Attachment D to I.M. 6.000

Attachment D to I.M. 6.000 
   June 12, 2024 
 
 
Local Public Agency Construction Contract Administration Guidance 
This Attachment is only to be used for Local Public Agency (LPA) administered 
projects.  For projects administered by the Iowa DOT, refer to Chapter 2 of the 
Iowa DOT Construction Manual.  The Appendices for this Attachment can be 
found in Chapter 2 of the Iowa DOT Construction Manual. 
 
Chapters 1 and 3 through 12 are available in the Iowa DOT Construction Manual.  
Local Systems recommends referencing these additional chapters as useful tools 
for both general and topic specific construction inspection and contract 
administration.  In this manual, references to RCE (Resident Construction 
Engineer) are equivalent to the Project Engineer on an LPA project. 
 
TABLE OF CONTENTS 
2.00     PROJECT ORGANIZATION .................................................................................................................. 1 
2.01     AUTHORITY OF ENGINEER ............................................................................................................. 1 
2.02     RESPONSIBILITY OF PROJECT ENGINEER ....................................................................................... 1 
2.03     DELEGATION OF RESPONSIBILITY .................................................................................................. 2 
2.10     PRECONSTRUCTION ....................................................................................................................... 2 
2.11     PRECONSTRUCTION MEETING ...................................................................................................... 2 
Discussion Items ....................................................................................................................... 2 
Scheduling the Meeting ........................................................................................................... 3 
List of Discussion Topics ........................................................................................................... 3 
Utilities and Law Enforcement Attendance ............................................................................. 9 
2.12     HAUL ROADS ................................................................................................................................ 10 
2.13     STREAM CROSSINGS .................................................................................................................... 10 
Permanent Structures - "Iowa Department of Natural Resources Notification of 
Completion of Construction" (DNR Form 37) ........................................................... 10 
Temporary Stream Crossings ................................................................................................. 10 
2.14     WATER REGISTRATION AND PERMIT .......................................................................................... 10 
2.15     WORKING AND SHOP DRAWING – SUBMITTAL & REVIEW ......................................................... 11 
2.20     CONTRACT ADMINISTRATION ......................................................................................................... 11 
2.21     OCCUPATIONAL SAFETY AND HEALTH ........................................................................................ 12 
2.22     EQUAL EMPLOYMENT OPPORTUNITY (EEO) ............................................................................... 12 
Contractor's Responsibility .................................................................................................... 12 
Project Engineer's Responsibility ........................................................................................... 14 
2.23     TRAINING PROGRAMS ................................................................................................................. 15 
2.24     DAVIS-BACON WAGE REQUIREMENTS ........................................................................................ 16 
Certified Transcript of Labor Payroll ...................................................................................... 16 

Attachment D to I.M. 6.000 
   June 12, 2024 
 
 
Project Engineer's Involvement ............................................................................................. 28 
Supplemental Wage Rates ..................................................................................................... 32 
2.25     SUBCONTRACTS ........................................................................................................................... 32 
Subcontract Requests ............................................................................................................ 32 
Contractor’s Requirements .................................................................................................... 32 
Project Engineer’s Responsibility ........................................................................................... 33 
Leased Employees .................................................................................................................. 37 
Subcontractor - Disadvantaged Business Enterprise (DBE) ................................................... 38 
Subcontractor - Traffic Control .............................................................................................. 42 
Prompt Payment to Subcontractors ...................................................................................... 43 
Certification of Subcontractor Payment ................................................................................ 43 
2.26     USE OF PROPERTY OUTSIDE OF PROJECT RIGHT-OF-WAY .......................................................... 43 
2.27     "CONTRACT QUANTITY AGREEMENT" (FORM 830230) .............................................................. 44 
2.28     RETAINED FUNDS ........................................................................................................................ 44 
Release of Retained Funds ..................................................................................................... 44 
Contractor .............................................................................................................................. 45 
Project Engineer ..................................................................................................................... 45 
2.29     Intentionally left blank ................................................................................................................ 46 
2.30     CONSTRUCTION PERIOD .................................................................................................................. 46 
2.31     ADMINISTRATION OF THE CONTRACT PERIOD ........................................................................... 46 
Contract Types ....................................................................................................................... 46 
Working Day ........................................................................................................................... 48 
Calendar Day .......................................................................................................................... 49 
Controlling Item of Work ....................................................................................................... 50 
Special Considerations ........................................................................................................... 53 
2.32     NOTICE TO PROCEED ................................................................................................................... 56 
2.33     WEEKLY REPORT OF WORKING DAYS .......................................................................................... 58 
Preparation of Form 830238 .................................................................................................. 58 
Preparation of Incentive/Disincentive Form .......................................................................... 60 
Multiple Sites on a Contract ................................................................................................... 61 
2.34     LIQUIDATED DAMAGES AND EXTENSION OF CONTRACT TIME .................................................. 62 
2.35     EQUIPMENT RENTAL RATES ........................................................................................................ 63 
EquipmentWatch Cost Recovery ........................................................................................... 63 
Invoiced Rental Costs ............................................................................................................. 64 
Equipment Time Charges ....................................................................................................... 64 
Chargeable Project Costs ....................................................................................................... 65 
Statement of Force Account Form (Form 181213) ................................................................ 67 
2.36     CHANGE ORDERS (FORM 831240 or Appia Change Order)......................................................... 67 
Policy for Change Orders........................................................................................................ 67 
Preparation of Change Order (Form 831240 or Appia Change Order) .................................. 70 
Value Engineering .................................................................................................................. 80 
2.37  PRIME CONTRACTOR’S PERFORMANCE BOND .......................................................................... 81 
2.38     PROJECT ACCEPTANCE AND AUTHORIZATION FOR FINAL PAYMENT ......................................... 81 
2.39    CONTRACTOR EVALUATION REPORT ........................................................................................... 81 
2.40     PROJECT REVIEW AND AUDITS .................................................................................................... 82 
2.41     RESERVED FOR FUTURE USE ........................................................................................................ 82 
2.42     PROJECT ENGINEER'S PRE-AUDIT ................................................................................................ 82 

