executive Director as
requested by a DE/DD/OD through the General Counsel's office.
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Chapter 9 — Legal Relationships and
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Section 2 — Conflicts of Interest
Texas Penal Code
Section 36.08 of the Texas Penal Code makes it a criminal offense for a public servant who
exercises discretion on a contract, purchases, payments, claims or other pecuniary
transactions to accept a gift, benefit, or favor from the contractor (see
http://www.capitol.state.tx.us/statutes/pe/pe0003600.html#pe008.36.08). Section 36.09
makes it a criminal offense for a contractor to offer a gift, benefit, or favor to public servants
(see http://www.capitol.state.tx.us/statutes/pe/pe0003600.html#pe009.36.09).
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Chapter 10
Prosecution and Progress
Contents:
Section 1 — Contract Issues ...............................................................................................10-3
Section 2 — Subcontracting .............................................................................................10-10
Section 3 — Project Time.................................................................................................10-14
Section 4 — Incentive Contracts ......................................................................................10-18
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Section 1 — Contract Issues
Section 1
Contract Issues
Assignments
The contractor will not be permitted to assign, sell, transfer or otherwise dispose of the
contract or any portion of the contract, or his/her rights, title or interest therein without the
approval of the Executive Director and/or his designee of the department.
The contractor must send a request for assignment directly to the Director of CST, or
through the district, for concurrence by TxDOT Administration. In either case, CST is
responsible for:
♦
Preparing a supplemental agreement
♦
Sending the supplemental agreement and bond forms to the contractor for execution
♦
Executing the supplemental agreement by the Director of CST.
After completion of the supplemental agreement, CST notifies the contractor, FIN, and the
district. The new contractor is responsible for providing the standard project information and
forms (payroll clerk, etc…) to the AE. Do not alter any other terms and conditions of the
contract, or suspend time during the assignment process.
Change of Legal Name of Contractor
When a contractor changes their legal name they must advise the department so that any
incomplete contracts may be modified to reflect the new legal name. A supplemental
agreement is used to accomplish the modification of the contract.
The contractor sends a notification of the name change directly to the Director of CST. CST
is responsible for:
♦
Verifying the legal filing of the name change
♦
Obtaining administrative approval
♦
Preparing the supplemental agreement
♦
Obtaining the executed agreement, insurance and applicable bonds in the new name of
the contractor for construction contracts.
CST will send copies of the completed supplemental agreement to FIN, affected districts
and the contractor.
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Chapter 10 — Prosecution and Progress
Section 1 — Contract Issues
Project Scheduling
The contractor shall not begin work until CST issues an “Authorization to Begin Work.”
The contractor must begin work within 30 days after the date of the authorization, except
when specifically allowed otherwise.
The contractor shall submit to the engineer for acceptance a schedule of all planned work
activities before beginning work. This schedule shall include the intended sequences to be
followed in order to complete the contract within the allotted time. The purpose of requiring
a project schedule in advance is to:
♦
Ensure good planning in accordance with the allowable number of working days and all
milestones
♦
Assure coordination of the efforts of the contractor, department, utilities and others that
may be involved in the project
♦
Assist the contractor and department in monitoring the progress of the work and
♦
Assist the department in administering the contract time requirements, since the
schedule also serves to help identify the principal unit of work.
There are four levels of scheduling available:
Level:
First Level
– routine maintenance projects
Second level
– standard construction projects
Third level
– projects where enhanced
scheduling is desired
Fourth level
- applicable to large complex
construction projects
Project Scheduling Levels
Description:
Applicable to maintenance projects
The relevant provision requires the schedule be submitted in either a
bar chart or critical path method (CPM) format. The duration of work
activities for either type of schedule shall not exceed 20 working days,
unless otherwise accepted by the engineer. The schedule is to be
updated on a monthly basis and submitted to the engineer. Updating
the project schedule is defined as adding actual progress made during
the previous month. Project status meetings should be held at least on a
quarterly basis. If the contractor desires to make major changes in the
project schedule, the contractor shall notify the engineer in writing.
Projects requiring a CPM schedule by general note
The relevant provision requires a CPM schedule developed using
either the Primavera Project Planner or Suretrak project management
program. In addition to paper copies of the schedule, the provision
requires that the schedule be submitted on a computer diskette. A
general note can also be used to require the schedule be prepared using
the Primavera Project Planner program. The special provision for this
level of scheduling is comprehensive. It requires a computer program
to review the schedule, and the AE requiring it should be familiar with
all the provisions in the specification and how to use the program.
The schedule must include major material procurements, known utility relocations, and
other activities, which may affect the project completion.
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Chapter 10 — Prosecution and Progress
Section 1 — Contract Issues
Note: For surface-treatment-only and asphaltic-concrete-overlay-only projects refer to the
latest Special Provision to Item 8 to determine the time of beginning work and
completion time as well as seasonal restrictions.
Workers and Equipment
The superintendent is in charge of all construction operations regardless of who performs the
work and the amount of subcontracted work.
The contractor should employ cooperative workers having adequate skill and experience to
perform assigned duties. The contractor must furnish suitable and adequate machinery and
equipment in good operating condition. Failure to furnish skillful people and good
equipment will be sufficient cause for the AE to suspend the work without suspending the
time charges and/or to withhold all estimates until the contractor complies with such
requests.
Defaults
“Default” is a measure to take the prosecution of work out of the hands of the contractor to
protect the best interest of the public. The department, upon written notice, has full power
and authority to default a contractor without violating the contract. Special Provision to Item
8.7 describes applicable reasons to default the contractor. The engineer may declare the
contractor to be in default of the contract if the contractor:
♦
Fails to begin the work within the time specified, or
♦
Fails to perform the work with sufficient resources to assure timely completion, or
♦
Fails to perform the work in accordance with the contract requirements or neglects or
refuses to remove and replace rejected materials or unacceptable work, or
♦
Discontinues the prosecution of the work without authority, and/or fails to resume work
that has been discontinued within a reasonable time after notice to do so, or
♦
For any other cause whatsoever that does not carry on the work in an acceptable
manner.
Do not default a contractor if they have filed for bankruptcy protection. If defaulting and
completing the contract is necessary, then permission has to be obtained from the
bankruptcy court. Contact CST immediately as soon as bankruptcy is legally declared by the
contractor. The department may perform work to maintain safety for the traveling public.
The work is to be charged against payments to the contract.
Insufficient insurance or lack of insurance by the contractor is not a justifiable reason for
defaulting the contract. If a contractor lacks insurance coverage, then the contractor will not
be able to perform the contract. A contractor’s inability to perform the contract is the reason
for default.
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Section 1 — Contract Issues
The AE has certain responsibilities in the event of a default by a contractor. This includes
the following items:
1.
The AE should send a ten- (10) day warning letter (Warning) to the contractor
explaining the deficiency in performance and reason for potential default. Be specific
about the reason(s) for default. Quote directly from the specification book. For example,
the warning letter may state “we have contacted you several times regarding your
failure to resume work on this project.” In some cases, usually where there is no bond, a
contractor may ask to be declared in default of the contract. In this case, it is not
necessary to write a ten-day warning letter. The AE must still write the default letter
that states “As per your request, you are now in default of your contract…”
♦
Send copies to:
•
Surety (if available)
•
Contractor
•
Construction Section of CST
♦
Send the letter by certified mail with a return receipt requested card to the contractor
and the surety. The ten (10) day period starts on the day the contractor signs the receipt.
♦
If the certified letter to the contractor is returned or the return receipt is not received, the
AE may conclude that contact with the contractor was not possible. The AE should note
this information in the project diary. In this case, the default will be effective ten (10)
calendar days from the date of the ten (10) day warning letter.
2.
If the contractor makes an attempt to correct the problem in ten days, then there is no
default and the contractor resumes work.
3.
There have been occasions where a surety wishes to have a contractor defaulted. The
AE may receive correspondence from the surety suggesting that future progress
payments be sent to the surety. Do not accept this suggestion unless the contractor has
given written permission to do so. Until a contractor is defaulted, TxDOT has an
obligation to fulfill the contract. Continue making payments to the contractor unless and
until the contractor is in default according to TxDOT standards.
4.
If the contractor does not resolve the problem in ten days:
♦
Stop payments to the contractor at that point. There should be no payments of any kind
including the last monthly estimate or retainage.
♦
Write a second official letter of default that states the contractor is in default of this
contract, following examples of the official letter of default (Surety; NoSurety) and the
specification book as closely as possible.
♦
Send copies to:
•
Contractor
•
Surety (if a bonded contract)
•
Construction Section of CST
•
Finance Division
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Section 1 — Contract Issues
♦
Send the letter by certified mail with a return receipt requested card to both the
contractor and the surety.
♦
Forward all default letters to the Construction Section of CST to track and monitor.
Include the following items:
•
Contractor Name
•
Project Number, CSJ No. Payee ID and Contract Number
•
Highway and County
•
Name of Surety and surety's mailing address
♦
TxDOT must ensure that the safety of the traveling public is maintained between the
time of default and the time that work begins again. This work can be done by TxDOT
maintenance forces. The district will establish a state force account to track
maintenance expenditures related to the default, so that the AE may charge the surety
for these costs.
♦
Time charges shall continue until the project is completed.
The following guidelines are provided for handling contract defaults in varied situations:
1.
What if the contractor appeals the decision?
♦
There is no recourse other than allowing the contractor or the surety to file a claim for
wrongful default. However, the time frame is usually longer than the time frame for
completion of the job.
2.
What if the contractor does not have a bond?
♦
There are three options:
•
The work is completed with maintenance forces.
•
The contract is re-let.
•
On rare incidences such as a bridge that has been removed and not replaced, where
emergency services have been limited, the AE may be able to get an emergency
contract.
♦
Do not overrun the quantities of a different project or give the work to another
contractor. Only the Commission can authorize expenditures of state funds on contracts.
The AE cannot change the limits of a job and cannot give work to another contractor
without the permission of the Commission.
3.
If there is a bond, what are the options?
♦
The work is completed using maintenance forces. This is usually not the ideal option, as
the area office must track all the charges (labor, equipment, materials, etc.) and charge
the contract and/or the surety to reimburse the maintenance expenditures. Sometimes
this option is used on maintenance contracts where the contractor goes out of business
near the end of a contract.
♦
Require the surety to complete the work. This is usually the best option and is what has
been required by the contract.
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Section 1 — Contract Issues
•
The area office must notify FIN and CST that the surety will be taking over the
contract and progress payments are to be made to the surety.
•
The area office must notify the surety of these intentions and schedule a meeting to
arrange the completion of the contract. A representative of the Construction Section
of CST and the district and/or area office will need to attend. The surety may bring
a lawyer.
•
At the meeting, the surety may provide alternatives to finish the work. The
following are examples of unacceptable alternatives:
•
The surety might offer to pay TxDOT the remaining balance of the contract. This is
not an option. The surety must guarantee the completion of the work for the
original bid price.
•
The surety might threaten to file a claim for wrongful default or return of liquidated
damages, or some other contract issue. There may be actual issues that need to be
addressed in the claims arena. The department’s representative must inform the
surety that the claims committee will hear their claim, but in the meantime, the
work must be completed.
•
The surety might offer to make a lump sum payment in excess of any estimate for
completing the work. A monetary settlement from the surety must be refused, as
the department’s interest is in completion of the work and not to make a profit on
construction. Further, there is no acceptable option that allows the surety to be
relieved of their responsibilities under the contract.
•
The surety might insist that the department re-let the project. This is not an option.
These are not desirable alternatives. The surety has full responsibility to guarantee the
completion of the work in accordance with terms of the contract.
4.
Can the surety use the original contractor to complete the contract?
♦
Yes, in some cases, the original contractor may only have financial difficulties, and may
only need financial support to get the project completed.
5.
How does the surety get a new contractor?
♦
The surety can find a contractor through any means necessary.
♦
The surety does not have to follow TxDOT’s contracting rules.
♦
The new contractor does not have to be pre-qualified with TxDOT.
♦
The surety remains ultimately responsible for the completion of the contract regardless
of which or how many contractors are needed to complete the work.
♦
The requirement that 30 percent of work be done by the contractor is suspended, but
department approval of all subcontractors continues to be required.
♦
The new contractor must follow all specification requirements.
6.
What about DBE/HUB goals?
♦
TxDOT requires the surety to use the same goals based on the original contract amount.
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Section 1 — Contract Issues
♦
To the best of the surety’s abilities, the surety must use the same DBE contractors that
were subcontracted by the original contractor.
♦
The surety is bound by all the terms of the contract just as the original contractor was.
7.
What about liquidated damages?
♦
Time charges on the contract continue from the point where the original contractor was
defaulted.
8.
What about a “Takeover Agreement”?
♦
A Takeover Agreement between TxDOT and the surety is needed. Contact CST or
OGC to obtain a copy of this document.
9.
What about the money at the end of the contract?
♦
Maintenance work performed by the area office between contractors can be back
charged to the contract and deducted from an estimate.
♦
Contracts without bonds that finish with a negative balance
♦
•
The AE should send a letter to the contractor outlining the charges and asking that a
check be submitted to FIN referencing the project number.
•
If the contractor does not make the payment, the department should forward the
matter to the Attorney General for collection. Depending on the amount due, the
AG may or may not accept the case.
•
The department has the authority to coordinate with the Finance Division and hold
payments on other contracts the contractor has with the department.
Contracts with bonds
•
No payment should be made to the contractor after the contract is defaulted, even
for work performed before the default. The surety will collect this money on their
FIRST monthly estimate in addition to any other work the surety completes that
month.
•
Retainage belongs to the surety when the work is completed.
•
The surety is responsible for liquidated damages. If there is some question about
the time charges, the surety can file a claim.
8.
What else needs to be done at the end of the project?
♦
There should not be any accounting necessary other than the final estimate. All that has
happened is that the contractor changed names.
It is grounds for declaring default if the contractor fails to execute the contract, or to sign or
submit all required documentation within the allowable time. In this case, the bid guaranty
check becomes the property of the state. The defaulted contractor may not bid on the work
when it is re-let.
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Chapter 10 — Prosecution and Progress
Section 2 — Subcontracting
Section 2
Subcontracting
Overview
A subcontractor is defined in Item 1.77 of the Standard Specifications as "An individual,
partnership, firm, corporation or any combination thereof to which the contractor sublets, or
proposes to sublet, any portion of a contract."
The contractor shall perform work with his own organization on contract bid items
amounting to not less than 30 percent of the total contract amount, excluding any specialty
items designated by the DE. Specialty items may be performed by subcontractors and the
amount of any such specialty items so performed may be deducted from the total original
contract before computing the amount of work required to be performed by the contractor’s
own organization. Exceptions are work items not commonly found in contracts for similar
work or those requiring highly specialized knowledge, craftsmanship, or special equipment.
Examples of specialized work:
♦
Removing an underground storage tank on a widening project
♦
Plumbing on a culvert widening project
♦
Electronic work on a typical road construction project.
Certain work of a minor nature may be identified on the plans as specialized work.
All firms that perform work on a project must be submitted by the prime contractor as
official subcontractors. The only firms exempt from subcontractor notification are material
suppliers and specialty-type businesses such as security companies and rental companies.
Refer to ‘Subcontracting and Payroll Requirements’ (Subcont) for further subcontractor and
payroll record requirements.
The contractor’s organization includes only workers employed and paid directly by the
contractor and equipment the contractor owns or rents. Although rental equipment leased
with an operator is considered part of the contractor’s organization, subcontractor employees
or equipment is not part of the contractor’s organization. The cost of materials paid by the
prime contractor may count as work performed by that contractor only when:
♦
Said materials are incorporated in the project; and
♦
The majority of the value of work involved in incorporating each material into the
project is performed using the contractor’s own organization.
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Section 2 — Subcontracting
The contractor's organization may include non-supervisory personnel from an employee
leasing firm licensed by the Texas Department of Licensing and Regulation in accordance
with Chapter 91 of the Texas Labor Code. The contractor must maintain control over the
day-to-day activities of the leased non-supervisory employees and include them in the
certified weekly payroll submissions for federal-aid projects or payrolls maintained by the
contractor for review by TxDOT on state-funded projects. Refer to Item 8.1 of the Standard
Specifications and the Special Provisions for further information.