Attachment D to I.M. 6.000 
   June 12, 2024 
 
 
2.43     ADMINISTERING BUREAU AUDIT ................................................................................................ 82 
2.44     RESERVED FOR FUTURE USE ........................................................................................................ 82 
2.45     FORMS FOR FINAL PAYMENT PACKET ......................................................................................... 82 
2.50     CONTRACTOR PAYMENTS AND PRICE ADJUSTMENTS .................................................................... 82 
2.51     PAYMENT FOR MATERIAL ALLOWANCE (STOCKPILED MATERIALS) ........................................... 82 
Pre-conditions for Material Allowances................................................................................. 83 
Stockpile Documentation Work Sheet ................................................................................... 84 
Voucher Entries ...................................................................................................................... 84 
Miscellaneous ........................................................................................................................ 84 
2.52     PAYMENT FOR UNEXPECTED CLASS 12 ROCK EXCAVATION ....................................................... 85 
2.53     PRICE ADJUSTMENT GUIDE FOR REASONABLY CLOSE CONFORMING, REASONABLY 
ACCEPTABLE, AND DEFICIENT WORK ......................................................................................... 85 
Guide Schedules for Price Adjustments ................................................................................. 85 
2.54     PRICE ADJUSTMENT CHANGE ORDERS ........................................................................................ 98 
2.55     FINAL PAYMENT TO CONTRACTOR ............................................................................................. 98 
Recommended Guidelines ..................................................................................................... 99 
Interest Payment Information for County and City Projects ................................................. 99 
2.56     FUEL ADJUSTMENT ...................................................................................................................... 99 
Fuel Adjustment Calculation ................................................................................................ 100 
Instructions for Fuel Adjustment Worksheet....................................................................... 100 
2.60     CONSTRUCTION FORMS ................................................................................................................ 101 
2.70     Intentionally left blank .................................................................................................................. 102 
2.71     BRIDGE INVENTORY REPORT ..................................................................................................... 102 
2.72     PREPARATION OF AS-BUILT PLANS ........................................................................................... 103 
Types of Work ...................................................................................................................... 103 
Wetlands .............................................................................................................................. 105 
Right of Way ......................................................................................................................... 105 
Land Section Corner Ties ...................................................................................................... 105 
Tied Projects ......................................................................................................................... 105 
As-Built Plans Checklists ....................................................................................................... 105 
2.73     Intentionally left blank .............................................................................................................. 105 
2.74     Intentionally left blank .............................................................................................................. 105 
  

Attachment D to I.M. 6.000

June 12, 2024

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2.00 PROJECT ORGANIZATION

2.01 AUTHORITY OF ENGINEER

Oversight responsibility for construction contracts on Local Public Agency (LPA) projects

using Federal-aid rests with the Iowa DOT Administering Bureau, which is the Regional

Local Systems Field Engineer or the Systems Planning Bureau. The Iowa DOT

Administering Bureau also has oversight responsibility of LPA projects that utilize

Federal-aid Swap, Farm-to-Market (FM) and State-aid funding, as detailed in various

other Local Systems I.M.s. Responsibility for the actual construction inspection and the

day-to-day contract administration is delegated to the public employee designated as the

Person in responsible charge (PIRC), as defined in I.M. 6.000, of the project on behalf of

the LPA, and ultimately rests with the Project Engineer.

For county or city projects, Project Engineer decisions are subject to review and

concurrence by the appropriate staff person from the Iowa DOT Administering

Bureau. For projects overseen by Local Systems, this person is the Local Systems Field

Engineer. For projects overseen by the Systems Planning Bureau, this person is the

appropriate Grant Programs Team Member.

The Project Engineer has authority to administer construction contracts according to the

contract documents and assign and supervise inspection personnel on construction

projects. Project Engineer decisions pertaining to contract costs, time adjustments, or

contractual agreements are subject to review and perhaps revision by the PIRC.

2.02 RESPONSIBILITY OF PROJECT ENGINEER

The Project Engineer, who is assigned responsibility for supervision of roadway

construction projects, is the key person in the field organization.

In assuming the responsibility for proper fulfillment of assigned construction work, the

Project Engineer is also responsible for:

• Maintaining good relations with contractors, affected property owners, and the

general public.

• Assigning personnel to inspection and survey operations on the project, along

with providing the supervision and instructions necessary to assure proper

performance of assigned duties.

• Keeping the Administering Bureau informed as to construction progress, status,

etc.

• Maintaining complete project records and proper documentation.

• Assuring proper use of equipment and materials used in the performance of

assigned duties.

• Keeping the PIRC informed as to the construction progress, status, and any

issues that may need to be addressed.

While Project Engineers have responsibility for general supervision of the work, their

main concerns are for compliance with specifications and project completion. It is not

their responsibility to direct the everyday activities of the Contractor or their

subcontractors.

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2.03 DELEGATION OF RESPONSIBILITY

The PIRC cannot and should not expect to retain all the duties and responsibilities. To

have an efficient organization each employee, including the Project Engineer, should be

delegated authority in line with their responsibilities and duties. The PIRC must check to

see that delegated duties are properly performed.

All employees should accept delegated responsibility and make decisions within the

authority delegated to them.

2.10 PRECONSTRUCTION

2.11 PRECONSTRUCTION MEETING

After award of the contract and prior to starting work on the project, the LPA shall

schedule a meeting between the Contractor, Administering Bureau, PIRC, Project

Engineer, and subcontractors. It is important to also invite any other affected or

interested parties including utilities, railroad, emergency response, and businesses that

may be affected by the construction. The meeting is generally conducted to discuss

project requirements and administrative details. The items for discussion at the meeting

and scheduling of the meeting will depend on the type and complexity of the project and

the Contractor and their subcontractors’ familiarity with Iowa DOT's procedures.

Preconstruction meeting invitee requirements vary based upon project funding. See I.M.

1.000, Iowa DOT Oversight of LPA Projects for funding categories and associated

construction administration activities. When Iowa DOT Administering Bureau attendance

is required, the LPA must consult the Administering Bureau in scheduling and provide at

least two weeks notice. Failure to provide proper notice and include Iowa DOT in

scheduling may require the LPA to reschedule the meeting if the Administering Bureau is

unable to attend.

Minutes of the Preconstruction Meeting can be documented on the Preconstruction

Meeting Notes form.

Discussion Items

The Project Engineer must consider the type of work, the experience of the

contractor, and complexity of the project to determine the appropriate items for

discussion.

Many contractors are experienced in working with Iowa DOT specifications and

contract requirements. In these instances, the need for discussing administrative

requirements and procedures in a meeting format may not be necessary and may be

accomplished using a preconstruction questionnaire.

A comprehensive list of topics that may be discussed at preconstruction meetings or

included in a preconstruction questionnaire is included at the end of this

section. The guideline includes topics that may not be necessary or applicable to all

contracts. An optional Pre-Construction Agenda Template can be found here:

https://iowadot.gov/local_systems/documents/Precon-Template.docx

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June 12, 2024

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Scheduling the Meeting

Preconstruction meetings may be scheduled any time after the award of the contract

and Iowa DOT Contracts and Specifications Bureau concurrence with the

award. Often times, the meetings are scheduled well in advance of the time that the

work will start in order to allow for coordination of utilities, work of other governmental

agencies, or other construction contracts. While these meetings are productive in

discussing the schedule of the project, key project personnel that will be directly

involved with the project may not be available. In this situation the opportunity to

discuss critical quality issues between the project personnel that will have primary

responsibility for the work may not occur.

Preconstruction meetings for projects that do not require detailed coordination efforts

with other entities may be held on the project site just before the work begins. These

meetings shall include the contractor and inspection personnel that will be involved in

the project.

For complex projects that do require advanced coordination of the intended

schedule, an earlier meeting should be held that would involve other appropriate

people. These earlier meetings should focus on the planning efforts needed to

achieve the intended schedule.

Assign the duties of taking minutes for the Preconstruction meeting to someone from

the agency or consultant.

Prepare an attendance list to circulate at the meeting. This list should include

columns for the attendees’ name, organization name, telephone, cell, and email

information. It is also recommended that columns for signatures and job titles be

included.

List of Discussion Topics

A. Administrative Details

1. Change Orders

Before commencing any work not covered by the contract, the Contractor and

the PIRC must agree on the price or prices to be paid for the work. Extra

work performed before this agreement cannot be considered for

payment. The basis of payment for the cost of extra work follows four

general categories:

• Contract unit prices

• Agreed unit prices

• Lump sum

• Force account

On force account work, the Contractor is required to record labor, equipment,

and material furnished on a Statement of Force Account form (Form

181213). The form shall be signed by the inspector and Contractor's

representative at the end of each day's work. Both the Contractor and

inspector will retain a copy.

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Article 1109.10, Disputed Claims for Extra Compensations, of the Standard

Specifications, details requirements for submitting Contractor claims. When

the Contractor deems that extra compensation is due for work or materials

not covered by their contract, they are required to notify the Engineer in

writing before work begins on which the claim is based. The prior notice

allows the Engineer an opportunity to evaluate the issue and, if necessary,

consult with the PIRC, to address possible changes in the design when

appropriate. The Engineer is to respond in writing to the Contractor's claim.

If Doc Express is being utilized for contract administration, the Change

Orders will be made available in Doc Express.

2. Contract Documents

Contractors will see that copies of plans, specifications, and special

provisions are available at all times to their representatives on the project.

Plan revisions will be mailed to the Contractor as soon as they are issued, or

if Doc Express is being utilized for administration of the contract, the plan

revisions will be made available in Doc Express. Contractors will be

responsible for keeping their field representatives informed and supplied with

such revisions. If the Contractor believes such revisions require extra work,

they will immediately advise the Project Engineer.

3. Wage Rates (if applicable)

All wages paid must conform to wage and hour provisions prescribed for the

contract. Crafts must be listed exactly as shown in the wage decision. Crafts

not listed but needed shall be requested by the Contractor through the

Project Engineer. Required payrolls must be submitted weekly and within

seven days after the last day covered by the payroll.

The Contractor shall collect, sign, and submit all payrolls of approved

subcontractors, as a group, to the Project Engineer, or if Doc Express is

being utilized for administration of the contract, the payrolls should be

submitted in Doc Express.

If the Contractor’s payrolls are more than 2 weeks behind schedule, or more

than 3 weeks behind schedule for subcontractors, the Project Engineer

should advise the PIRC withhold progress payments on the items where

payrolls are overdue or require corrective action.

4. Postings

Contractor shall be responsible for erecting and maintaining required postings

as outlined in Sections 2.21 and 2.22 of this Attachment. Discuss methods

and location of postings, especially for projects that are at multiple locations

or are of short duration.

5. Materials

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If the Contractor or their subcontractors want payment for stockpiled

materials that have been fabricated for the project, they should provide a list

of the types, quantity, and estimated cost of material expected to be

stockpiled. For payment, refer to Section 2.51 of this Attachment.

The Source of Materials List is to be submitted to the Project Engineer, no

later than the Preconstruction Meeting. The Project Engineer is to forward a

copy of the list to the Iowa DOT District Materials Engineer.

It is suggested that the Contractor submits, or uploads to Doc Express, a list

of the certified technicians that will be working on the project. This will allow

the Project Engineer an opportunity to verify that the certifications are current.

6. Subcontracting

On all contracts, the Contractor should have submitted subcontract requests

electronically using the SiteXchange program as described in Section 2.25 of

this Attachment.” The Contractor is responsible for EEO and minimum wage

compliance by all subcontractors in addition to fulfilling terms of the contract.

Details of subcontracts that have "Part Items" should be discussed at the

preconstruction meeting. "Part Items" are those items that have a portion of

the plan quantity subcontracted or a part of the work required for a contract

item is subcontracted. It is especially important that "Part Items"

subcontracted to DBE subcontractors be discussed so project personnel are

informed of the work to be performed by DBE subcontractors (i.e.

Commercially Useful Function). The prime contractor should also be

reminded that the FHWA 1273 must be physically attached to each

subcontract on Federal-aid projects.