When Prime Contractor Is an Approved HUB/DBE
When the prime contractor on a state funded project is an approved HUB, the prime
contractor must perform at least 25 percent of the work with the contractor’s own
organization.
When the prime contractor on a federal-aid project is an approvedDBE, the prime contractor
must perform at least 30 percent of the work with the contractor’s own organization.
When Subcontracts Exceed 70%
The original approved subcontract amounts, excluding specialty work, may not exceed 70
percent. When the work included in a subcontractor request causes the total amount
subcontracted to exceed 70% of the original contract amount and if no additional work has
been approved in the contract, the subcontract request is rejected and the district is notified.
Note: If work quantities are reduced or eliminated for items completed by the prime
contractor’s organization and, as a result, the prime contractor does less than 30 percent
of the final total contract cost, the intent of Article 8.1 of the Standard Specifications
and the special provision has been satisfied.
When a prime contractor submits a subcontractor approval request form to the district, the
prime contractor should note in the remarks section of the form the amount of added
quantities of work justifying subcontracted work in excess of 70%. Other requirements
related to the original contract amount, such as percentages for DBEs, can not be changed.
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Section 2 — Subcontracting
First Tier Subcontractor and Subcontractor Approval
If the prime contractor plans to sublet any part of the work, the written request must contain
the:
♦
Description of work to be sublet
♦
Geographic area in which the subcontracted work is to be done
♦
Subcontractor’s name, address, and telephone number
♦
Subcontractor’s federal identification tax number
♦
Estimated start and completion dates
♦
Amount and percentage of the total contract
♦
DBE/HUB goal credit, when the subcontractor is classified as a DBE/HUB.
Approval of subcontractors, as well as verifying the Disadvantaged Business Enterprise or
Historically Underutilized Business (DBE/HUB) Monthly Reports, including inputting the
reports into the Subcontractor Monitoring System (SMS), is the responsibility of each
district.
Subcontractor approvals are processed using the E2 screen in SMS. Form sms8901 aids in
this process. First, the AE enters the approval date, then the district engineer’s office enters
their approval date. A subcontractor is approved once the district’s date is entered. Form
sms8901 must identify whether the subcontractor is or is not a qualified DBE, and must also
indicate whether the subcontractor’s firm is or is not a small business. The AE should verify
that the DBE/HUB commitments submitted by the contractor are in compliance.
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Section 2 — Subcontracting
DBE/HUB Monthly Progress Reports
Since a report to the Commission is prepared using the DBE/HUB monthly progress
payments, subcontractor approval dates and DBE/HUB monthly progress reports need to be
submitted via SMS no later than the 20th of each month. The monthly progress report for
August is the only exception, as the Business Opportunity Programs Section of CST (CSTB)
is required to submit to the Texas Building and Procurement Commission (TBPC) the final
Fiscal Year TxDOT DBE/HUB progress report by the 15th of September. In order for
TxDOT to receive its fiscal year HUB credit, the August DBE/HUB progress reports that are
available (and any others not yet entered) need to be submitted via SMS no later than 2
working days prior to the 15th of September.
From October through August, progress reports need to be continually entered as they
become available and checked. The Goal Setting and Data Report Branch of CSTB prepares
a monthly DBE/HUB progress report to the TxDOT Commissioners and Executive Director
based on the data available by the 20th of each month.
Questions concerning the Debarment List should be directed to the Pre-qualification and
Proposal Issuance Unit of CST. Questions pertaining to the 70 percent limit of
subcontracting work can be addressed by the Construction Section of CST. Questions
regarding the DBE/HUB clearance and the DBE/HUB monthly progress reports are handled
by CSTB. Problems with SMS are managed by the Information Systems Division.
Instructions for verifying and inputting DBE/HUB monthly progress reports are found in
DBE/HUB/SBE Monthly Progress Reports.
Lower Tier Subcontractor
A subcontractor desiring to sublet a portion of the work must submit a request to the
contractor to obtain approval. The contractor in turn will submit the request in the manner
required for the initial subcontract. All conditions and requirements shown for the first tier
subcontractor apply to all lower tier subcontractors, such as the 70 percent subcontractor
requirement. All provisions and conditions required in the original contract will also be
required in all levels of subcontracts. A DBE/HUB subcontractor who is named to meet the
DBE/HUB requirement on a wholly state funded project can sublet 75 percent of their work.
For further information, contact CSTB.
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Chapter 10 — Prosecution and Progress
Section 3 — Project Time
Section 3
Project Time
Contract Time
Contract time usually begins fifteen (15) calendar days after the date shown in the
“Authorization To Begin Work” letter. A working day is charged to the contract if the
contractor could have worked seven hours continuously between 7 a.m. and 6 p.m.,
regardless of whether the contractor actually works or not. Each working day is charged as
defined in Item 1.71 of the Standard Specifications (1995 book), (or Item 1.72 of the 1993
book).
The lead time of fifteen (15) days may be changed by Special Provision to Item 8 of the
Standard Specifications. For example, a contract may include special provisions to Item 8 of
the Standard Specifications, which may modify the 15-day requirement for projects.
Examples of the 15-day modification are district-wide seal coats or overlay projects. On
surface-treatment-only and asphaltic-concrete-overlay-only contracts, refer to the latest
Special Provision to Item 8.
The AE may suspend the “time charge” when conditions not under the control of the
contractor prohibit the performance of the critical activity or activities of work which control
the completion of the project, or it is determined to be necessary when work is suspended.
For example, the AE may suspend the work and the “time charge,” in accordance with Item
8.4 of the Standard Specification, on any holiday, on the day preceding the holiday or on the
day following the holiday if the engineer and the contractor agree that the contractor should
not work, upon the consideration that traffic conditions due to a holiday will cause undue
hazards to the traveling public or the contractor.
Written permission of the AE due to an extreme emergency or a Special Provision to Item
1.71 of the Standard Specifications (1995 book) (or Item 1.72 of the 1993 book), is required
to work on Sundays and the six legal holidays listed below:
Six Legal Holidays
Holiday
New Year’s Day
Memorial Day
Independence Day
Labor Day
Thanksgiving Day
Christmas Day
Date
January 1
Last Monday in May
July 4
First Monday in September
Fourth Thursday in November
December 25
The dates shown in the ‘Additional Legal Holidays’ table are additional legal holidays
authorized by state statutes on which the contractor may not work and not be charged a
working day. When the contractor works on these days, charge one day against the contract.
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Section 3 — Project Time
If the contractor begins work on Saturday or on one of the following holidays, charge one
working day if weather conditions are such that the contractor could have worked seven
hours.
Additional Legal Holidays
Holiday
Martin Luther King, Jr. Day
Confederate Heroes Day
Presidents’ Day
Texas Independence Day
San Jacinto Day
Emancipation Day in Texas
LBJ Day
Veteran’s Day
Additional Day
Christmas Eve Day
Additional Day
Date
Third Monday in January
January 19
Third Monday in February
March 2
April 21
June 19
August 27
November 11
Friday following Thanksgiving
December 24
December 26
Note: Federal holidays may differ from the holidays listed.
The contractor must complete the work within the number of working days shown in the
contract and any additional working days the AE authorized. The authority on contract time
charges, time extensions, and time suspensions rests with the AE or the DE. Make such
decisions within the governing specifications and plans for a project.
The AE may authorize additional working days for:
♦
Extra authorized work (change orders) which would control the completion of the
contract
♦
Time charged inadvertently
♦
An increase in the quantity of an item of work which would affect the completion time
of the contract.
Note: Time extensions must be numbered consecutively, i.e. TE-1, TE-2, TE-3, etc. Time
extensions may be in the form of a letter (Time) or may be included with a change
order. Provide the contractor written authorization for additional working days and send
a copy to the Administrative Operations Branch of CST. In SiteManager Time
Adjustments occur only by Change Order.
No suspension of “Time Charges” and no extensions of working time will be granted to the
contractor resulting from hazardous material delivered by the contractor.
On non-exempt federal-aid projects, CST sends the time extension to the FHWA. The
FHWA reviews the submission and makes a determination on federal participation. For time
suspensions, verbal concurrence from the FHWA is satisfactory.
On exempt federal-aid projects, the district determines FHWA participation for time
extensions and time suspensions while acting for the FHWA.
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Section 3 — Project Time
Temporary Suspension of Work or Time Charge
The AE has the authority to suspend the work and time, separately or together, for as long a
period as necessary. The AE must give written notice (Suspend) of work and time
suspension charges with the reasons to the contractor clearly indicating if all or part of the
work is suspended. Written notice must also be provided to the contractor to resume work
(Resume).
The AE addresses the need for the suspension of work, wholly or in part, at the time the
problem arises. If it is later found that the time charges should have been suspended but
were not, the AE may grant a time extension after the fact. If work is suspended for
contractor non-compliance with contract provisions, time charges should not be suspended.
On non-exempt federal-aid projects, a concurrence from the FHWA for suspension of work
is not required unless time charges are also suspended.
Note that “Time Charges” are based on the contract definition of a “Working Day." There
are two basic types:
♦
For contracts that have the working day exception for weather or other conditions not
under the control of the contractor, time will not be charged when the contractor cannot
continuously perform the critical activity or activities of work for a period of not less
than 7 hours between 7 a.m. and 6 p.m. The project diary will show “no time charge” on
that day and the reasons for not charging the time. This “no time charge” is different
from a “time suspension” which is determined and granted by the AE for particular
reasons.
♦
For contracts that are based on “calendar day” Special Provision, time will be charged
for all working days regardless of weather conditions, materials, or supplies. Time
charges may not be suspended on these projects since the special provision only allows
for time extensions based on a time impact analysis.
On non-exempt federal-aid projects, a concurrence from FHWA for time suspension must be
obtained. Verbal concurrence is satisfactory.
Situations involving a time suspension without a work suspension are rare. This type of
situation should only occur when the critical item of work is impacted. The AE will need to
evaluate the situation carefully to verify that the critical item of work is indeed impacted.
Usually the situation of time suspension without a work suspension is a result of delayed
utility relocation, railroad issues, or non-acquired right-of-way. During the time suspension,
the AE must evaluate when the cumulative effect of “non-critical work” changes the critical
path or the controlling item of work.
Refer to Item 1.72 (1993 book) or Item1.71 (1995 book) and 8.4 of the Standard
Specifications and related Special Provisions for instructions. Also refer to FHWA
document 'Contract Administration Core Curriculum Participant's Manual and Reference
Guide 2001' at http://www.fhwa.dot.gov/programadmin/contracts/coretoc.htm for questions
related to time extensions and time suspensions.
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Section 3 — Project Time
Reasons for Temporary Suspension of Work
Work may be suspended for:
♦
Failure to comply with the plans, specifications, special specifications,
special provisions, and supplemental agreements
♦
Failure to keep insurance coverage in force as provided in Article 7.4 of the Standard
Specifications
♦
Failure to provide workers or equipment as provided in Article 8.3 of the Standard
Specifications
♦
Default upon written notice as provided in Article 8.7 of the Standard Specifications
♦
Unsuitable weather or soil conditions
♦
Unusual conditions which affect the work and are not usually associated with the
highway construction
♦
Conditions which threaten the safety of the workers, public or nearby property.
Disputes Involving Suspension of Work
If the contractor contends that damage to the project resulted from the temporary suspension
of work, the AE must follow procedures provided in Item 8.4 of the Standard Specifications.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Section 4
Incentive Contracts
Daily Road-User Costs, Incentives, and “A + B” Bidding
In general, daily road user costs are used to estimate costs to the traveling public that are
included in the contract in addition to the standard contract administration liquidated
damages. “A+B bidding” is a bidding strategy that uses the daily road-user cost to establish
the duration of construction into the bidding process.
Project Selection Guidelines for User Costs
Currently department policy requires that the road-user costs be considered for the following
types of projects:
♦
Projects that add capacity (may include grade separations)
♦
Projects where construction activities are expected to have an economic impact to local
communities and businesses
♦
Rehabilitation projects in high traffic volume areas.
In addition to meeting at least one of the above, a secondary evaluation is made considering
the following:
♦
Conflicting utilities will be relocated prior to construction and all right-of-way is clear
♦
Adequate inspection force is available
♦
25% of the estimated daily road-user cost is greater than the contract administrative
liquidated damages.
If any of the secondary criteria is not met, the district should reevaluate the proposed use of
daily road-user cost liquidated damages before making the decision.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Guidelines for Applying Road-User Costs
The following table provides guidelines on applying road-user cost:
Suggested Road-User Cost
Requirements
A + B Bidding Strategy
Daily Road-User Cost With
Incentive
Daily Road-User Cost Without
Incentive
Contract Administration
Liquidated Damages Only
Guidelines for Applying Road-User Costs
Type of Projects
May be used on projects with high volumes that have a significant impact on
the local business or create daily road-user cost in excess of $40,000.00. A+B
bidding should be used on a very limited basis (CPM required).
The majority of projects with higher liquidated damages that meet the criteria
in the topic ‘Project Selection Guidelines for User Costs’ should use
incentives (CPM required).
To be used less frequently on projects where early completion is not desired.
May also want to use daily road-user cost without incentives on projects
where the risk of having utility conflicts is high, such as projects in older
urban areas.
Majority of TxDOT Projects.
To ensure uniformity of time charges, the “calendar day” Special Provision, which defines a
working day as a calendar day, should be used for all “A + B” and incentive projects and
may be used on daily road-user cost projects without incentives.
The following contract information is required when applying daily road-user costs:
♦
Calendar day definition
♦
Address work hours allowed (i.e., nighttime)
♦
Cost per day for each phase and/or substantial completion
♦
Beginning of phases (if applicable)
♦
Ending of phase (if applicable)
♦
Maximum bonus ( number of days ahead of schedule) (incentive only)
♦
Minimum days bid (A + B only)
Time between substantial completion and project acceptance.
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Section 4 — Incentive Contracts
Daily Road-User Costs
Daily road-user cost is defined as the estimated daily cost of inconvenience to the traveling
public resulting from roadway construction. Inconvenience is defined in terms of lost time.
The value of lost time varies but generally includes the costs of people’s time, vehicle
operation, accident and traffic violation, etc.
Daily road-user costs, in the unit “$/day,” is determined through a “Road-User Cost Study,”
which is conducted at the time of preparing the bid proposal. In this study, the delay time
(“vehicle-hours/day”) due to roadway construction is estimated based on traffic volume data
and the traffic control plans (TCP). It is then converted into a monetary value by applying a
“value to time” (“$/vehicle-hour” or “$/person-hour”).
The department’s current policy requires that only 25% of the calculated daily road-user cost
should be used as the amount added to liquidated damages for failure to substantially
complete the work on time. The substantial completion is defined as occurring when all
project work (or the work for a specified phase of the project) requiring lane or shoulder
closures or obstructions is completed, and traffic is following the lane arrangement as shown
on the plans for the finished roadway (or specified phase of the project). Failure to
substantially complete the project (or specified phase of the project) within the established
number of working days stated in the contract, plus any additional working days granted,
will result in the daily road-use cost liquidated damages being assessed for every working
day in excess of the stated number.
In addition, failure to complete the entire project within the established number of working
days stated in the contract, plus any additional working days granted, will results in contract
administration liquidated damages being assessed.
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Chapter 10 — Prosecution and Progress
Section 4 — Incentive Contracts
Incentives/Disincentives
Item 8.11, Credit for Completion of Work Ahead of Time, and Item 8.6, Failure to Complete
Work on Time, address department policies for “Incentives” and “Disincentives.” It is
recommended that Department personnel working on projects with incentives/disincentives
must be thoroughly familiar with these provisions and apply them effectively.
It is important that the time charges and computation of contract time for completion of the
project is correctly carried and good records are kept. Proposed change orders that change
the sequence of construction and may have impacts on the completion/substantial
completion of the project should be carefully evaluated and adjusted as desired.
Road-user cost liquidated damages and the contract administration liquidated damages will
be assessed not as a penalty, but for added expense incurred by the traveling public and the
department.