For subcontract requests and requirements, refer to Section 2.25 of this

Attachment.

7. Project Supervision

The Contractor shall submit in writing, to the Project Engineer, the name of

an authorized representative on the project. Representative will be

empowered to coordinate with all operations of subcontractors and negotiate

with the engineer any questions concerning extra work, including extra work

performed by a subcontractor. If the Contractor wishes, this representative

may be a subcontractor's employee that is present when work on the project

is being performed.

8. Weekly Report of Working Days

During the contract period, the Project Engineer will prepare and furnish the

Contractor with a Weekly Report of Working Days form (Form 830238)

showing working days charged that week or if Doc Express is being utilized

for contract administration, the Weekly Report of Working Days will be made

available in Doc Express. Objections to days charged must be submitted in

writing to the Project Engineer within 10 calendar days after the receipt of the

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report. Objections based on delays due to unavailability of materials should

be accompanied by copies of orders placed, acceptance of orders, and

promised dates of delivery. Engineer will respond to the objection, indicating

acceptance of the claim or reasons for rejection.

9. Right of Way

All parties are reminded that roadway right-of-way adjoins private

property. Any infringement or trespassing upon such private property could

cause damage that would become a liability to the person or organization

involved. Maintaining good relations with the public is also important.

10. Safety

Contractor must comply with provisions of the Federal and State

Occupational Safety and Health Acts. Contractors are referred to Article

1107.07 of the Standard Specifications regarding safety responsibilities on

construction projects and the Iowa DOT Construction Manual 12.03 regarding

railroad company policies and agreements, if applicable.

11. Water Pollution

The Contractor's Erosion Control Implementation Plan (ECIP) and schedule

for control of water pollution shall be submitted to the Project Engineer, or

uploaded to Doc Express, prior to the preconstruction meeting. Storm water

discharge requirements, if applicable, should be discussed. For projects

regulated by NPDES storm water permit, identify the individual(s) that have

completed the Iowa DOT Erosion & Sediment Control Basics (ESC Basics)

web-based training and will be onsite daily and the Contractor’s Erosion

Control Technician (ECT). Additionally, the prime contractor’s Water

Pollution Control Manager should be identified.

Refer to Section 2602 of the Standard Specifications and Iowa DOT

Construction Manual 10.30.

12. Payment to Contractor

For Secondary projects, the Contractor may request intermediate progress

payments to be made on either a monthly or bi-weekly

interval. Measurement of quantities may be based on contract quantities by a

written Plan Quantity Agreement (Form 830230) (Article 1109.01 of the

Standard Specifications).

13. Contractor’s Use of Social Media

Providing current information to local businesses and residents affected by a

construction project is important. If a contractor intends to use social media

(i.e. Facebook, Twitter, etc.), the project engineer is to notify the PIRC so

they are able to view the information.

14. Contractor Furnished Sites

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Contractor is responsible for identifying and obtaining all environmental

clearances/permits and land-use permits required by federal, state, and local

regulations for any contractor furnished sites used for obtaining borrow,

depositing waste material, stockpiling or staging, or creating a haul/access

road. These permits or clearances may include, but are not limited to 404

permits, NPDES permits, floodplain permits, and local land use permits.

The contract may contain a requirement for the contractor to submit an

Environmental Review Certification Form (Form 536003) for any contractor

furnished sites/areas. On other projects, submittal of Form 536003 is not

required but encouraged.

Refer to Articles 1106.06 and 1106.07, Construction Manual 6.10 and 6.34,

Environmental Review Certification Form User Guide (Form 536004), and

FAQ’s on “Environmental Considerations, Clearances, and Permits”.

https://iowadot.gov/construction_materials/FAQs/Environmental

15. Electronic Ticketing (E-Ticketing)

Will the Contractor be utilizing electronic tickets for any of the project

materials? If so:

a. What information will be required on the tickets?

b. How will that information be displayed?

c. Who will be responsible for ensuring the information is accurate and

complete at the source?

d. Who will be providing the information on the tickets in the field?

e. Who will need access to the tickets and who will be responsible for

adding those users?

f. If a cellular signal on the project is not available, what provisions will

be made so that the information will be available on the project site?

g. Are any special devices necessary for accessing the E-ticket

information? If so, who will provide them?

B. Project Details

On many projects it may be necessary for the Project Engineer to prepare and

present an enlarged plan or map for showing location, special areas of concern,

right of way restrictions, and staging.

Specific project information to be discussed includes:

• Anticipated work starting dates.

• Staging schedule (Article 1108.02, J, or Article 1110 of the Standard

Specifications).

• Requirement for all employees to be wearing approved high-visibility

apparel as per 23 CFR 655.603 and 6D.03.04 of the MUTCD.

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• Signing and barricade responsibilities

- State/county responsibilities (Article 1107.09A, 1 of the Standard

Specifications).

- Contractor responsibilities (Article 1107.09, A, 2 of the Standard

Specifications).

- Contractor's traffic control contact information, submitted if traffic

to be maintained through construction areas (Article 1107.09, A, 2,

j of the Standard Specifications).

• Construction staking requirements.

• Discussion of items to be subcontracted and names of

subcontractors. Commercially useful function of DBE subcontractors,

suppliers, and manufacturers should also be discussed. (Section 2.25 of

this Attachment).

• Equipment to be used – Contractor should identify equipment with greater

than legal axle loads that is to be moved across bridges or pavements

that will remain in place. Equipment with greater than legal axle loads

(Article 2001.01 of the Standard Specifications and Iowa DOT

Construction Manual 3.40) must be either loaded on an appropriate trailer

or specifically exempted. Requests for exemptions will be analyzed on a

case-by-case basis by the Contracting Authority.

• Special notes on plans, proposals, and special provisions.

• Discuss advanced notification of pedestrian path closures as per Article

2528.01, A, 10, of the Standard Specifications.

• Environmentally sensitive areas, including wetlands, mitigation areas,

historical sites; and remind the Contractor that they must obtain

necessary clearances for Contractor Supplied Borrow if they have not

already done so.

• Pre-concrete conferences.