“A + B” Bidding
The A+B bidding and incentive/disincentive contracting strategies can be applied to:
♦
A whole project
♦
Projects on a phase-by-phase basis
♦
To only a critical portion of a project.
“A+B bidding”involves time, with its associated cost, in the low bid determination. Under
this method, each bid submitted consists of two components: (A) the contract amount, and
(B) the time element. The cost of “A” component is the traditional bid for the contract items
and is the dollar amount of all work to be performed under the contract. The time or “B”
component is a bid of the total number of calendar days estimated by the contractor to
complete the project.
In A + B bidding, the bid for award consideration is based on a combination of the bid
amount for the contract items and the associated cost of the time needed to complete the
work. The formula designed for computing the combination cost is used only for award
determination; contract payments are based solely upon the “A” component. If awarded, the
completion days included in a contractor’s proposal become a part of the contract. A
disincentive provision that assesses road-user cost liquidated damages can be incorporated
into the contract to discourage the contractor from overrunning the time “bid” for the
project. In addition, an incentive provision should be considered to compensate the
contractor for additional costs if the work is completed earlier than the time bid.
The administration of these contracts will be slightly different from conventionally bid
contracts. Questions on the proper use of road-user costs for projects are addressed by the
Design Division. Questions on calculations and traffic models are handled by the Traffic
Operations Division. Contact the Project Management Branch of CST for assistance on the
use of road-use costs and “A + B” bidding.
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TxDOT 9/2002
Chapter 11
Measurement and Payment
Contents:
Section 1 — Overview........................................................................................................11-3
Section 2 — Forms .............................................................................................................11-4
Section 3 — Scope of Payment...........................................................................................11-6
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Chapter 11 — Measurement and Payment
Construction Contract Administration
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Section 1 — Overview
11-2
TxDOT 9/2002
Chapter 11 — Measurement and Payment
Section 1 — Overview
Section 1
Overview
General Information
The intent of this chapter is to provide a broad overview of the measurement and payment
process. Specific details for district and area personnel for documenting contract pay
quantities, maintaining records and forms is provided in the Estimates Manual for
Construction and Maintenance Projects (June 1998 Edition). As with other areas of project
record preparation, Districts may use different records and procedures to prepare estimates.
Preparing estimates is one of the most complex and important responsibilities done within
the department. TxDOT pays contractors according to the amount of work performed. It is
imperative that sufficient field data is recorded to accurately calculate and completely
document all pay quantities of work performed for every item of construction. Pay records
ensure that:
♦
Contract construction item requirements are being met by the contractor.
♦
The contractor is paid promptly and fairly.
♦
TxDOT's accounts are up-to-date, organized and accurate.
Item 9.1 of the Standard Specifications defines the various dimensions and describes the
measurement of quantities. Some specifications provide a choice in the units of
measurement for payment; therefore, check with the specific item.
For each item, the “Payment” section of the specification defines what work is covered for
payment. This section will also define the subsidiary work. Some items provide for payment
by Plan Quantity with additional provisions for revision of the Plan Quantity. The AE must
become very familiar with the “Measurement” and “Payment” sections of each item.
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Chapter 11 — Measurement and Payment
Section 2 — Forms
Section 2
Forms
Form 124 Rev., Haul Record (Volume Measurement)
Haul Ticket (Form 124 Rev.) may be issued according to instructions on the cover of the
Haul Record Book. Construction Records to Support Pay Quantities of Work Done on
Contract Construction Projects describes other acceptable measurement methods.
Form 124W, Material and Haul Ticket (Weight Measurement)
Issue Form 124W according to the instructions on the back of the Materials and Haul Ticket
Summary. The material is weighed at a central location in the presence of the department’s
inspector. The Construction Records to Support Pay Quantities of Work Done on Contract
Construction Projects contains additional instructions. This will include flexible bases,
asphaltic concrete mixtures, centrally mixed stabilized materials, etc.
An inspector will be stationed at either the non-automated platform truck scales or batching
scales to verify the weight of each batch. The inspector will issue or validate a weight ticket
for each load leaving the plant.
The construction industry commonly uses fully automated mixing plants and automated
scales. The AE is responsible for determining if the automated equipment has been
calibrated as required and will produce accurate records that meet the department’s
requirements. When the automated equipment is acceptable, an inspector is not required.
Form 124WS, Material and Haul Ticket Summary (Weight Measurement)
This form is prepared and used daily. It includes a summary of quantities of all tickets issued
each day for all materials delivered and used. The quantities shown on Form 124WS are
used to determine the quantities for payment for each day’s production.
Form 1257, Work Report
Form 1257 is used to prepare a daily work report of the work done each day for the various
items in the contract. Construction Records to Support Pay Quantities of Work Done on
Contract Construction Projects includes examples showing preparation of this form.
Alternate forms, such as “Daily Road Report Asphalt and Aggregate” (Form 1449) or
“Daily Road Report Asphalt” (Form 187), may be used instead of Form1257.
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Chapter 11 — Measurement and Payment
Section 2 — Forms
Form 1258, Summary of Work Performed
Daily work reports are the basis of payment for most Items and are summarized using
Form1258, “Summary of Work Performed.” Use this form to maintain an accumulated total
of work completed for each bid item. The monthly estimate is prepared using the data listed
on this form.
Form 1259, Daily Summary of Materials Received and Used
This form is used to maintain a record of the receipt and use of materials delivered to the
project. This summary provides an accurate record of material-on-hand (MOH). The AE
must make sure that the material-on-hand does not exceed approved estimate quantities. The
Estimates Manual for Construction and Maintenance Projects includes detailed procedures.
Note: Form 1259 may be unnecessary if the contractor is made responsible for documenting
and reporting material-on-hand by Special Provision.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Section 3
Scope of Payment
Specifications and Damages
Item 9.2 of the Standard Specifications addresses the “Scope of Payment” in detail. The AE
must make sure that the contractor completes the required work according to the plans and
specifications before making payment.
An important part of Item 9.2 focuses on damages to completed work items. If damages
have occurred to the work done under the contract, the contractor is responsible only for the
damage due to the contractor’s operations.
Unless shown otherwise, the contractor may use earth-moving equipment of any size or
weight for excavation, hauling, or compaction. The contractor must rebuild and make good
at no cost to the department all damages caused by contractor’s operations.
Plans Quantity Measurement
When plans quantity measurement is specified for an item, adjustment of quantities will be
made by the following:
If the quantities measured as outlined under "Measurement" vary from those shown in the
proposal and on the "Estimate and Quantity" sheet by more than 5 % (or as stipulated under
the measurement article for the Item), either party to the contract may request, in writing, an
adjustment of the quantities by each separate bid item, except that when stated in the
particular item, the adjustment will be made based upon a designated element shown in the
Item. The party to the contract which requests the adjustment shall present, to the other, one
copy of field measurements and calculations showing the revised quantities in question.
These revised quantities, when approved by the Engineer, together with all other quantities
under the same bid item, shall constitute the final quantity for which payment will be made.
When quantities are revised by a change in design, the "Plan Quantity" will be increased or
decreased by the amount involved in the design change. Typically, payment for revised
quantities will be paid for at the unit price bid for that bid item.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Extra Work
Extra work is the work that is not included in the original contract. It involves adding new
items of work by Change Order and/or force account work. A Change Order must be
executed before any extra work is begun. Payment for extra work is to be included in the
estimate after the work is completed.
Item 9.4 of the Standard Specifications defines add-on compensation for extra work that is
completed by force account. These add-on percentages are the total maximum amounts
allowed for the work regardless of whether the work is performed by the prime contractor or
subcontractors.
For projects where Special Provision 009-043 was added, the prime contractor will be paid
only for administrative cost when extra work is ordered by the engineer and is performed by
a subcontractor or a collection of subcontractors. The payment for administrative cost will
not exceed five (5) percent of the total subcontracted extra work (which includes the total
cost of labor, materials and equipment, plus add-on compensation for labor, materials and
equipment, plus burden on labor and subcontractor’s bond on the extra work, if any).
Partial Payments and Material-on-Hand
Starting with the November 1995 letting, Special Provisions to Item 9 were incorporated to
all construction contracts that transferred the responsibility for documenting and reporting
materials-on-hand from TxDOT to the contractors. The department will perform spot checks
of the Contractor’s material on hand records and record-keeping processes to ensure that the
system is capable of meeting the specifications. Refer to the latest edition of the Estimates
Manual for Construction and Maintenance Projects for guidance to administer the new
materials-on-hand process.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Partial Payments and Hot Mix Bonus/Penalty
In order to track the payment of bonus and penalty on QC/QA Hot Mix, standard item and
description codes have been assigned as described in the following table. Instructions for
adding these standards items to the construction estimate are found in the “Add/Delete Items
of Work (M2)” section of the “Construction Estimate” chapter in the CIS District User
Manual.
Type of
Entry
Hot Mix
Production
Bonus
Hot Mix
Placement
Bonus
Hot Mix
Production
Penalty
Adding Hot Mix and/or Ride Bonus/Penalty to Construction Estimate
Procedure
Bid Item Code
For all lots that received a production bonus* (and combining all
♦ 9500-0501
types of mix), sum the value found in the “Production Bonus Paid on ♦ 9500-5001 (metric)
Estimate” on the Pay Factor Worksheet and record the result.**
For all lots that received a placement bonus* (and combining all
♦ 9500-0502
Types of mix), sum the values found in the “Placement Bonus Paid
♦ 9500-5002 (metric)
on Estimate” on the Pay Factor Worksheet and record the result.
For all lots that received a production penalty* (and combining all
♦ 9500-0503
types of mix), sum the values found in the “Production Penalty
♦ 9500-5003 (metric)
Deducted from Estimate” on the Pay Factor Worksheet and record the
result.**
For all lots that received a placement penalty* (and combining all
Hot Mix
♦ 9500-0504
Placement types of mix), sum the values found in the “Placement Penalty
♦ 9500-5004 (metric)
Deducted from Estimate” on the Pay Factor Worksheet and record the
Penalty
result.
Hot Mix
Record the total dollar amount of bonus earned for all Daily Pay
♦ 9500-0505
Ride Bonus Adjustments for ride (all types of mix combined) that resulted in a
♦ 9500-5005 (metric)
ride bonus.*
Record the total dollar amount of ride penalty for all Daily Pay
Hot Mix
♦ 9500-0506
Adjustments for ride (all types of mix combined) that resulted in a
Ride
♦ 9500-5006 (metric)
ride penalty.*
Penalty
* In some cases, hot mix produced in one month has the penalty or bonus recorded on a following estimate.
The intent is to record any bonus or penalty that has not already been recorded on a previous estimate.
** If the contractor is not responsible for placement, sum the values in the “Production Only Bonus” section
instead.
Since any previous monthly estimate which used this method to record bonus or penalty
already shows the total of previous lots, it is only necessary to total the lots for the current
estimate cycle and add to the previous total.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
Payment of Incentives and Disincentives on Projects with Road-User Costs
In order to track the payment of incentives and disincentives on projects with road user costs
(RUC), standard item and description codes have been assigned as described in the table
below. Instructions for adding these standard items to the construction estimate can be found
in the “Add/Delete Items of Work (M2)” section of the “Construction Estimate” chapter in
the CIS District User Manual.
Item and Description Codes for Tracking Incentives/Disincentives with RUC
Project with
Description of Payment/Deduction
Item and Description Codes
A+B Bidding
Credit or Damage
♦ 9500-0507 (English)
Item Description – A+B CREDIT OR DAMAGE* ♦ 9500-5007 (metric)
Units should be Lump Sum (L. S.)
RUC (road-user costs) Credit or Damage
♦ 9500-0508 (English)
with Credit or Damage Item Description – RUC CREDIT OR DAMAGE* ♦ 9500-5008 (metric)
Units should be Lump Sum (L. S,)
RUC (road-user costs) Damage Only
♦ 9500-0509 (English)
with Damage Only
Item Description – RUC DAMAGE* ONLY
♦ 9500-5009 (metric)
Units should be Lump Sum (L. S.)
Third Party A+B or
Credit
♦ 9500-0510 (English)
RUC with Credit Only Item Description – RUC/A+B
♦ 9500-5010 (metric)
(CREDIT to be paid by THIRD PARTY)
Units should be Lump Sum (L. S.)
*Negative number would be used when a damage is involved.
Final Estimates
A ‘Final Acceptance’ letter (Final) will be issued to the contractor after the “Final
Inspection” if all the work is satisfactory, with the exception of any performance period.
This “Final Acceptance” of the work will set into motion the preparation of the “Retainage,
Semi-final Estimates” and “Final Estimates”.
Retainage provisions in the contract are required by state law and are intended to ensure that
the contractor will complete the work. Upon completion of the work, the engineer will
conduct a final inspection of the project. TxDOT handles retainage in three basic ways:
♦
Projects utilizing nonhazardous recycled materials (NRM)
♦
Projects not using nonhazardous recycled materials
♦
Projects with vegetative establishment, maintenance or performance period (VEMP)
For projects using NRM's, 4% of the contract amount will be retained until after completion
and acceptance of the work. Immediately after "final acceptance" by the District Engineer or
a designated employee, a retainage estimate will be initiated, releasing 50% of the retainage
shown on the last paid estimate to the contractor. This applies to all NRM construction
projects regardless of dollar amount. The retainage estimate can be transmitted and posted
only if there has been no quantity update since the last paid estimate.
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Chapter 11 — Measurement and Payment
Section 3 — Scope of Payment
For projects not utilizing NRM's, 5% of the contract amount will be retained until after
completion and acceptance of the work. Immediately after "final acceptance" by the District
Engineer or a designated employee, a retainage estimate will be initiated, releasing 60% of
the retainage shown on the last paid estimate to the contractor. This applies to all NRM
construction projects regardless of dollar amount. To release 60% of the retainage, the
percent retainage in the CIS files will be changed from 5% to 2%. The retainage estimate
can be transmitted and posted only if there has been no quantity update since the last paid
estimate.
For projects in the December 1999 or subsequent lettings, recent laws provide for a separate
vegetative establishment, maintenance or performance period (VEMP) following
construction. Before the entire improvement is accepted, TxDOT may release a portion of
the amount retained at the time construction of the improvement is completed but not more
than the amount sufficient to ensure compliance with the contract. Retainage for contracts
with VEMP work is handled as follows:
1.
For landscape projects, the standard full retainage of 4% or 5% should apply until
completion of all work and final acceptance.
2.
A reduction of retainage to 2% may be appropriate for most other contracts with a
VEMP, however, a lesser retainage may be considered as explained in item 3.
3.
When the 2% retainage is an amount beyond that needed to ensure completion of a
contract with a VEMP, the Engineer may reduce the amount retained to an amount
sufficient to complete the contract in case of default. To accommodate a retainage of
less than 2%, the CIS program has been revised to allow input of retainage to the
nearest 0.1%. When calculating the amount to be retained and converted to a percentage
to be used in CIS, round up to the nearest 0.1%.
The “Final Estimate” assures that all work performed and amounts due to the contractor are
calculated and paid. During the final estimate stage, all finalized pay quantity records are
checked, and all quantity totals are justified by supporting records. It is extremely important
that the pay quantity records are organized, updated, and totaled, and periodically reviewed
and initiated by the district office.
Prepare and submit final estimates (FE) and supporting papers according to instructions in
the Estimates Manual for Construction and Maintenance Projects. The district should
ensure that payment of final estimates is made in a timely manner. The district should
diligently pursue processing the FE and submit it to FIN within sixty (60) calendar days
after the date of acceptance of the work. The publication Construction Records to Support
Pay Quantities of Work Done on Contract Construction Projects presents an orderly method
of documentation to verify all pay quantities on the final estimate.
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Chapter 12
Environment
Contents:
Section 1 — Hazardous Materials/Waste ...........................................................................12-3
Section 2 — Biological Resources....................................................................................12-11
Section 3 — Water Resources ..........................................................................................12-14
Section 4 — Cultural Resources .......................................................................................12-22
Section 5 — Preservation of Cultural and Natural Resources and the Environment .......12-24
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Chapter 12 — Environment
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Section 1 — Hazardous Materials/Waste
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Section 1
Hazardous Materials/Waste
Overview
The goals for the construction stage of project development include:
♦
Implementation of any preventive action plans developed in the design stage for
contamination anticipated to be encountered during construction;
♦
Development and implementation of procedures to handle or manage unanticipated
contamination encountered during construction; and
♦
Documentation of implemented preventive provisions and actions.
Definitions
The term hazardous materials/waste is defined in TxDOT Standard Specifications, Item
1.25. Hazardous Materials/Waste. This definition is very broad and the requirements for
handling, testing, removal and disposal may differ depending upon applicable regulations.
Hazardous materials/waste includes, but is not limited to:
♦
Explosives
♦
Compressed gas
♦
Flammable liquids
♦
Flammable solids
♦
Combustible liquids
♦
Oxidizers
♦
Poisons
♦
Radioactive materials
♦
Corrosives
♦
Etiologic agents
♦
Other materials classified as hazardous by 40 CFR 261
(http://www.access.gpo.gov/nara/cfr/waisidx_99/40cfr261_99.html), or applicable state
and federal regulations.
Per TxDOT Standard Specifications, Item 7.1. Laws to be Observed, the contractor shall
observe and comply with all federal, state and local laws, ordinances and regulations. It is
important to note that under the Occupational Safety and Health Act (OSHA), the contractor
(employer) is responsible for the health and safety of his/her employees.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
TxDOT Standard Specifications, Item 8.10. Hazardous Materials, addresses hazardous
materials discovered on sites owned or controlled by the state. Per Item 8.10, materials
utilized in the project shall be free of any hazardous materials. The AE is to be immediately
notified when there is evidence of materials suspected of containing hazardous materials.
Item 8.10 also discusses the responsibilities for existing materials and materials delivered to
the project containing hazardous materials. For existing materials, the State is responsible
for testing and removal and the AE may suspend work. For materials delivered, the
contractor is responsible for testing and removal.
Procedure Overview
One benefit of performing environmental site assessments early in the project development
process is that unanticipated contamination encountered during construction is minimized.
When unanticipated contamination is encountered in a construction project, the potential
negative consequences include possible injury to workers and the public; damage to
equipment and property; delays in construction; damage claims by the contractor; and
additional costs for the procurement of consultant services, specialty contractors and field
changes. The discovery of hazardous materials may delay project construction until a
lengthy, complex process of investigation produces acceptable measures to handle the
contamination. Also, if the unanticipated encounter with hazardous material contamination
aggravates the existing problem, such as causing a further release of contaminants, then
TxDOT may become partially liable for the environmental consequences and required
cleanup of the release.
When hazardous materials are identified during earlier phases of the project development
and it is determined that cleanup is not feasible prior to construction, then preventive action
may be incorporated into the construction project. Preventive action refers to cleanup and
related activities that are required to effect the construction of the highway project. Should
cleanup activities by a responsible party be required due to state or federal regulations to
protect human health and the environment, then the activities are considered corrective
actions.
The following options for handling contamination are available and may be used
individually or in combination:
Option:
Option 1
(preferred)
Option 2
Option 3
Option 4
Option 5
Option 6
Options for Handling Contamination
Description:
Use a state specialty contractor by contract or prearranged purchase order to handle
contamination prior to letting
Obtain an emergency contract for a specialty contractor to handle contamination during
construction
Obtain prearranged purchase order prior to construction for a specialty contractor to handle
contamination during construction
Develop "extra work" order(s) for the prime construction contractor or subcontractor
Develop special provisions in the Plans, Specifications and Estimates (PS&E) for the prime
construction contractor; and/or
Coordinate activities with the responsible party (when the responsible party does cleanup).
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
TxDOT Standard Specifications do not provide for the inclusion of analytical testing,
preventive action or management of contaminants in construction contracts, since it is
outside the scope of "Highway Construction.” If such preventive measures are required of
the prime construction contractor or specialty subcontractor (Option 5), they need to be
included by special provision. Otherwise, other options as detailed above, (e.g., emergency
contract for a specialty contractor (Option 2), prearranged purchase order for a specialty
contractor (Option 3), "extra work" order by the prime construction contractor or
subcontractor (Option 4), or by the responsible party (Option 6)) are available for
anticipated and/or unanticipated contamination. Even if the prime construction contractor
does not carry out preventive measures, the PS&E may need general notes or provisions
alerting the contractor to the presence of contamination or limitations regarding access to
certain areas of the project and other items designed to avoid or minimize contractor
downtime.
The construction responsibilities for anticipated hazardous materials include:
♦
Coordination between the prime construction contractor, specialty contractors,
consultant(s) and other subcontractors
♦
Implementation of provisions for worker and public safety as well as the appropriate
handling and disposal of hazardous materials or waste
♦
Implementation of oversight provisions for preventive action aspects of the contract;
and
♦
Documentation of the actions taken for the sub-items related to preventive action.
Major steps for unanticipated hazardous materials/waste encountered during construction:
♦
Securing the site to protect workers and the public
♦
Notifying the proper authorities and responsible parties
♦
Determining the worker safety and public exposure concerns
♦
Characterizing the contaminant(s)
♦
Developing and implementing hazardous materials/waste management measures; and
♦
Documenting the event starting with discovery.
FHWA may not participate in the additional costs related to hazardous materials if "due
diligence" was not used in assessing the project limits in the planning stages of the project.
During construction if unanticipated contamination is encountered, then it may be necessary
to defend the actions taken with thorough documentation for federal participation.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Hazardous Materials Anticipated to be Encountered during Construction
This section covers hazardous materials identified during earlier phases of the project
development process where preventive action has been incorporated into the project and/or
provided for in the PS&E.
Coordination is needed between the prime contractor and specialty contractors, consultant(s)
and other subcontractors so as not to duplicate activities or cause unnecessary downtime.
Typically, a specialty contractor or subcontractor under the guidance of an environmental
consultant will execute preventive action working with the prime contractor under overall
control of the AE. A Pre-Bid Conference and Partnering should be considered, as effective
coordination between these parties and their work is important. The AE must also consider
phasing (whether part of the original contract or not) to minimize scheduling conflicts
between the prime construction contractor and specialty contractors.
The provisions for worker and public safety, as well as handling and disposing of hazardous
materials or waste, will need to be implemented during construction. The contract may
provide special compliance requirements for the handling, treatment or transportation of
hazardous materials, worker qualifications and safety practices. These special provisions
should be highlighted so the contractor and inspectors are aware of them from the beginning.
Specialized oversight provisions will require participation of consultants, specialty quality
control contractors, or environmental agencies.
The District Construction Office and the AE have the primary responsibility to generate and
maintain a thorough record. During construction, documentation of the actions taken for the
sub-items related to preventive action will be necessary. Appropriate reports close out the
preventive action part of the work.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Unanticipated Hazardous Materials Encountered during Construction
This section covers unanticipated hazardous materials that may be encountered during
construction activities after the contract is awarded.
Identification and recognition of the existing hazardous materials is the first step that
triggers action. During excavation, indicators of possible contamination include, but are not
limited to:
♦
Rusted barrels and containers
♦
Stained or discolored earth in contrast with adjoining soil
♦
Fill material containing debris other than construction-related items
♦
Household trash covered by earth or other material that appears to be interspersed with
industrial debris
♦
Gasoline smells or other odors which emanate when the earth is disturbed
♦
Oily residue intermixed with earth
♦
Sheen on groundwater
♦
Cinders and other combustion products like ash; and
♦
Structures such as asbestos cement (transite) pipe, abandoned oil & gas lines, and
underground storage tanks also require special handling when disturbed.
Usually the contractor will make the discovery of an unanticipated hazardous
materials/waste. When the Contractor (or TxDOT personnel) encounters materials suspected
by visual observation or smell to contain hazardous materials, the Contractor (or TxDOT
personnel) shall immediately notify the AE. The AE shall take the following notification and
coordination steps in dealing with hazardous materials after discovery:
♦
Once the notification is received, the AE should evaluate and confirm whether special
provisions are needed. The AE can contact the Contract Services Office (CSO) for
statewide environmental engineering consultant services; Environmental Affairs
Division, Hazardous Materials Management Section (ENV-HMM); and Design
Division (DES) for assistance as needed
♦
Develop requirements and arrange to secure the suspected area for worker and public
safety as needed. If possible, relocate the Contractor on the construction project to avoid
or minimize construction downtime
♦
Notify the District Construction Office
♦
Determine applicable regulations with ENV-HMM assistance. If notification is required
or if additional regulatory assistance is desired, the District Construction Office must
notify the local office of the Texas Commission on Environmental Quality (TCEQ).
ENV-HMM is available to assist with communication and coordination with the TCEQ.
♦
If possible or practical, identify and notify responsible parties to arrange for preventive
action and/or cost recovery.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
When discovered, the state assumes responsibility for testing, removal or disposition of the
hazardous materials. Compensation to the Contractor for delays and work stoppages is
addressed under the standard provisions of the contract. Provide the Contractor the option to
perform the testing, removal and/or disposition as "extra work" by a Change Order(s) in
accordance with Item 4.3 of the TxDOT Standard Specifications. The Contractor is not
obligated to opt for "extra work" since the required work is outside the scope of the contract.
The AE will need to obtain proposals and estimated costs for "extra work" from consultants
and/or specialty contractors to compare with the estimated costs from the Contractor.
Several factors including required expertise, timeliness in developing extra work orders, cost
effectiveness and pollution liability insurance may affect whether the Contractor consents to
extra work orders or if they are accepted by TxDOT. If the Contractor is unwilling to opt for
the "extra work," or if this option is not cost effective, suspend the work wholly or in part
through proper notice to the Contractor. Again, if possible, re-deploy the Contractor on the
construction project to avoid or minimize construction downtime.
Another available option is to arrange for an emergency contract for a specialty contractor.
Some districts have prearranged purchase orders for specialty contractors and/or
laboratories. An environmental consultant may be necessary for testing or developing
preventive action plans. The AE can contact the CSO for statewide environmental
engineering consultants and/or ENV-HMM for assistance.
Provide coordination between the affected divisions (CST, DES, ENV-HMM and CSO),
prime construction contractor, specialty subcontractor, environmental consultant,
responsible parties and other agencies. At this time "Partnering" should be considered to
reduce the potential for future claims.
Coordinate the implementation of preventive action with the construction activities of the
project. This may involve concurrent activities by consultants, specialty contractors, and the
prime construction contractor and subcontractors.
If work is suspended, then the District Construction Office and the AE will take the
necessary action to issue a "notice of resumption of suspended work" to the prime
construction contractor when preventive action is completed.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Characterize the Contaminant and Develop Preventive Action Plan
Whether arranged by the prime construction contractor or by TxDOT, a consultant may be
required to identify and characterize the contamination through sampling and analytical
testing. The objectives of the consultant's investigation include:
♦
Determine characteristics of the soil, groundwater and vapor (e.g., groundwater
recovery rates; vertical and horizontal extent of contamination; chemicals of concern,
etc.)
♦
Assess worker safety and public exposure concerns
♦
Determine the handling and/or disposal requirements for any contaminated media
unearthed as part of the construction process
♦
Recommend a preventive action plan to ensure the problem is not aggravated and to
avoid or minimize department liability; and
♦
Determine requirements necessary such that the prime construction contractor can
resume work following suspension.
Consultants may also need to develop special specifications to complete portions of the
construction within contaminated environments. The data obtained from the investigation
will enable the consultant to develop special specifications related to groundwater treatment
or filtration systems; ventilation systems; ongoing site monitoring; contaminated material
disposal or reuse options; and permitting. Environmental consultants can be procured
through the statewide engineering and environmental consultant program administered by
CSO with technical oversight provided by ENV-HMM.
As previously stated, the District Construction Office and the AE have the primary
responsibility to generate and maintain a thorough record. Appropriate reports close out the
preventive action part of the work and a proper resumption order restarts the construction.
The AE completes the records by carefully noting all the actions taken from the time the
initial notification was received up to closure with regulatory agencies.
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Chapter 12 — Environment
Section 1 — Hazardous Materials/Waste
Cost Recovery and Accounting
FHWA may not participate in the additional costs related to hazardous materials if due
diligence was not used in assessing potential impacts within the project limits in the
planning stages of a federal-aid project. Federal participation in preventive action costs
depends on a solid defense of the actions taken when unanticipated contamination is
encountered. This defense is created with a thorough record of all circumstances and actions
taken including coordination with regulatory authorities, worker/public safety plan actions,
and step-by-step preventive action measures. This record, once generated, will form a
valuable management tool and may be useful for a variety of accounting issues.
Discovery of contaminated sites has a potential for claims, litigation, and expectations of
cost recovery from affected parties. For these reasons, and also for statistical data collection
for management decisions, it is essential to track the costs attributable to hazardous material
issues on sites. One effective measure is to assign a unique numbering system to pay items
related to the hazardous material on site.
Responsible Parties
There are cases where TxDOT has successfully identified, contacted and made arrangements
with responsible parties for cost recovery or handling hazardous materials without litigation.
These arrangements have a greater potential for success if negotiated prior to letting.
Arrangements can still be initiated when unanticipated contamination is encountered during
construction.
If possible or practical, identified responsible parties should be contacted before costs are
incurred. The responsible party may be more willing to make arrangements if allowed to
participate in developing preventive action measures. Additionally, if the responsible party
is undergoing other corrective action, they may have the resources to handle the
contamination in an acceptable time frame for the construction project.
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Chapter 12 — Environment
Section 2 — Biological Resources
Section 2
Biological Resources
Endangered Species Act Requirements
There are about 86 species in Texas, at the time of this writing, that are listed as threatened
or endangered under the authority of the Endangered Species Act of 1973 (ESA)
(http://www.house.gov/resources/105cong/reports/105_c/esaidx.htm). There are also two
species proposed for listing and an additional 12 species with candidate status. For Texas
Department of Transportation (TxDOT) purposes, all the listed and proposed species have
the full protection of the ESA. Candidate species, although not afforded the protections of
the ESA, should be considered in project development because listing of candidate species
during project development or construction could cause project delays.
The ESA has two different Sections with directly affect TxDOT projects. Section 7 requires
Federal agencies to consult with the U. S. Fish and Wildlife Service (USFWS) whenever a
project "may affect" a listed species, or to confer with the USFWS whenever a project "may
affect" a proposed species (http://www.wetlands.com/). Section 7 consultations may be
either formal or informal. Section 7 makes it the responsibility of each Federal agency to
conserve listed species. The Federal Highway Administration (FHWA), in a letter to the
USFWS has named TxDOT as a designated representative for FHWA for Section 7
consultations, but not including formal consultations. This means that TxDOT conducts
Section 7 consultations and conferences with the USFWS on projects with Federal funds,
except that all formal consultations go through the FHWA. State funded projects that require
some other federal approval, such as a Corps of Engineers Section 404 permit would also
come under Section 7 of the ESA. Section 10 of the ESA applies to state funded projects
that have no other federal connection. Section 10 requires that a USFWS permit be obtained
to "take" any listed species.
When TxDOT is planning a project and discovers that a listed, proposed, or candidate
species is involved, several courses of action may be possible. If it is believed that a project
"may affect" a listed species, it might be possible to modify the project to eliminate the "may
affect," in which case no further action would be necessary. An example of removing a
"may affect" would be to change a right of way alignment to avoid a population of a listed
plant. If the project cannot be modified to remove a "may affect" consultation with the
USFWS will be necessary. The consultation may start an informal consultation or may
proceed directly to formal consultation. Any discussions, telephone conversations, etc. with
the USFWS are part of the informal consultation process. Formal consultation involves the
preparation of a Biological Assessment, which is transmitted to the USFWS, through
FHWA and the return of a Biological Opinion from the USFWS. The end result of
consultations may be a requirement for the implementation of measures to reduce the
impacts to a listed species. The required measures may be either on-site or off-site, or both.
On-site mitigation may require construction modifications to comply with the results of
consultation with the USFWS.
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Chapter 12 — Environment
Section 2 — Biological Resources
If the USFWS issues a Section 10 permit for a non-federal project, the permit will typically
contain measures to mitigate the "take" of a listed species, such as construction changes or
purchase of replacement habitat.