• Value engineering incentive proposals submitted by the Contractor

(Article 1105.13 of the Standard Specifications and Section 2.36 of this

Attachment).

• Railroad agreements and railroad flagging when applicable

C. Documents to be submitted by the Contractor:

• Superintendent’s name and contact information

• Foreman’s name and contact information

• 24-hour Contact name and phone number

• Plant Inspector’s name and contact information (if applicable)

• Traffic Control Technician’s name and contact information (applicable

only if the project includes an item for Traffic Control). Must be an

employee of the Contractor and not the subcontractor.

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• Erosion Control Technician’s name and contact information (applicable

only if the project includes a Storm Water Permit)

• Source of Materials List (see Inspection Tools website)

• Contractor’s Co-permit for the Storm Water Permit

• Storm Water Co-permittee Certification Statement (Form 830215) for

each subcontractors that will be performing work that could result in

erosion or prevent erosion

• Borrow documents (applicable only if project includes Contractor

Furnished Borrow)

• Example of Contractor’s Daily Traffic Control Diary

• Staging schedule

• Traffic Control Plan (if applicable)

• Value Engineering proposal (if applicable)

• Erosion Control Implementation Plan

Utilities and Law Enforcement Attendance

At preconstruction meetings, attendance of utilities and law enforcement personnel could

be highly beneficial to all concerned. The Project Engineer should expend extra effort to

assure attendance and open communication with utilities and appropriate law

enforcement.

Relocation of utilities is of extreme interest to all concerned in the progress of the

project. Meeting with individual utility companies prior to the preconstruction meeting to

discuss their schedule for relocation is recommended. The appropriate time for this

meeting to be most effective will depend on project specific circumstances (i.e. start

date, letting date, extent of relocations required etc.) For safe control of traffic, the ability

to discuss traffic control with all contractors and law enforcement could be highly

beneficial. Local law enforcement officers (Local Police, Sheriff, or Campus Police) and

Highway Patrol should be invited to attend preconstruction meetings when

appropriate. Highway Patrol can be contacted through the Highway Patrol district office

having jurisdiction over the area where the project is located. Communication and

coordination with enforcement personnel regarding work zone staging changes is helpful

in improving project safety.

It is beneficial to discuss utilities relocation, project staging and/or traffic control early in

the meeting before more detailed and time-consuming construction matters are

discussed. Discussion concerning drainage district tile locations and private tile

locations should occur as both tile systems do not get located with the utility one-call

system.

Other Preconstruction Meeting Attendees

For Federal-aid projects, Representatives of the Civil Rights Bureau should be invited to

preconstruction meetings to be available to answer questions about DBEs, AA/EEO, job

postings, and any other questions regarding civil rights issues. Refer to I.M. 1.000, Iowa

DOT Oversight of LPA Projects, for other preconstruction meeting attendance

requirements based upon funding category.

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2.12     HAUL ROADS 
 
This section is usually not applicable for LPA projects.  Negotiate between jurisdictions 
as needed.   
 
2.13     STREAM CROSSINGS 
  
Permanent Structures - "Iowa Department of Natural Resources Notification of 
Completion of Construction" (DNR Form 542-3017) 
 
When a permanent structure is to be constructed on a stream with a drainage area of 
100 square miles in rural areas and over 2 square miles in urban areas, the DNR 
requires a permit to build the structure. The requirements are noted in the Iowa 
Administrative Code, Environmental Protection [567], Chapter 71, 567-71.1. The permit 
is obtained by the Bridges & Structures Bureau and issued to the Iowa Department of 
Transportation.  The permit will also cover a temporary stream crossing needed during 
bridge construction. 
  
When the project is completed, the Project Engineer will complete and finalize the 
NPDES permit via their online permitting system. Refer to DNR guidance forms for 
further information regarding this process. 
  
Temporary Stream Crossings 
 
Typically, if a temporary stream crossing is not permitted by the project’s Section 404 
Permit, the plans will contain a note indicating access is not allowed.  However, the 
Section 404 permit should be reviewed to verify a temporary stream crossing is 
permitted on a project.  For more information, refer to the Iowa DOT Construction 
Manual 10.40 and Frequently Asked Questions at: 
https://iowadot.gov/construction_materials/FAQs/Environmental  
The requirements for Temporary Stream Crossings are specified in Section 2547, 
Temporary Stream Access, in the Standard Specifications. Temporary stream crossings 
and causeways shall be constructed in accordance with Standard Road Plan EW-
401.  Note that EW-401 identifies the types of materials that are permitted to be used to 
construct temporary stream crossings and causeways and those materials DO NOT 
include soils.  
  
2.14     WATER REGISTRATION AND PERMIT 
 
Any use of water which is a minor nonrecurring use, including roadway construction and 
maintenance, shall not require a permit.  In lieu of a permit, this use may be registered 
with the Department of Natural Resources.  Registrations usually extend for up to one 
year and may be extended by re-registration and re-permitting. 
  
For any construction project requiring water amounting to 25,000 gallons or more per 
day, a "Registration of Minor, Nonrecurring Use of Water" (DNR Form 542-3112) must 
be completed.  An exception is made if the source is a city water supply; the Mississippi, 
Missouri, or Big Sioux Rivers; or the Des Moines River bordering Missouri. 
  

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   June 12, 2024 
 
Page 11 of 105 
The Contractor shall complete and submit the "Registration of Minor, Nonrecurring Use 
of Water" form (DNR Form 542-3112) and a project location map directly to the Iowa 
DNR at the address listed on top of the form.  A copy of the form is available at: 
https://www.iowadnr.gov/About-DNR/About-DNR/Iowa-DNR-Forms-Permits.  The 
Contractor shall provide a copy of the completed form to the Project Engineer. 
  
Daily records or documentation of water usage do not need to be kept. 
  
Duplicate copies of "Registration of Minor, Nonrecurring Use of Water" (DNR Form 542-
3112) can be made from blank sample in the Iowa DOT Construction Manual Appendix 
2-3.  
 
2.15     WORKING AND SHOP DRAWING – SUBMITTAL & REVIEW 
  
Article 1105.03 identifies the contractual requirements for submittal and review of 
working and shop drawings including identification of the primary review office.  All 
submittals of working & shop drawings shall be made to Doc Express, unless noted 
otherwise in the contract documents, for review by the Project Engineer.   
 
Working and shop drawing signature requirements are clarified in the following: 
  
1.  In the case of the Contractor and their fabricator, working or shop drawing 
submittals do not need to be signed by a licensed Engineer if they are prepared 
from the information provided in the plans without any changes, and the contract 
documents (i.e. plans, specifications, etc.) do not state preparation must be by a 
licensed Engineer.  
 
If the working/shop drawing preparer proposes design changes in their submittal, 
that would require them to have the submittal prepared and signed by a 
Professional Engineer licensed in the State of Iowa.  
  
2.  In the case of the reviewer who will approve the working/shop drawings; the 
same as above would apply.  Also note that the review and approval does not 
relieve the submitter/Contractor from responsibility as to the overall correctness 
of the submittal as stated in Article 1105.03. 
 
2.20     CONTRACT ADMINISTRATION 
 
This section provides instructions and guidance to the Contractor and Contracting 
Authorities for administration of construction contracts.  Instructions include information 
on required reports or forms, equal employment opportunity, wage reports, training 
program, minority recruitment, and subcontracting.  Copies of Iowa Department of 
Transportation forms referred to in this section are included in the Iowa DOT 
Construction Manual Appendix 2 and can be copied as needed. Electronic versions 
(Word, Excel or Adobe Reader format) of the forms are also available on the DOT’s 
website: https://iowadot.seamlessdocs.com/sc/ or on the Construction and Materials 
Bureau website:  https://iowadot.gov/construction_materials/Inspection-tool  
 
Forms and Reports - Prepared by the Contractor: 

Attachment D to I.M. 6.000

June 12, 2024

Page 12 of 105

Form No.

Title

Reference

Section

102116

Certification of DBE Accomplishment

2.25*

518002

Certification of Subcontractor Payment

2.25*

830176

Certified Transcript of Labor Payroll/Statement of

Compliance

2.24*

830231

Subcontract Request

2.25*

830215

Storm Water Co-Permittee Certification Statement

10.33

831240

Change Order for Local Public Agency Projects

2.36*

Forms & Reports - Initiated by Contractor, Prepared by Project Engineer

830230

Contract Quantity Agreement

2.27*

* Indicates Section in the Attachment

2.21 OCCUPATIONAL SAFETY AND HEALTH

Occupational Safety and Health Act (OSHA) regulations (federal and state) apply to all

construction projects. (Federal OSHA regulations are codified in 29 CFR, Sections 1910

and 1926.) Contractors are responsible for compliance with OSHA regulations and shall

maintain a safe work site. Therefore, the Contractor, the subcontractors, and all of their

employees must be familiar with the health and safety requirements of the act.

Article 1102.19, E, 5 of the Standard Specifications require that a poster entitled “Job

Safety and Health Form 70-8025” be displayed in a prominent place at all times.

Iowa Workforce Development

https://workforce.iowa.gov/employers/business-resources/employer-posters

Occupational Safety and Health Administration

https://www.osha.gov/publications

23 CFR 634 addresses issues of worker visibility. The purpose of the regulations in this

part is to decrease the likelihood of worker fatalities or injuries caused by motor vehicles

and construction vehicles and equipment while working within the right-of-way on

Federal-aid highways. The rule states that all workers within the right-of-way of a

Federal-aid highway who are exposed either to traffic (vehicles using the highway for

purposes of travel) or to construction equipment within the work area shall wear high-

visibility safety apparel.

2.22 EQUAL EMPLOYMENT OPPORTUNITY (EEO)

Contractor's Responsibility

The Contractor, their subcontractors, and all of their staff who are responsible for the

hiring, supervising, promoting, and discharging of employees shall be knowledgeable

Attachment D to I.M. 6.000

June 12, 2024

Page 13 of 105

of their EEO/AA Policy. Their EEO/AA efforts will be reviewed on a company-wide

basis rather than on project specific efforts.

1. Contractor's EEO Policy

The Contractor and their subcontractors shall have an EEO/AA policy

approved by the Civil Rights Bureau, prior to awarding a contract or

approving subcontracts which are $10,000 or greater. The policy is to be

reviewed and resubmitted each year.

The policy is to include:

• General operating statement

• Designation of EEO officer

• Definition of EEO & AA

• Company’s recruitment policy

• Certification that the company does not possess segregated facilities

• Plan for employee training and promotion – If the Contractor or any of

their subcontractors do not have a training program, their EEO/AA

Policy shall state that there is no plan.

The Contractor and their subcontractors shall conduct periodic meetings with

supervisory and personnel staff at least every 6 months to review and discuss

the company’s policy. All new supervisory and personnel staff shall be

instructed of the policy within 30 days of being hired.

2. Postings

All required site postings shall be in a location that is easily accessible to all

employees and applicants. The location should have been identified at the

Preconstruction Meeting (see Section 2.11 of this Attachment). Postings may

be fastened to a bulletin board, tool shed, or job office/trailer and protected

from weather by glass or clear plastic. Postings that become soiled, faded, or

otherwise illegible should be replaced. More than one posting may be

necessary if there are multiple locations where workers report for work. Such

cases typically occur on complex or long projects involving several different

crews and/or subcontractors. The project bulletin board shall be in place

before work starts and remain on the project until the project is completed

and accepted by the Project Engineer (Form 830435 is signed).

The following are required to be posted on the project bulletin board:

• Subcontractor Authorization and EEO Poster Notice provided by the Iowa

DOT Contracts and Specifications Bureau that lists the name, address

and phone number of the Contractor's and all subcontractors' EEO/AA

officer. This form is considered the Department’s written authorization of

subcontractors for the contract.