When measures are identified that are necessary to eliminate the "may affect" or take of a
listed or proposed species, through TxDOT's own project modifications, formal or informal
consultation with the USFWS, or through a Section 10 permit, and the measures involve
construction activities, those activities must be noted in the contract(s) for the project.
Special contract conditions should note any on-site measures. If incidental take of a listed
species is allowed by either the formal consultation process or a Section 10 permit, that
incidental take should also be noted in special contact conditions.
Once construction starts, any observed differences in the affects of the construction on listed
species, or incidental take that exceeds that allowed in the Biological Opinion or Section 10
permit must be immediately brought to the attention of the District Environmental
Coordinator. Any new information that shows the affects of the project on listed species is
greater than anticipated may require additional consultation with the USFWS.
Stream Channel Modifications
Projects that receive federal funds or approval are subject to review by the USFWS and the
Texas Parks and Wildlife Department (TPWD), under the authority of the Fish and Wildlife
Coordination Act when work involves modifications to:
♦
Stream channels in new rights-of-way
♦
Stream channels in existing, unmaintained rights-of-way (ROW)
♦
In new channel easements
♦
Or in new disturbance to existing channel easements.
USFWS and TPWD may make recommendations for mitigation of the channel affects on
wildlife and habitat. However, the recommendations are not limited to the stream channel
itself.
These recommendations are not binding to TxDOT, but could result in special contract
requirements. Once TxDOT accepts the recommendations, a good faith effort must be made
by both TxDOT and the contractors to implement them.
The recommendations of the USFWS might entail permit requirements through the federal
permit process. USFWS and TPWD should be included in the contract, when necessary, to
ensure that the recommendations will be followed.
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Chapter 12 — Environment
Section 2 — Biological Resources
Memorandum of Understanding between TxDOT and the Texas Parks and Wildlife
Department
Project environmental documents that meet specific criteria in a Memorandum of
Understanding between TxDOT and TPWD are reviewed by TPWD. TPWD may provide
recommendations for mitigation of impacts to wildlife and habitats. TxDOT has the final
decision on how to implement these recommendations, and a good faith effort must be made
to implement them. All such requirements must be observed by both TxDOT and
contractors, once the recommendations have been accepted by TxDOT.
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Chapter 12 — Environment
Section 3 — Water Resources
Section 3
Water Resources
Storm Water Discharges
The Clean Water Act (CWA) (http://www.epa.gov/oar/oaqps/peg_caa/pegcaain.html) is the
principal law governing pollution control and water quality of the nation’s waterways. The
act regulates discharges to waters of the United States through permits issued under the
National Pollutant Discharge Elimination System (NPDES) permitting program. The Act
makes it unlawful to discharge storm water from construction sites, unless authorized by a
NPDES permit. The NPDES permit regulations, promulgated by the U.S. Environmental
Protection Agency (EPA), require that storm water discharges due to construction activities
apply for coverage under the NPDES program’s Construction General Permit. Unlike an
individual permit that is prepared to cover discharge activities for a specific location, the
General Permit prepared by EPA is for a specific activity, such as construction. The operator
seeking coverage under the General Permit is required to provide a Notice of Intent (NOI) to
the EPA and then comply with the terms of the General Permit. Information on the General
Permit and an NOI can be accessed at http://www.epa.gov/region06/water/.
The General Permit authorizes the discharge of storm water associated with construction
activities that result in the disturbance of five (5) acres or more of total land area, including
areas that are part of a larger common plan of development. The General Permit applies only
during site construction. Once the earth-disturbing activities are complete, the area is finally
stabilized and a Notice of Termination (NOT) has been submitted to the EPA, then the
requirements of the General Permit are complete. NOT can be accessed at the above EPA
website.
In July 1998, the EPA reissued the NPDES Construction General Permit. The major
revisions from the previous General Permit are:
♦
A requirement to comply with the Endangered Species Act and a new section on the
NOI form certifying that measures to protect endangered species, if necessary, have
been taken. To meet its obligation under the Clean Water Act and the Endangered
Species Act and to promote those Acts’ goals, TxDOT must ensure that activities
regulated by the General Permit are protective of listed endangered and threatened
species and critical habitats. TxDOT is required by the new General Permit to assess the
impacts of storm water discharge and related activities on listed endangered and
threatened species and critical habitats
♦
Expanded coverage to sites less than five (5) acres if designed by the Regional Director
of EPA
♦
A requirement to post project information at the project site, the posted information
includes the issued permit number (or copy of the NOI if the permit number has not
been assigned); a brief description of the project; and the name of a contact person. The
department is responsible for this poster requirement
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Chapter 12 — Environment
♦
Section 3 — Water Resources
The addition of criteria and objectives to be followed in developing and implementing
the storm water pollution prevention plan (SW3P).
The effective date of the new General Permit was July 6, 1998.
Receiving Coverage Under the NPDES Construction General Permit
To receive coverage under the Construction General Permit, TxDOT is required to complete
the following actions:
♦
Develop Storm Water Pollution Prevention Plans (SW3P) for each project requiring an
NPDES permit (http://crossroads.dot.state.tx.us/org/env/NRMintranet/index.htm)
(http://www.dot.state.tx.us/insdtdot/orgchart/env/nrm.htm).
♦
Submit a Notice of Intent (NOI) to the EPA
♦
Satisfy special conditions of the NPDES General Permit
♦
Perform scheduled inspections, together with remedial actions, of storm water erosion
control devices
♦
Submit a Notice of Termination (NOT) after completion of all required activities.
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Chapter 12 — Environment
Section 3 — Water Resources
NPDES Construction General Permit Storm Water Pollution Prevention Plans (SW3P)
Requirements
A SW3P must be prepared for projects that require coverage under the NPDES Construction
General Permit requirements. The intent of the SW3P is to reduce pollutants in storm water
discharges from the project site. The NPDES Construction General Permit requires that the
SW3P be completed before the submittal of the NOI and that it must include the following
information:
♦
Detailed site description
♦
Description of appropriate control measures (i.e., Best Management Practices) that will
be implemented as part of the construction activity to control pollutants in storm water
discharges
♦
Description of planned maintenance activities that will be necessary to keep the erosion
and sediment control measures identified in the SW3P in effective operating condition
♦
Description/record of inspections of erosion and sediment control devices, disturbed
areas of the construction site, equipment and material storage areas and construction
entrance and exist points (results of the inspection would be used to modify the SW3P
as necessary)
♦
Description of all non-storm water related discharges associated with the construction
activity and a description of the pollution prevention measures that will be implemented
for the non-storm water component(s) of the discharge.
The above list is only a brief summary of the required contents of the SW3P. A more
detailed discussion is outlined in the NPDES Construction General Permit.
The SW3P must be reviewed regularly and kept current by noting any changes in the plan. If
any runoff control measure does not function adequately, the SW3P must be modified to
correct the problem. Repair, replace, or modify all failing devices according to the revised
SW3P.
The SW3P, together with any revisions, must be kept with the project files at the project
field office. If there is no project field office, the AE must designate a specific location for
the SW3P, together with any revisions. In this situation, they must be at an accessible
location.
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Chapter 12 — Environment
Section 3 — Water Resources
Notice of Intent (NOI)
To receive coverage under the NPDES Construction General Permit, TxDOT must submit a
NOI (3510-9) at least 48 hours before project construction begins. Submit the NOI only after
the SW3P has been prepared.
The NOI contains a certification, which reads as follows:
I certify under penalty of law that this document and all attachments were prepared
under my direction or supervision in accordance with a system designed to assure
that qualified personnel properly gathered and evaluated the information submitted.
Based on my inquiry of the person or persons who manage the system, or those
persons directly responsible for gathering the information, the information
submitted is, to the best of my knowledge and belief, true, accurate, and complete. I
am aware that significant penalties exist for submitting false information, including
the possibility of fine and imprisonment for knowledge of violations.
The DE signs the NOI. By submitting the NOI, TxDOT is required to control storm water
discharges from the project site as specified by the provisions of the NPDES Construction
General Permit. Regulations are found in 40 CFR, Part 122
(http://www.access.gpo.gov/nara/cfr/waisidx_99/40cfr122_99.html) reinforcing the
requirement. The NPDES general permit contains fines or imprisonment for failure to fulfill
the general permit requirements.
Note: On March 8, 1999, the Director of the Environmental Affairs Division issued a memo
regarding the delegation of signature authority on NOI under the terms of the NPDES
Construction General Permit, having stated that “many DE’s have sought to extend this
authority to their AE’s.” For this reason, after having discussed the meaning of Part
VI.G.(2) with the EPA in a meeting on February 2, 1999, it is appropriate for AEs to
sign NOIs at the discretion of their DE (i.e., where the DE agrees that the AE has
‘…responsibility for the overall operations of a principal geographic unit of the
agency…’). Under no circumstances should anyone other than the DE or designated
AEs sign and submit NOIs to the EPA.
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Chapter 12 — Environment
Section 3 — Water Resources
Contractor Involvement
The NPDES Construction General Permit and SW3P must clearly identify the contractor or
subcontractor that will implement any measure outlined in the SW3P. A list of the
responsible contractor or subcontractor must be submitted to the AE at the pre-construction
conference.
In certain situations, the contractor is responsible for SW3P preparation. When contractor
facilities such as asphalt or concrete plants are within the ROW, the contractor is responsible
for preparing an SW3P for these operations. The AE must approve these SW3Ps and
maintain them with the TxDOT project SW3P. The TxDOT permit or NOI does not cover
contractor facilities off the ROW. For these off-ROW facilities the contractor must prepare
SW3Ps and submit an NOI to the EPA under EPA requirements. However, a Project
Specific Location (PSL) is required to be included in the overall project’s SW3P if the PSL
is under the operational control of TxDOT and is used to directly and exclusively support
the TxDOT project.
Inform the contractor of any violations of NPDES regulations by the contractor off the
ROW and document these actions in the project diary.
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Chapter 12 — Environment
Section 3 — Water Resources
Inspections
The DE is responsible for appointing a Department Responsible Person (DRP) to make
regular inspections of the construction site to verify that the erosion control measures and
devices are working. These inspections should be conducted according to the 1995
Standard Specification, “Item 506 Temporary Erosion, Sedimentation, and Water Pollution
Prevention and Control.” The DRP documents the inspection in the “Construction Pollution
Prevention Plan Inspection and Maintenance Report” (located in the ‘Storm Water
Management Guidelines for Construction Activities’ or obtained from the Environmental
Affairs Division).
The Construction General Permit requires that qualified personnel inspect the following
areas at least once every fourteen (14) calendar days and within 24 hours of the end of a
storm event of 0.5 inches or greater:
♦
Disturbed areas of the construction site that have not been finally stabilized
♦
Areas used for storage of materials that are exposed to precipitation
♦
Structural control measures, and
♦
Locations where vehicles enter or exit the site.
Where sites have been finally or temporarily stabilized or during seasonal arid periods in
arid areas (average annual rainfall of 0 to 10 inches) and semi-arid areas (average annual
rainfall of 10 to 20 inches) inspections are required at least once every month.
Based on the results of the inspection, the SW3P must be modified as necessary (e.g., show
additional controls on the site map; revise description of controls) to include additional or
modified best management practices (BMPs) designed to correct problems identified.
Revisions to the SW3P must be completed within seven (7) calendar days following
inspection. If existing BMPs need to be modified or if additional BMPs are necessary,
implementation must be complete before the next anticipated storm event or implemented as
soon as practicable.
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Chapter 12 — Environment
Section 3 — Water Resources
NPDES Construction General Permit Notice of Termination (NOT)
TxDOT policy is that the DE or AE signs the NOT (3510-7) and submits this notice to the
EPA after completion of the project and stabilization of all disturbed areas. The NOT
certification reads as follows:
I certify under penalty of law that all storm water discharges associated with
industrial activity from the identified facility that are authorized by an NPDES
general permit have been eliminated or that I am no longer the operator of the
facility or construction site. I understand that by submitting this notice of
termination, I am no longer authorized to discharge storm water associated with
industrial activity under this general permit, and that discharging pollutants in
storm water associated with industrial activity to waters of the United States is
unlawful under the Clean Water Act where the discharge is not authorized by a
NPDES permit. I also understand that the submittal of this notice of termination
does not release an operator from liability of any violations of this permit from the
Clean Water Act.
Completion of a Project and Release of a Contractor
It is standard department practice to release the contractor fully after satisfactory completion
of the project and achievement of 70 percent perennial vegetative cover, or equivalent. Final
acceptance of the project may be granted if measures to control erosion, sedimentation, and
water pollution, have been employed. State forces implement SW3P, by:
♦
Standard maintenance operations
♦
Function Code 261, State Force Account – Storm Water Pollution Prevention, (refer to
Code Chart 12, Function Codes and Descriptions by FIMS Segments, in Code Chart
Reference Guide 12-1-95)
♦
Maintenance contract
♦
Or another construction type contract.
If a job is accepted with less than 70 percent stabilization, CST must be notified to keep the
contract CSJ open. After submitting the NOT to the EPA, notify CST to close the project
from the Contract Information Segment (CIS).
For more information on NPDES General Permit for storm water discharges from
construction activities contact the Water Resources Management Branch of the
Environmental Affairs Division.
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Chapter 12 — Environment
Section 3 — Water Resources
Section 404 Permit Requirements
The U.S. Army Corps of Engineers is directed by Congress to regulate and permit the
discharge of material into all waters of the United States, including wetlands. The intent of
the law is to protect the nation's waters from indiscriminate discharge of material capable of
causing pollution and to restore and maintain chemical, physical and biological integrity.
TxDOT is required to obtain a Corps of Engineers permit for any project that will have an
impact on these waters. Discharge material has been very broadly defined to mean almost
anything that can affect the waterway or wetland. The Corps defines the following general
types of construction projects as needing a permit:
♦
Bridge crossings
♦
Temporary fills in jurisdictional waters including streams, wetlands, and some stock
ponds
♦
Dredged material that flows back into water from upland dredged material placement
site
♦
Land clearing in Corps jurisdictional waters.
Depending on the project, TxDOT is required to construct a project under a Corps
Nationwide permit (NWP) or Individual permit. NWP's are a type of general permit issued
for minor activities with minimal impacts. They are designed to relieve the time consuming
administrative burden for minor discharges. The construction project must satisfy all terms
and conditions of the specific NWP.
For all discharges not permitted under a NWP or other General Permit, an Individual Permit
will be required. Procedures for an Individual Section 404 permit are very time-consuming
and have extensive requirements.
The permit for each project will have conditions that must be met exactly as stated in the
permit. Any changes in the project plans or field changes during construction that alter what
was stated in the Corps permit application and permit must be approved by TxDOT prior to
being conducted. A significant change could require a new permit to be issued in the case of
an individual permit.
Failure to comply with all permit conditions could, and have in the past, resulted in project
work stoppages being issued by the Corps. This results in costly delays for both TxDOT and
the contractor.
For more information on Corps of Engineers permit requirements; contact the Water
Resources Management Branch of the Environmental Affairs Division.
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Chapter 12 — Environment
Section 4 — Cultural Resources
Section 4
Cultural Resources
Antiquities Code of Texas (Chapter 191 of the Natural Resources Code)
This law applies to all on and off system department projects. Chapter 191
(http://www.capitol.state.tx.us/statutes/nr/nr0019100toc.html) states that historical sites and
archaeological landmarks on land belonging to the state, a state agency, or a political
subdivision of the state may not be altered, destroyed or excavated without a permit from the
Texas Historical Commission. The department has agreed to avoid sites, buildings and
locations of historical, archaeological, educational, or scientific interest in rights-of-way
(ROW) and other areas affected by a transportation activity or to minimize or mitigate any
transportation related impacts to them.
Typically, these obligations are completed by the department in the pre-construction phase
of project planning. In some cases, however, the department must complete our obligations
after award of the construction contract. In those cases, the department will:
♦
Obtain Texas Historical Commission approval to proceed to construction with a
commitment to delay construction or other transportation activities that may impact
state archeological landmarks.
♦
Include a note in the PS&E to require that no construction related activities occur in
specifically designated project areas until the department’s commitments to the Texas
Historical Commission have been completed. The Environmental Affairs Division will
coordinate these commitments and their completion with the AE and the district’s
Environmental Coordinator.