• Know Your Rights: Workplace Discrimination is Illegal*

• Form FHWA 1022 – Notice Concerning False Statements and Records

• Form 70-8025 – Job Safety and Health

• WHD-1420 – Your Rights Under the Family Medical Leave Act of 1993

Attachment D to I.M. 6.000

June 12, 2024

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• WHD-1462 – Employee Polygraph Protection Act

• Pay Transparency Nondiscrimination Provision

• USERRA Poster, “Your Rights Under USERRA”

• If predetermined wage requirements apply:

- Current Pre-Determined Wage Rate Decision

- Form WH-1321 Employee Rights Under the Davis-Bacon Act

* The Spanish version of these posters is recommended where Spanish

speaking employees or applicants are likely to occur.

Electronic files of the posters are available for printing by the Contractor on

the Civil Rights website:

https://iowadot.gov/civilrights/documents-forms-and-reports

3. Reports and Records

The Contractor and their subcontractors are required to maintain records to

document compliance with EEO/AA requirements for a period of 3 years

following completion of the contract.

These records include:

• Number of minority/non-minority/females employed in each

classification

• Progress and efforts made in hiring minorities and females

The Contractor and their subcontractors shall submit the following documents to the Civil

Rights Bureau:

• Their company's EEO/AA Policy annually

• Annual report each July listing the number of minorities/females/non-

minorities in each classification in July (FHWA-1391)

• When requested, documentation of periodic meetings, inspections,

and investigations

The Contractor and their subcontractors who have not complied with the

specification may be required to submit a plan for corrective action to the

Iowa DOT Civil Rights Bureau. Failure to correct the deficiencies may result

in suspension of that contractor’s bidding privileges for a period up to one

year.

Project Engineer's Responsibility

While responsibility for complying with EEO requirements is solely the Contractor

and their subcontractors, the Project Engineer’s responsibility on contracts include:

1. Subcontract Request

Refer to I.M. 5.030, Attachment B, Iowa DOT Letting Process, for instruction

on how to manage subcontractor requests before the contract is executed.

Attachment D to I.M. 6.000

June 12, 2024

Page 15 of 105

For additional requests or modifications to existing requests, the Contractor

and their subcontractors are to submit the forms to the Project Engineer. The

Project Engineer should confirm that the subcontractor has an approved

EEO/AA policy and that the amount subcontracted does not exceed 70%

prior to approving the subcontract. The Project Engineer forwards the .CON

file (before award) or Form 830231, Subcontract Request, to the Contracts

and Specifications Bureau for processing. A list of contractors with approved

policies is available from the Civil Rights Bureau website.

https://iowadot.gov/civilrights/Documents-forms-and-reports

2. Review of Project Bulletin Boards

Inspection staff is to review the Contractor's bulletin board for required

notices/posters. Progress payments may be suspended if the appropriate

notices/posters are not displayed on the project site. Work may be

suspended for continued non-compliance. At least one inspection shall be

made on contracts of short duration (six months or less). If the contract

exceeds 6 months, at the start of every 6 month period, a site inspection shall

be performed to ensure that the documents are still correct and legible. If the

project's bulletin board is damaged an inspection shall be performed after

repairs have been made to ensure that it meets the requirements. Reviews

shall be documented on Form 650170, Project Engineer’s EEO Project Site

Inspection/Wage Rate Report.

3. "EEO Project Site Inspection/Wage Rate Report" (Form 650170)

After reviewing the project's bulletin board, the inspector's findings should be

documented on the "Project Engineer's EEO Project Site Inspection

Wage/Rate Report." This report includes a checklist of the required postings.

This report also serves to document the wage-rate interviews of the

Contractor and subcontractors’ employees. The completed report is to remain

in the Project Engineer's file and a copy uploaded to Doc Express.

4. In-depth EEO Inspections

On selected contracts, staff from the Iowa DOT, Civil Rights Bureau may

request that a more detailed EEO interview be conducted. The in-depth

interview/report will coincide with EEO reviews of the home office conducted

by staff from the Civil Rights Bureau. The Civil Rights Bureau staff will

provide their request and instructions to the Project Engineer at the time of

the in-depth review.

2.23 TRAINING PROGRAMS

Requirements for training of all contractors' employees are included in the EEO/AA

specification, Article 1102.19. The Contractor and all of their subcontractors are required

to have a written training and promotion plan when their three-year average of all work

contracted (including subcontracted work) with the Department equals or exceeds

$5,000,000. The required minimum number of trainees is dependent on the amount of

work under contract.

Attachment D to I.M. 6.000

June 12, 2024

Page 16 of 105

Responsibility of the Contractor and all of their subcontractors

When required, the written training and promotion program shall include details such

as:

• Designated crafts of trainees

• Maximum ratio of one trainee to 3 journey-workers (by craft)

• Methods for training and number of hours required for training

• Payment to trainees

Rate of pay for trainees shall be described as a percentage of journey

worker's rate of pay. Trainees' rate of pay shall be at least the appropriate

rate that is specified in their approved training program. The Project

Engineer should verify with the Civil Rights Bureau that the Contractor and all

of their subcontractors have an approved training program if trainees are

being paid less than full Davis-Bacon wage rates.

Individuals enrolled in a training program shall be paid benefits as outlined in

Section 2.24 of this Attachment.

After a trainee has completed his/her training program, the trainee's base

wage rate shall be increased to the Davis-Bacon's wage determination for

that job classification.

• Records

The Contractor and all of their subcontractors shall furnish a copy of the

program to each trainee as well as a certification of satisfactory completion.

All contractors shall submit an annual training report to the Civil Rights

Bureau documenting their training efforts for the year.

2.24 DAVIS-BACON WAGE REQUIREMENTS

Certified Transcript of Labor Payroll

A. Regulations

Regulations covering interstate, primary, secondary, and city projects financed in

whole or in part with federal funds may require submission of a "Certified

Transcript of Labor Payroll" (Form 830176) in accordance with "Required

Contracts Provisions" (Form FHWA-1273). These requirements will be included

on the proposal and shall be carefully studied and observed.

Davis-Bacon regulations apply to laborers and mechanics employed by the

Contractor and subcontractors on, adjacent or virtually adjacent to the "Site of the

Work". "Site of the Work" includes the physical location of the work called for in

the contract documents. Also included are tool yards, batch plants, borrow pits,

etc. provided they are dedicated exclusively to performance of the contract and

"provided they are adjacent or virtually adjacent to the site of the work".