If archaeological materials or human remains are identified within the ROW, or material
source under option to the department, all construction related activities shall cease and the
find shall be reported to the Environmental Affairs Division in accordance with
Specification 7.17 and the department’s Emergency Discovery Guidelines (EmerDisc)
(http://www.dot.state.tx.us/insdtdot/orgchart/env/resources.htm). The contractor will be
notified by the AE or Project Inspector when work may resume.
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Chapter 12 — Environment
Section 4 — Cultural Resources
National Historic Preservation Act as amended (16 U.S.C. §470 and 36 CFR 800)
This act applies to all federally funded projects and projects involving permitting or
approval by a Federal agency, such as the Corps of Engineers. When significant
archeological sites, marked and unmarked cemeteries, traditional cultural properties,
buildings, structures or objects will be affected by the project, the act requires consultation
with the Texas Historical Commission, federally recognized Indian tribes, local
governments, other consulting parties, and members of the interested public prior to
approval of funding or issuance of permits or approvals. The purpose of the consultation is
to avoid, minimize, or mitigate project-related impacts to these significant cultural
resources. (http://www2.cr.nps.gov/laws/NHPA1966.htm) and
(http://www.achp.gov/regs.html).
Typically, consultation is completed by FHWA and the department in the pre-construction
phase of project planning. In some cases, however, the department must complete mitigation
or other requirements after award of the construction contract. In those cases, the department
will:
♦
Obtain Texas Historical Commission approval to proceed to construction with the
commitment to avoid construction or other transportation activities that may impact
significant cultural resources until the commitment has been met.
♦
Include a note in the PS&E to require that no construction related activities occur in
specifically designated project areas until the department’s commitments to the Texas
Historical Commission have been completed. The Environmental Affairs Division will
coordinate these commitments and their completion with the AE and the district’s
Environmental Coordinator.
Properties subject to consultation may be outside the ROW under certain circumstances.
Impacting or allowing contractors to impact areas subject to these commitments can result
in loss of Federal funding, work stoppages, and litigation.
If archaeological materials or human remains are identified within the ROW, or material
source under option to the department, all construction related activities shall cease and the
find shall be reported to the Environmental Affairs Division in accordance with
Specification 7.17 and the department’s Emergency Discovery Guidelines (EmerDisc). The
contractor will be notified by the AE or Project Inspector when work may resume.
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Section 5 — Preservation of Cultural and Natural
Resources and the Environment
Chapter 12 — Environment
Section 5
Preservation of Cultural and Natural Resources and the Environment
Certification
For all project specific locations (PSL’s) (material sources, waste sites, parking areas,
storage areas, field offices, staging areas, haul roads, etc.) the contractor certifies by signing
the contract that they and all subcontractors will comply with all applicable laws, rules and
regulations pertaining to the preservation of cultural resources, natural resources, and the
environment as issued by the following or other agencies.
♦
U.S. Department of Transportation
♦
U.S. Army Corps of Engineers
♦
U.S. Federal Emergency Management Agency
♦
U.S. Fish and Wildlife Service
♦
U.S. Environmental Protection Agency
♦
Texas Department of Transportation
♦
Texas Historical Commission
♦
Texas Parks and Wildlife Department
♦
Texas Commission on Environmental Quality.
The contractor and all subcontractors will be required to maintain documentation of
certification activities including environmental consultant reports, contractor documentation
on certification decisions, contacts with the resource agencies, and correspondence with use
the pertinent resource agency. This documentation will be provided upon request.
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TxDOT 9/2002
Chapter 13
Health and Safety
Contents:
Section 1 — Federal Safety and Health Laws ....................................................................13-3
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Chapter 13 — Health and Safety
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Section 1
Federal Safety and Health Laws
Introduction
OSHA has published regulations concerning safety and health in Title 29 of the Code of
Federal Regulations, Part 1926, “Safety and Health Regulations for Construction,” and Part
1910, “Occupational Safety and Health Standards.” Regulations are based on the Act of
1970.
(http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_id
=10593&p_text_version=FALSE).
The contractor is responsible for ensuring compliance with all Code of Federal Regulation
requirements. The contractor’s employees and departmental personnel must have safe
working conditions. The public must be safe while traveling through the construction site.
Contractor Performance
The specifications require the contractor to protect the safety of the public and the life and
health of personnel on a project. The following subsections describe the necessary the steps
to take before work begins and during the operation. Construction safety regulations and
standards published by OSHA contain detailed requirements. Exact information is located in
Title 29, Code of Federal Regulations, Part 1926 and 1910. Additional information on safety
is in the American Association of State Highway Transportation Officials (AASHTO)
publication, Informational Guide on Occupational Safety on Highway Construction
Projects.
Pre-Construction Preparation
The AE and project inspector need to review the OSHA regulations so they are familiar with
violations of safety requirements. Contract plans and specifications are reviewed to identify
hazardous types of work, such as trenching and underground/overhead utilities, etc. If the
contract provides for special work that presents a danger to the public or workers on the
project, the contractor’s plan must be discussed with the contractor at the pre-construction
conference, emphasizing safety aspects. This may include a discussion of requirements for
special equipment, unique procedures; and necessary permits or reports.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Pre-Construction Conference
The conference should cover the following safety points:
♦
The contractor must meet all state and federal construction safety standards, a copy of
the contractor's written Safety/Accident Prevention Plan, and the Safety
Policies/Procedures/Regulations for TxDOT's review and files.
♦
The written accident prevention plan of the contractor must be discussed -organization,
staff, names of responsible individuals, meetings, training, reports, etc.
♦
The contractor’s responsibility for subcontractor compliance with safety regulations
must be reviewed.
♦
The contractor’s plans for meeting specific specialty job safety requirements and for
eliminating potentially critical hazards on the project must be reviewed.
♦
A written record of reviewed safety measures must be added to the project files.
Construction Surveillance
Project personnel must record any violations of applicable safety requirements. The
following brief discussion is based on the 29 CFR 1926 construction safety standards and
lists some of the principal safety requirements of specific OSHA safety standards.
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cfr1926_99.html).
♦
First aid and medical services – The contractor must provide readily accessible first aid
kits and conspicuously post telephone numbers of doctors, hospitals, and ambulances,
per 29 CFR 1926.23 &.50.
♦
Housekeeping – Clear scrap and used materials from work areas (scattered debris and
combustible scrap) that would constitute hazards to workers, per 29 CFR 1926.25
♦
Noise exposure – If the contractor cannot provide means to lower noise level exposures
to permissible levels, personal protective equipment must be provided, per 29 CFR
1926.52
♦
Head protection – Employees must wear protective helmets to avoid injuries, per the
requirements of 29 CFR 1926.100
♦
Eye and face protection – Eye and face protection must be provided to protect against
eye or face injury, per 29 CFR 1926.102
♦
Safety nets – Safety nets are used as protection for unprotected sides, leading edges,
working on the face of formwork or reinforcing steel, overhead or below surface
bricklaying, work on roofs, and pre-cast concrete work. For further information about
“Fall Protection,” see 29 CFR 1926, Subpart M
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
♦
Power-operated hand tools – Only employees trained in operating power tools are
permitted to use them. Certain hand-held powered tools must be equipped with a
constant pressure switch that will shut off the power when the pressure is released.
These include circular saws, chain saws, and percussion tools without positive
accessory holding means. Electrically powered hand tools must be of the doubleinsulated type or grounded. Pneumatic power tools must be secured to the hose or whip
by some positive means to prevent the tool from becoming accidentally disconnected.
Additional requirements for the safety operation of power tools are found in 29CFR
1926. 302
♦
Ladders – Required characteristics:
1.
must be free of defects;
2.
adequately supported or anchored
3.
fixed ladders must have cages per the requirements of 29 CFR 1926.1053
♦
Scaffolds –All scaffolding shall be erected in accordance with the requirements for the
specific scaffold type as provided in 29 CFR 1926 Subpart L
♦
Cranes and derricks – Operations must comply with the requirements of 29 CFR
1926.550. Other material handling requiring the use of overhead lift equipment must
comply with applicable standards of Subpart N. Rated load capacities must be posted on
the equipment. A trained person must make frequent inspections of the equipment and a
thorough annual inspection of the hoisting machinery. Electrical distribution lines near
operating equipment must be de-energized and grounded, or insulating barriers erected
to prevent contact with the lines. Otherwise operation must allow at least ten (10) feet
clearance from live electrical power lines.
♦
Earth moving equipment – Equipment must have brakes capable of stopping and
holding the equipment when fully loaded. All bi-directional machines (rollers,
compactors, front-end loaders, bulldozers, and similar equipment) must have an
operable horn. Audible back up warning devices must be in place and in good operating
condition on equipment, which has an obstructed view to the rear. Other applicable
specific requirements as found in 29 CFR 1926 Subpart O, .600 through .605 must be
followed
♦
Excavation – Existing trees, boulders, and other surface obstructions creating a hazard
to employees working on or near excavations must be removed or made safe before
excavation is begun. All excavation operations must be done in accordance with the
requirements of 29 CFR 1926 Subpart P, .650 through .652 and all
appropriate/applicable appendices
Note: There may be special contract requirements beyond the minimum requirements stated
above.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
♦
Concrete forms – Concrete forms must be erected and braced to withstand all vertical
and horizontal loads that may be imposed on them during concrete placement. Concrete
forms must be removed and stockpiled promptly after stripping. Protruding nails, wire
ties, etc., must be removed to eliminate a hazardous condition. Other requirements per
29 CFR 1926.700 through .706 must be followed as applicable
♦
Structural steel assembly – During structural steel erection the hoisting line must be
retained on the members until there are two (2) bolts at each connection or two (2)
erection clamps wrenched tight at each welded connection. The safety standards in
Subpart R of 29 CFR 1926 provide the complete requirements for structural steel
erection and must be followed as applicable.
♦
Cofferdams – If high water overtopping of the cofferdam is possible, a methodology
must be provided for controlled flooding. At least two (2) means of rapid egress from
the work area must be provided, per the requirements of 29 CFR 1926.802
♦
Explosives – Cigarettes, firearms, and matches are prohibited while handling,
transporting, or using explosives. All other requirements for the handling of explosives
are found in 29 CFR 1926 Subpart U
♦
Handling traffic through and around construction – Temporary roadways and detours
must be properly maintained. Use the Traffic Control Plan and Texas Manual on
Uniform Traffic Control Devices (TMUTCD) to check signs, barricades, and flaggers.
Flaggers must be trained using a recognized training course, such as offered by TEEX.
Note: TxDOT employees, as well as contractor’s employees, must continually follow safety
practices. The inspector must follow all requirements for personal safety.
Violations of Safety Regulations
Violations of safety and health regulations may be minor in nature, or they may be a serious
threat to human life. Inform the contractor by written notice or orally of the failure to fulfill
the specific safety regulation(s). When an apparent violation is noted, rather than attempting
to tell the contractor how to correct the deficiency, department personnel must take the
following steps:
Step 1: When a hazardous condition is detected and presents an immediate danger, inform
the superintendent at once so immediate corrective action may be taken. Document all
discussions and interactions. If the project engineer or the inspector is aware of the
immediate hazardous condition, he or she can suspend the work in the area of the hazard.
Refer the suspension to the AE. The AE must give notice to the contractor as required by
Article 8.4 of the Standard Specifications. After determining that adequate corrective
measures have been taken, the work may proceed.
Step 2: If corrective action is not taken, write the contractor requesting immediate
correction. Also state that, without correction, the Department of Labor (DOL) will be
notified.
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Chapter 13 — Health and Safety
Section 1 — Federal Safety and Health Laws
Notifications
As a matter of policy, the AE, acting on the behalf of the DE, must be aware of Federal
Safety and Health regulations that affect construction projects. The AE must notify CST of
all work suspensions due to serious violations or if a contractor refuses to take corrective
action. Either event may require the department to request a review by OSHA. OSHA
notification is the responsibility of the district. The district should seek guidance from the
Occupational Safety Division concerning any questions that they are unable to resolve
through the district safety coordinator or district safety committee.
Investigations by Other Agencies
TxDOT personnel must cooperate with the FHWA, DOL and other agencies during
inspections or services.
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Chapter 14
Business Opportunity Programs
Contents:
Section 1 — Program Overview .........................................................................................14-3
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
Section 1
Program Overview
Introduction
Administrative Rules of the Business Opportunity Programs provide detailed information on
the responsibilities of the department, contractor and DBE organizations, as well as detailed
information on the scope and goal of the Disadvantaged Business Enterprise (DBE),
Historically Underutilized Business (HUB), and Small Business Enterprise (SBE) programs.
These rules are contained in the Texas Administrative Code Title 43, Part 1, Chapter 9,
Subchapter D
(http://info.sos.state.tx.us/pub/plsql/readtac$ext.ViewTAC?tac_view=5&ti=43&pt=1&ch=9
&sch=D&rl=Y), and can also be obtained from the Business Opportunity Programs Section
of CST (CSTB).
Disadvantaged Business Enterprise Program (Federal-Aid Contracts)
The Disadvantaged Business Enterprise (DBE) program
(http://www.dot.state.tx.us/business/dbeinfo.htm) is authorized by 49 CFR, Part 26
(http://www.access.gpo.gov/nara/cfr/waisidx_01/49cfr26_01.html). The department
annually establishes a DBE goal for its federal-aid highway construction programs.
The districts have the responsibility for approval of the requests from contractors for DBE
removals, substitutions, and ensuring that DBE subcontractors are performing a
commercially useful function (CUF). A DBE is considered to perform a CUF when it is
responsible for execution of the work of the contract and is carrying out its responsibilities
by actually performing, managing, and supervising the work involved. To perform a CUF,
the DBE must also be responsible, with respect to materials and supplies used on the
contract, for negotiating price, determining quality and quantity, ordering the material, and
installing (where applicable) and paying for the material itself. If there are circumstances
that suggest that a DBE is not performing a CUF, the CSTB should be contacted to
investigate.
Historically Underutilized Business (HUB) Program (State Contracts)
The Historically Underutilized Business (HUB) program was established for projects let
from January 1994 through June 2000. The HUB Program authorized an established goal for
HUB participation on state-funded highway construction projects.
The districts have the responsibility for approval of the requests from contractors for HUB
removals, substitutions, and Good Faith Efforts resulting from removal of a HUB.
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
Small Business Enterprise (SBE) Program (State Contracts)
The Small Business Enterprise (SBE) Program
(http://www.dot.state.tx.us/business/sbeinfo.htm) was instituted beginning with projects let
in July 2000. The SBE Program authorizes an established goal for SBE participation on
state-funded highway construction projects; however, individual highway construction
project goals are not being implemented at this time. SBE participation will be monitored
through voluntary submittal of progress reports by contractors to determine whether or not
individual project goals will be required in the future.
When Prime Contractor Is an Approved DBE/HUB
When the prime contractor on a state funded project is an approved HUB, the prime
contractor must perform at least 25 percent of the work with the contractor’s own
organization. When the prime contractor on a federal-aid project is an approved DBE, the
prime contractor must perform at least 30 percent of the work with the contractor’s own
organization.
DBE/HUB Subcontractor Approval Requests
Form sms8901 must identify whether the subcontractor is or is not a qualified DBE. The AE
should verify that the contractor is in compliance with the DBE/HUB commitments
submitted. The AE should also verify that items subcontracted to Non-DBEs/HUBs are not
committed to DBEs/HUBs.
For DBEs, The 70% subcontractor requirement applies to all lower tier subcontractors on
Federally-funded projects. A HUB subcontractor on a wholly state funded project can sublet
75% of the work. For further information, contact CSTB.
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Chapter 14 — Business Opportunity Programs
Section 1 — Program Overview
DBE/HUB/SBE Monthly Progress Reports
It is the responsibility of each district to verify the Disadvantaged Business Enterprise or
Historically Underutilized Business (DBE/HUB) Monthly Reports, including inputting the
reports into the Subcontractor Monitoring System (SMS).
Since a report to the Commission is prepared using the DBE/HUB monthly progress
payments, subcontractor approval dates and DBE/HUB monthly progress reports need to be
submitted via SMS no later than the 20th of each month. The monthly progress report for
August is the only exception, as the Business Opportunity Programs Section of CST (CSTB)
is required to submit to the Texas Building and Procurement Commission (TBPC) the final
Fiscal Year TxDOT DBE/HUB progress report by the 15th of September. In order for the
department and the district to receive its fiscal year HUB credit, the August DBE/HUB
progress reports that are available (and any others not yet entered) need to be submitted via
SMS no later than 2 working days prior to the 15th of September.
From October through August, progress reports need to be continually entered as they
become available and checked. The Goal Setting and Data Report Branch of CSTB prepares
a monthly DBE/HUB progress report to the TxDOT Commissioners and Executive Director
based on the data available by the 20th of each month.
Questions regarding the DBE/HUB clearance and the DBE/HUB/SBE monthly progress
reports are directed to CSTB.
Instructions for verifying and inputting DBE/HUB monthly progress reports are found in
“Subcontracting.”
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Chapter 15
Contractor Workforce
Contents:
Section 1 — Overview........................................................................................................15-3
Section 2 — Labor Laws ....................................................................................................15-6
Section 3 — Optional On-the-Job Training......................................................................15-10
Section 4 — Workforce Project Posters ...........................................................................15-12
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Chapter 15 — Contractor Workforce
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Chapter 15 — Contractor Workforce
Section 1 — Overview
Section 1
Overview
Introduction
This chapter provides a brief summary of EEO and Labor issues that District and Area office
personnel need to be cognizant of and monitor for compliance. These topics should be
discussed with contractors and subcontractors attending the pre-construction meeting. This
summary is intended for use as a quick reference tool and is not intended as a complete
account of all Equal Employment Opportunity (EEO) and labor requirements.
EEO Special Provisions
EEO Special Provisions are included in the contract with the primary function to carry out
the U.S. Department of Transportation’s (DOT) policy of ensuring that equal opportunity
exists on all contracts and subcontracts financed in whole or in part with Federal Funds.
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Chapter 15 — Contractor Workforce
Section 1 — Overview
Forms and Documents
Form FHWA1273 Required Contract Provisions Federal-Aid Construction Contracts –
the following stipulations are included in all subcontracts or purchase orders of $10,000 or
more:
♦
Nondiscrimination Clause
•
EEO Policy Statement
•
EEO Officer Appointment
•
Dissemination of EEO Policy
•
Recruitment
•
Personnel Actions
♦
Training and Promotions
♦
Selection of Subcontractors, Procurement of Materials and Leasing of Equipment
♦
Records and Reports
•
Non-segregated Facilities
•
Payment of Predetermined Minimum Wage
•
Statements and Payrolls
•
Record of Materials, Supplies, and Labor
•
Subletting or Assigning the Contract
•
Safety Accident Reporting
•
False Statements Concerning Highway Projects
•
Implementation of Clean Air Act and Federal Water Pollution Control Act
•
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion
•
Certification Regarding Use of Contract Funds for Lobbying.
Certification of Nondiscrimination in Employment - Contains the Department of Labor’s
Office of Federal Contract Compliance Program’s (OFCCP) reporting requirements.
Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity
(Executive Order 11246) - Specifies the OFCCP’s minority and female employment goals
for each county.
Standard Federal Equal Employment Opportunity Construction Contract Specifications
(Executive Order 11246) - Lists the OFCCP’s EEO program minimum requirements that
are used to evaluate a contractor’s EEO program and results.
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Chapter 15 — Contractor Workforce
Section 1 — Overview
EEO Correspondence/Reports
On federal-aid construction contracts greater than $10,000, the prime contractor and each
subcontractor must post their EEO Policy along with the EEO officer’s name and phone
number on the project site.
Form FHWA FHWA1391 – Federal-Aid Highway Construction Contractors Annual
EEO Report
♦
The employment data reflects the workforce utilized during peak activity in the month
of July.
♦
The prime contractor and subcontractors with contracts $10,000 or more submit three
copies of Form 1391 to the AE by August 5th.
♦
The contractor submits a negative report if not active that month.
♦
The AE’s office retains one copy and submits two copies to the district office.
Form FHWA FHWA1392 – Federal-Aid Highway Construction Summary of Employment
Data
♦
A compilation of the information from all Form 1391’s by the district office
♦
The district office submits Form 1392, along with all 1391’s, to the Contract
Compliance Section (CCS) of the Office of Civil Rights by August 15th.
Annual Contract Compliance Inspection Form (Annual) - This form must be completed on
each active federal-aid project during the month of July to document project inspection. The
form is completed for the prime contractor and each subcontractor with contracts of $10,000
or more, and the completed form is added to the project file.
Note: When completing the form, the AE’s office must attach a brief description of any
actions taken to bring the contractor or subcontractor into compliance for each negative
response shown. N/A must be entered for all questions that do not apply to the project.
OJT Training Schedule (Train). If Optional OJT training is utilized, the contractor must
submit a training schedule to the CCS for approval.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Section 2
Labor Laws
Introduction
Item 7 of the Standard Specifications requires the contractor to be familiar with and comply
with all laws, ordinances, and regulations, which affect the work. The department is not a
law enforcement agency in the usual sense. However, the AE is responsible for monitoring
the contractor’s compliance with laws that relate to the contract.
Labor Interviews
The AE conducts at least three employee labor interviews for each project per quarter to
determine if the contractor and/or subcontractor are in compliance with labor laws. The
employees of the prime contractor and/or subcontractors must be randomly selected for the
interviews. The AE will inform the contractor when payroll errors are found. If payrolls do
not match interview information, the AE must have the contractor correct the problem. If the
contractor does not correct the payroll problem, the AE must notify the DE. If the contractor
still does not correct the problem, the AE, through the DE, shall ask FIN to withhold the
monthly estimates. Notification will be provided to FIN to resume monthly estimates only
when the problem is corrected. The Administrative Operations Branch of CST provides
guidance for the purpose of conducting wage dispute investigations.
Additional Labor Classifications
When the contract wage schedule does not include a job classification used on the project,
the contractor must submit an “Additional Classification and Wage Rate Request” (Wage).
All requests for additional labor classifications and rates must be submitted to the
Administrative Operations Branch of CST for approval. The AE may submit the
recommendation with the request.
Copeland Anti-Kickback Act
The Copeland Anti-Kickback Act (http://www.dol.gov/dol/compliance/compcopeland.htm), a federal law, provides regulations concerning the construction and repair of
public works contracts and subcontracts exceeding $2,000 and financed in whole or in part
by federal funds. A portion of the Act concerns the payment of wages to the workers of the
contractor and subcontractors on a project. The Act authorizes the U.S. Department of Labor
(DOL) to make regulations, including requiring each contractor and subcontractor to furnish
weekly a statement with respect to the wages paid and payroll deductions made for each
employee during the preceding week on work covered by the Act. For TxDOT federal-aid
projects, contractor and subcontractor compliance are monitored by TxDOT with
enforcement authority residing with the DOL.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
To satisfy the payroll reporting requirement, contractors may use the FHWA ’s payroll
forms (WH-347 and WH-348) or forms with identical wording. Each contractor or
subcontractor must furnish a payroll statement to the AE within 14 days after the end of the
payroll period. The contractor’s authorized payroll officer must sign the statement. The chart
‘Subcontracting and Payroll Requirements’ (Subcont), illustrates when payroll records are
required and when a firm must be approved as subcontractor.
The Copeland Anti-Kickback Act (29 CFR, Part 3) (the wages of laborers and mechanics
http://www.dol.gov/dol/allcfr/ESA/Title_29/Part_3/toc.htm) permits certain payroll
deductions.
Examples:
♦
Bona fide fringe benefits
♦
Any deduction made in compliance with the requirements of federal, state, or local law,
such as income and social security taxes
♦
Any deduction required by court process, such as child support
♦
Any deduction for the cost of safety equipment for the employee’s own protection such
as safety glasses provided the cost is nominal and the employer is not otherwise
required to furnish the equipment pursuant to law.
The Act also permits certain payroll deductions from the wages of laborers and mechanics
when the employee’s written consent is provided.
Examples:
♦
Life insurance, hospitalization and medical insurance, retirement plan, vacation plan,
safety shoes, and safety hats
♦
Other deductions require a written application and approval of the DOL. For example,
gasoline and uniforms that are required by the employer as a condition of employment.
Finally, under the Copeland Anti-Kickback Act, TxDOT does not have any monitoring
responsibilities for certain types of personnel, contracts and employers. Some examples
include:
♦
Supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies, materials, and equipment
♦
Contracts with a political subdivision
♦
Contracts or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Davis-Bacon (40 U.S.C Sections 327-334) and Related Acts
These acts apply to all federal or federal-aid construction contracts, except for projects with
functional class code 6 (rural minor collector) or 7 (local road or street). The Davis-Bacon
Act:
♦
Gives the department the primary responsibility for ensuring compliance with the
requirements
♦
Sets a minimum wage rate for various labor classifications predetermined by the
Secretary of Labor to be paid to laborers and mechanics
♦
Requires the laborers and mechanics be paid weekly at prescribed rates for all hours
worked
♦
Provides that fringe benefits or its wage equivalent are to be paid laborers and
mechanics when included in the Secretary of Labor’s minimum wage rate decision
♦
Requires the contractor to post the minimum wage rate on the job site.
For TxDOT projects, the Davis-Bacon act does not apply to:
♦
Contractor’s supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies and equipment
♦
Contracts with a political subdivision
♦
Contracts or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
Prevailing Minimum Wage Rates (Title 10, Chapter 2258 of the Texas Government Code)
♦ The following applies to construction projects financed entirely with state funds. Title
10, Chapter 2258 of the Texas Government Code requires payment of prevailing wage rates
for each craft needed to execute a public works contract on behalf of the State of Texas
(http://www.capitol.state.tx.us/statutes/go/go0225800toc.html).
♦
The Contractor and all Subcontractors shall keep, or cause to be kept, copies of weekly
payrolls for review by TxDOT for a period of three (3) years from the date of the
completion of the contract.
♦
The department has the responsibility for ensuring contractor compliance with the
above requirements.
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Chapter 15 — Contractor Workforce
Section 2 — Labor Laws
Wage Rate Survey (Federal-Aid Contracts)
Wage rate survey(s) are conducted periodically as mandated by DOL and/or State statutes.
These surveys determine applicable wage rates for the State of Texas for highway
construction. The area offices extract wage information from contractor/subcontractor
payrolls as requested by CST and enter this information into an automated Wage Rate
Survey system. The frequency of the survey(s) depends on the departments survey plan for a
given year. Questions may be forwarded to Administrative Operations Branch of CST.
Contract Work Hours and Safety Standards Act
The Contract Work Hours and Safety Standards Act
(http://www.dol.gov/asp/programs/handbook/cwhssa.htm):
♦
Applies to all construction contracts
♦
Provides that any laborer, worker, mechanic, watchman or guard must be paid on the
basis of a forty-hour workweek (Sunday through Saturday). Overtime must be paid at
one and one-half times the regular rate for every hour worked more than forty hours per
week. Overtime payments are based on time actually worked (including break periods
but not lunch) and cannot include holiday, vacation, or other time paid but not worked.
♦
Gives the department the primary responsibility for ensuring compliance with the
requirements of this Act.
The Contract Work Hours and Safety Standards Act does not apply to:
♦
Contractor’s supervisory and office employees
♦
Contracts or subcontractors for furnishing supplies and equipment
♦
Contracts with a political subdivision
♦
Contract or work agreements for construction work or services with railroads or public
utilities when the work or services is done by their employees.
Fair Labor Standards Act
The Fair Labor Standards Act (FLSA )
(http://www.dol.gov/esa/regs/statutes/whd/allfair.htm) applies to all federal-aid and state
projects, requiring the contractor to be in compliance with DOL regulations. The department
monitors compliance with this Act.
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Chapter 15 — Contractor Workforce
Section 3 — Optional On-the-Job Training
Section 3
Optional On-the-Job Training
Introduction
In an effort to increase the number of Blacks and females participating in the On–the–Job
Training (OJT) Program, the Federal Highway Administration (FHWA) proposed a pilot
training program whereby goals would no longer be assigned to projects. Also, the amount
of reimbursement for training increased from $0.80 to $2.00 for each hour of training
provided to females and Blacks.
TxDOT initiated the Optional Training Program in January 1997 in an effort to increase
female and Black participation in federal-aid construction projects. An Optional On-the-Job
Special Provision was developed to implement the program:
♦
Goals are no longer assigned to projects
♦
Penalties are no longer assessed for not completing training
♦
Contractors receive $2.00 for each hour of training provided
♦
Critical crafts identified by the Contract Compliance Section (CCS) of the Office of
Civil Rights
♦
Training program utilized must be approved by DOL or the FHWA.
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Chapter 15 — Contractor Workforce
Section 3 — Optional On-the-Job Training
Responsibilities of OCR, Districts, Contractors
The following table illustrates OJT responsibilities:
Process
Enrollment
Monitoring
Reporting
OJT Responsibilities of OCR, Districts, Contractors
Step
Action
1
Prime contractor submits a training schedule (Train) and two (2) copies of Registration in the
Optional OJT Program for each trainee to CCS for approval.
2
CCS approves training schedule and forwards a copy of the registration information to the
AE’s office.
1
The prime contractor submits weekly (Weekly) progress reports for each trainee to CCS and
the AE.
During periods of inactivity, the prime contractor submits a weekly report indicating that there
was no training during the period.
If trainee completes training, quits, drops out, is fired, laid off, etc. the contractor must state
this on the weekly reporting form.
2
The AE’s office reviews the contractor’s weekly payrolls and training reports.
Any discrepancies will be sent to CCS.
CCS coordinates with the affected parties to resolve these issues.
The AE’s office periodically observes and documents the training being provided each trainee.
3
The AE’s office conducts quarterly trainee interviews using the Quarterly Trainee Interview
Report (Intrview).
1
The contractor submits to the AE a summary of training with their monthly estimate
containing the following:
♦ Trainee’s name
♦ Social Security number
♦ Classification
♦ Hours training received
♦ Status – graduated, terminated, in training
2
The AE verifies training hours completed on the project.
The contractor will be is reimbursed $2 for each hour of training.
Contractor receives payment for training on the Final Pay Estimate.
No retroactive payments will be made for training provided before CCS approval.
Note: Unless a DOL approved training or apprentice program provides for different
minimum rates, trainees are paid:
♦
At least 60% of the minimum journeyman level rate for the first half of the training
period
♦
At least 75% for the third quarter
♦
At least 90%for the last quarter.
Construction Contract Administration
Manual
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TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 4 — Workforce Project Posters
Section 4
Workforce Project Posters
Posters and Notices
The following provides information on the EEO posters and required notices to be displayed
on project-site bulletin boards by the prime contractors. The government referral line for
questions regarding required posters for any state is 1-800-688-9889.
Note: Subcontractor may use the prime contractor's project-site bulletin board to display the
required EEO officer information.
Job Site Posters and Notices
Poster/Notice Name
*Equal Opportunity is the Law
*EEOC-P/E-1 (EEO Poster)
*EEOC-P/E-S (Spanish Version)
*Fed. 5 in 1 Labor Law Poster
Source
Required by 41CFR60-1.4(b)(1)
(http://www.dol.gov/dol/allcfr/Title_41/Part_601/Subpart_B.htm)
Available at Department of Labor (DOL) Website
http://www.dol.gov/ or call 1-800-669-3362
G. Neil Co. 1-800-999-9111
Required by 41 CFR 60-741.44
(http://www.dol.gov/dol/allcfr/Title_41/Part_60741/41CFR60-741.44.htm)
*Contractor's EEO Policy
*Statement with Project EEO
Officer's Name and Phone No.
*Wage Rate Information
*FHWA 1495
*FHWA 1495A (Spanish Version)
Notice to Employees(Davis-Bacon
Wage Rate Poster)
USDOL-1321
May be substituted for DOL-1321 per FHWA 1273,
IV(1)(a)
Call Thomas Molock at (301)322-5377
Required by 29CFR5.5(a)(1)
(http://www.dol.gov/dol/allcfr/Title_29/Part_5/29CF
R5.5.htm)
DOL website http://www.dol.gov/ or download
poster at:
http://www.dol.gov/dol/osbp/public/sbrefa/poster/mai
n.htm
May be obtained from project contract
Needed on projects where Davis-Bacon wage rates
are not established.
Available at DOL website or Call (972)850-2647
*Project Wage Rates
*Your Rights-Federal Minimum Wage
*WH 1088
*WH 1088 SP (Spanish Version)
Job Safety and Health Protection
OSHA-3165
OSHA-3167 (Spanish Version)
Required by 29 CFR 1903.2(a)(1)
(http://www.access.gpo.gov/nara/cfr/waisidx_99/29cf
r1903_99.html)
Call (202)693-1888 or download poster at
http://www.osha-slc.gov/OshDoc/Additional.html
Texas Workforce Commission
Call (512)463-2747
Texas Payday Law Poster
**T.E.C. Y-10c
**T.E.C. Y-10s (Spanish Version)
Worker's Compensation Poster
Notice 6
Notice 6s (Spanish Version)
Construction Contract Administration
Manual
Texas Worker's Compensation Commission
Call (512)804-4333
15-12
TxDOT 9/2002
Chapter 15 — Contractor Workforce
Section 4 — Workforce Project Posters
Job Site Posters and Notices
Poster/Notice Name
Family/Medical Leave Act
WH-1420
WH-1420 (Spanish Version)
Source
Required by 29 CFR 825.300(a)
(http://www.dol.gov/dol/allcfr/Title_29/Part_825/toc.
htm)
for Employers of more than 40 people. Available at
DOL.
Call (202)693-0023
Notice required by 18 CFR 1020 and
23 CFR 635.119
(http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr
0635a.htm)
Call (301)322-5377 or Fax: (301)386-5394
Required by 29 CFR 801.6
(http://www.dol.gov/dol/allcfr/ESA/Title_29/Part_80
1/29CFR801.6.htm)
Available at DOL website http://www.dol.gov/
Or call DOL office (202)693-0067
OSHA Reg. 1926.59
To be developed by Contractor
OSHA Reg. 1926.50
To be developed by Contractor
Falsified Statements
FHWA-1022
Employee Polygraph Protection Act
WH-1462
WH-1462A (Spanish Version)
Hazard Communication Program
Notice
Emergency Telephone Number Notification
*Required by FHWA
**Firm name, address and account number required on this poster.
Construction Contract Administration
Manual
15-13
TxDOT 9/2002
Appendix A
Forms and Documents
Contents
Section 1 — Forms and Guidance Documents .................................................................... A-2
Section 2 — EEO Poster/Notice Checklist .......................................................................... A-4
Section 3 — OFCCP District Office/County Listings ......................................................... A-6
Construction Contract Administration
Manual
A-1
TxDOT 9/2002
Appendix A — Forms and Documents
Section 1 — Forms and Guidance Documents
Section 1
Forms and Guidance Documents
List of Forms
This manual references the following forms and examples of forms.
Contract Administration Forms and Examples
Name of Form/Example
Link (on-line only) or Contact
TxDOT Form 168, Pile Record
TxDOT Form 181, Test Pile Data
TxDOT Form 1276, Drilled Shaft Record
TxDOT Form 269, Monthly Record of Material Received
TxDOT Form 107, Final Summary of Material Tested
TxDOT Form 599, Traffic Control Devices Inspection
Report
TxDOT Form 316, Daily Report of Force Account Work
TxDOT Form 1257, Work Report
TxDOT Form 1258, Summary of Work Performed
TxDOT Form 202, Identification of Material Samples
TxDOT Form 517, Sample Tag
FHWA-47, Statement of Materials and Labor used by
Contractors on Highway Construction involving Federal
Funds
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/
fhwa47us.pdf
FHWA-1273, Required Contract Provisions Federal-aid
Construction Contracts
http://www.fhwa.dot.gov/programadmin/contracts/1273.htm
FHWA-1391, Federal-aid Highway Construction Contractors
Annual EEO Report
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/
fhwa1391.pdf
FHWA-1392, Federal-aid Highway Construction
FHWA-1446C, Final Inspection of Federal-aid Project
FHWA-1494, For Projects Subject to the Davis Bacon and
Related Acts
WH-347, Payroll (DOL)
http://www.dol.gov/esa/forms/whd/index.htm
WH-348, Statement of Compliance
EPA Form 3510-9, Notice of Intent (NOI) for Storm Water
Discharges Associated with Industrial Activity Under a
NPDES Permit
http://www.epa.gov/region6/6en/w/sw/noi224.pdf
EPA Form 3510-7, Notice of Termination (NOT) of
Coverage Under a NPDES General Permit for Storm Water
Discharges Associated with Industrial Activity
Construction Contract Administration
Manual
A-2
Form168
Form181
Form1276
Form269
Form107
Form599 (instructions included)
No. of
Pages
1
1
1
1
1
2
Form316 (instructions included)
Form1257
Form1258
202-97
Contact CST-Materials Section
FHWA-47 (instructions included)
2
1
1
2
1
4
FHWA1273
21
FHWA1391
1
FHWA1392 (instructions included)
FHWA1446
FHWA1494 (instructions included)
2
1
2
WH-347
5
WH-348
NOI-EPA Form 3510-9
1
2
NOT-EPA Form 3510-7
2
TxDOT 9/2002
Appendix A — Forms and Documents
Section 1 — Forms and Guidance Documents
Contract Administration Forms and Examples
Name of Form/Example
Link (on-line only) or Contact
http://www.epa.gov/region04/water/wpeb/pdfs/not-const.pdf
Temporary Suspension of Work Letter (Example)
Resumption of Work Letter (Example)
Supplemental Agreement (SA) Form
Example of Supplemental Agreement
Change Orders:
Section 1 — Change Order Form
Section 2 — Tables A & B
Section 3 — Advance Funding (Third Party)
Change Order Reason(s) Code Chart
Time Extension Letter (Example)
Certification of Materials Used Letter (Example)
Labor Standards Review
Ten (10) Days Warning Letter (Example)
Surety Letter (Example)
No Surety Letter (Example)
Additional Classification and Wage Rate Request
Example of Statement of Contingencies & Force Account
Items
Final Acceptance Letter (Example)
Optional Training Schedule (Example)
Registration for Optional OJT Program
Public Interest Determination Letter (Example)
Annual Contract Compliance Inspection
OJT Weekly Report
Quarterly Trainee Interview Report
Contractor’s Assurance
Post-Construction Provider Evaluation Form
TDLR Request for Inspection Form
FHWA & TxDOT Oversight Project Review Plan
ENV – Cultural Resource Management Emergency
Discovery Guidelines
ENV – Hazardous Materials Management Technical
Guidelines for Removal of UST’s Encountered During
Construction
Construction Contract Administration
Manual
A-3
No. of
Pages
Suspend
Resume
SAForm
Example
1
1
1
2
CO6-02
CO6-02 (Contract Items pg 1, pg 2 tabs)
CO6-02 (3rd Party Funding tab)
Reason
Time
Material
Labor
Warning
Surety
NoSurety
Wage
Items
1
2
1
1
1
1
1
1
1
1
1
1
Final
Train
OJT
Public
Annual
Weekly
Intrview
Assure
Eval
TDLR
Oversght
EmerDisc
1
1
1
1
1
1
1
1
1
1
1
2
USTs
4
TxDOT 9/2002
Appendix A — Forms and Documents
Section 2 — EEO Poster/Notice Checklist
Section 2
EEO Poster/Notice Checklist
Overview
This is a checklist of the most current EEO posters and/or required notices that should be
posted on project site bulletin boards in order to meet minimum EEO compliance standards.
Although there may be additional poster requirements from other federal and state agencies,
the EEO and Labor Compliance Branch of the Construction Division will primarily focus on
these posters and notices listed below. For any additional information concerning other
federal or state agency posters or notice requirements, please contact the federal or state
agency responsible for its issuance for guidance.
EEO Poster/Notice Checklist
EEO Policy Poster
http://www.dol.gov/esa/regs/compliance/posters/pdf/7975epos.pdf
Minimum Wage Poster (English, WH 1088 – Revised Apr. 1994)
http://www.dol.gov/esa/regs/compliance/posters/flsa.htm
Minimum Wage Poster (Spanish, WH 1088 SP - Apr. 1990)
Wage Rate Information Poster (English, FHWA 1495 – Sep. 1981)
http://www.fhwa.dot.gov/infrastructure/progadmin/contracts/fhwa1495.pdf
Wage Rate Information Poster (Spanish, FHWA 1495A - Mar. 1991)
EEO Poster (English, EEOC-P/E-1, Feb. 1992)
http://www.eeoc.gov/publications.html
EEO Poster (Spanish, EEOC-P/S-1, Feb. 1992)
Employee Polygraph Poster (English, WH 1462 – Sep. 1988)
http://www.dol.gov/esa/regs/compliance/posters/eppa.htm
Employee Polygraph Poster (Spanish, WH 1462 – Sep. 1988)
http://www.dol.gov/esa/regs/compliance/posters/eppaspan.htm
Falsified Statement Poster (English, FHWA 1022 – Rev. 8-98)
http://www.fhwa.dot.gov/////programadmin/contracts/fhwa1022.htm
*Family & Medical Leave Act (English, WH 1420 – Jun. 1993)
http://www.dol.gov/esa/regs/compliance/posters/fmla.htm
*Family & Medical Leave Act (Spanish, WH 1420 – Oct. 1993)
http://www.dol.gov/esa/regs/compliance/posters/fmlaspan.htm
*American Disabilities Act
http://www.dol.gov/esa/regs/compliance/posters/disab.htm
Company EEO policy statement (includes designation of the company EEO officer, minority referral
statement, and company training program policy)
http://www.eeo.nsw.gov.au/all/all.htm
**Name and phone number of EEO Officer
Project Wage Rates (must be obtained from the project contract)
Job Safety and Health Poster [English, OSHA 2203 - Rev. 1992])
http://www.osha-slc.gov/Publications/poster.html
Job Safety and Health Poster (Spanish, OSHA 2200 – Rev. 1991)
***Texas Payday Law Poster (T.E.C., English, y-10c - Jan. 1994)
http://www.twc.state.tx.us/ui/lablaw/LL-10.pdf
***Texas Payday Law Poster (T.E.C., Spanish, y-10s - Jan. 1995)
Construction Contract Administration
Manual
A-4
TxDOT 9/2002
Appendix A — Forms and Documents
Section 2 — EEO Poster/Notice Checklist
EEO Poster/Notice Checklist
Workers’ Compensation Poster (Notice 6 - Jul. 1994)
http://www.twcc.state.tx.us/forms/pdf/notice6.pdf
Workers’ Compensation Poster (Notice 6s - Jul. 1994)
Emergency Telephone Number Notification (per OSHA reg. 1926.50)
Hazard Communication Program Notice (per OSHA reg. 1926.59)
http://www.osha.gov/Publications/fedposter.html
*May be included on the EEO Poster.
**May be included in the Company EEO policy statement.
***Firm name, address and account number should be listed on this poster.
Construction Contract Administration
Manual
A-5
TxDOT 9/2002
Appendix A — Forms and Documents
Section 3 — OFCCP District Office/County Listings
Section 3
OFCCP District Office/County Listings
Overview
As part of the Memorandum of Understanding between the Office of Federal Contract
Compliance Programs (OFCCP) and the Federal Highway Administration (FHWA ),
TxDOT is to provide written or verbal notice to the appropriate OFCCP district offices of
scheduled pre-construction conferences on federal-aid projects. The OFCCP offices should
have sufficient notification in order to participate in the conference.
Note: The OFCCP’s Houston and San Antonio offices have requested that they only be
notified of pre-construction conferences on federal-aid projects over $10 million. The
Dallas office requests to receive notification of all scheduled pre-construction
conferences.
OFCCP District Office/County Listings
♦
San Antonio
Andrews
Aransas
Armstrong
Atascosa
Bailey
Bandera
Bastrop
Bee
Bell
Bexar
Blanco
Borden
Brazos
Brewster
Briscoe
Brooks
Brown
Burleson
Burnet
Caldwell
Calhoun
Callahan
Cameron
Carson
OFFCP San Antonio District Office
Cottle
Hardeman
Live Oak
Crane
Hartley
Llano
Crockett
Haskell
Loving
Crosby
Hays
Lubbock
Culberson
Hemphill
Lynn
Dallam
Hidalgo
Martin
Dawson
Hockley
Mason
Deaf Smith
Howard
Maverick
DeWitt
Hudspeth
McMullen
Dickens
Hutchinson
McCullough
Dimmitt
Irion
McLennan
Donley
Jackson
Medina
Duval
Jeff Davis
Menard
Ector
Jim Hogg
Midland
Edwards
Jim Wells
Milam
El Paso
Jones
Mills
Falls
Karnes
Mitchell
Fayette
Kendall
Moore
Fisher
Kenedy
Motley
Floyd
Kent
Nolan
Foard
Kerr
Nueces
Frio
Kimble
Ochiltree
Gaines
King
Oldham
Garza
Kinney
Parmer
Construction Contract Administration
Manual
A-6
Robertson
Runnels
San Patricio
San Saba
Schleicher
Scurry
Shackelford
Sherman
Starr
Sterling
Stonewall
Sutton
Swisher
Taylor
Terrell
Terry
Tom Green
Travis
Upton
Uvalde
Val Verde
Victoria
Ward
Webb
TxDOT 9/2002
Appendix A — Forms and Documents
Castro
Childress
Cochran
Coke
Coleman
Collingsworth
Comal
Concho
Coryell
♦
Gillespie
Glasscock
Goliad
Gonzales
Gray
Guadalupe
Hale
Hall
Hansford
Kleberg
Knox
Lamb
Lampasas
LaSalle
Lavaca
Lee
Limestone
Lipscomb
Pecos
Potter
Presidio
Randall
Reagan
Real
Reeves
Refugio
Roberts
Wheeler
Willacy
Williamson
Wilson
Winkler
Yoakum
Zapata
Zavala
Dallas
Anderson
Archer
Baylor
Bosque
Bowie
Camp
Cass
Cherokee
Clay
Collin
Comanche
Cooke
♦
Section 3 — OFCCP District Office/County Listings
OFCCP Dallas District Office
Harrison
Montague
Henderson
Morris
Hill
Navarro
Hood
Palo Pinto
Hopkins
Panola
Hunt
Parker
Jack
Rains
Johnson
Red River
Kaufman
Rockwall
Lamar
Rusk
Leon
Smith
Marion
Somervell
Dallas
Delta
Denton
Eastland
Ellis
Erath
Fannin
Franklin
Freestone
Grayson
Gregg
Hamilton
Stephens
Tarrant
Throckmorton
Titus
Upshur
Van Zandt
Wichita
Wilbarger
Wise
Wood
Young
Houston
Angelina
Austin
Brazoria
Chambers
Colorado
Fort Bend
Galveston
Grimes
Hardin
Harris
Houston
Jasper
Jefferson
Liberty
OFCCP Houston District Office
Madison
Sabine
Matagorda
San Augustine
Montgomery
San Jacinto
Nacogdoches
Shelby
Newton
Trinity
Orange
Tyler
Polk
Walker
Construction Contract Administration
Manual
A-7
Waller
Washington
Wharton
TxDOT 9/2002
Appendix A — Forms and Documents
Section 3 — OFCCP District Office/County Listings
OFCCP District Directors
The following table lists the names and addresses of the OFCCP district directors.
Name:
Address:
San Antonio
Larry Garza
OFCCP, San Antonio
800 Dolorosa St., Rm. 200
San Antonio, TX 78207
Telephone: (210) 472-5835
Fax:
(210) 472-5842
Construction Contract Administration
Manual
OFCCP District Directors
Dallas
R. Dave Lipscomb
OFCCP, Dallas
A. Maceo Smith Fed. Bldg.
525 S. Griffin St., Rm. 512
Dallas, TX 75202-5007
(214) 767-2911
(214) 767-4239
A-8
Houston
Lois Jimmerson
OFCCP, Houston
2320 LaBranch, Rm. 1103
Houston, TX 77004-4499
(713) 718-3800
(713) 718-3818
TxDOT 9/2002