The U.S. Department of Labor has interpreted "adjacent to the Site of Work" to

indicate a common boundary, while "virtually adjacent" indicates a small

separation between the project and temporary plant site.

Attachment D to I.M. 6.000

June 12, 2024

Page 17 of 105

Temporary plants, Contractor Furnish Borrows, or the Contractor's staging yard

established for a project would be considered "Site of Work only when the site is:

• adjacent (common boundary between the project and plant site) or

• virtually adjacent (for example: plant site is separated from the project site

by a narrow strip of land such as a local road between a project and a

plant site)

Chapter 15 of the Department of Labor Field Operations Handbook describes

Davis-Bacon and the Contract Work Hours and Safety Standard Act

requirements. A link to Chapter 15 of the DOL Handbook is available at

https://www.dol.gov/agencies/whd/field-operations-handbook/Chapter-15.

Project engineers shall refer questions concerning Davis-Bacon coverage to the

Administering Bureau. If necessary, the Administering Bureau will consult with

the Construction and Materials Bureau so uniform interpretations can be

provided.

Occasionally, Project Engineers receive requests from private sources for copies

of certified payroll records. If the project is being administered by a consultant,

the request for release of payroll records should be sent to the PIRC. The PIRC

is the person responsible for all payroll records. Iowa's "Open Records Law"

provides for the release of all information except social security

numbers. Requests for payroll records must be submitted in writing. Copies of

these written requests are to be provided by registered mail to the Contractor that

initially submitted or will submit certified payrolls. If a request for subcontractor

information is received, a copy of the request will also be sent to the

Contractor. Requests are to be acknowledged in writing, confirming that

information is available and indicating that social security numbers will be

withheld. Payroll records must not be released until 14 calendar days after a

copy of the request is received by the Contractor. This allows the Contractor an

opportunity to obtain a court injunction to stop the release if they believed the

information could affect the competitive bidding process. These procedures are

to be followed for requests received from outside sources, such as labor unions.

Adherence to these procedures during investigations by the Department of Labor

or FHWA is not required. Another exception has been made for representatives

of the Iowa Labor Management Work Preservation Fund, who may obtain project

payrolls for a given week without a written request provided it does not cause

undue inconvenience for the Project Engineer's office (Iowa Administrative Code-

761 IAC 4.9(31))

When contract provisions state that a certified transcript of weekly payroll is

required, the Contractor shall submit to the Project Engineer or upload to Doc

Express one copy of Form 830176 or an alternate form which contains the

information as required in FHWA-1273, Section IV 3.

Project engineers must also ensure "Statement of Compliance" information is

furnished with the payrolls and that the Contractor has signed all payrolls

received from subcontractors.

Attachment D to I.M. 6.000

June 12, 2024

Page 18 of 105

If an individual works on more than one project during a period, payroll

information shall include adequate data to verify correct computation and

payment of fringe benefits.

B. Postings

A copy of wage rates must be posted in a location easily accessible and visible to

all employees and applicants. It should be attached or adjacent to the posted

Wage Rate Information Federal-Aid Highway Project form (Form WH-

1321). Supplemental wage rates requested and approved shall also be posted.

C. Davis-Bacon Wage Requirements for Independent Truckers

Federal-aid construction contracts may include Required Contract Provisions

(FHWA-1273) which governs Davis-Bacon wage rates and fringe benefits for the

project. Therefore, all employees of the Contractor or subcontractor hauling on a

Davis-Bacon covered project must be paid in accordance with FHWA-1273

requirements.

When an independent trucking firm is engaged to haul materials to a

Davis-Bacon covered site, Davis-Bacon coverage of drivers depends on the

status of the material supply source. Department of Labor has consistently held

that the following are construction activities covered by Davis-Bacon provisions

[Code of Federal Regulations, 29 CFR, Section 5.2(j)(1) & (2)]:

• Employees working in situations where materials are produced from an

operation, plant, or pit that is opened or installed "virtually adjacent" to a

construction site for the exclusive purpose, or nearly so, of fulfilling

contract material requirements, and

• Truck drivers who haul and deliver materials from those locations to the

job site. The only exception is for bona fide owner-operators physically

driving their own trucks. This exception does not extend to other drivers

of independent trucks.

Truckers hauling from a commercial source are not covered by Davis-Bacon

requirements except for the time spent on the project. This ruling applies to all

trucking, whether it is by an employee of the Contractor, subcontractor, or an

independent material supplier or transporter. A trucker employed by the

Contractor/subcontractor may be covered when hauling from portable plant to

project and not covered if hauling from commercial quarry to portable plant site.

Commercial sources are not considered part of the "site of work." This includes

permanent plants and quarries that are not established for a specific project.

Portable plant sites set up in a commercial quarry for a specific project are

considered part of the site of work when the quarry is adjacent to or virtually

adjacent to the project site.

For deliveries by a supplier or an independent trucking firm from a certain

material supply facility to be considered outside Davis-Bacon coverage, the

facility must be off the project site and 10% or more of sales must actually be

made from the facility to the general public. (See Section 5.2(1)(3) of

Attachment D to I.M. 6.000

June 12, 2024

Page 19 of 105

Regulations, Part 5.) Sales to the public must be more than token sales.

Additionally, DOL has further defined Material Suppliers as entities that ONLY

deliver materials/supplies and ONLY engage in activities as part of those tasks.

An entity that both supplies materials and also performs contract work is not a

supplier but rather a contractor or subcontractor, and ALL employees are subject

to Davis-Bacon labor standards provided their time on site is not de minimis.

D. Preparation of Certified Transcript of Labor Payroll

Use the Certified Transcript of Labor Payrolls form (Form 830176) when

preparing and submitting payrolls.

1. Heading

The heading of a payroll transcript must include the information as shown

in the Iowa DOT Construction Manual Appendix 2-14.3. Subcontractors

shall include name of the Contractor. Wage decision number must be

listed, so there will be no confusion on minimum wage rates for the

project.

2. Contracts with Multiple Projects

Typically, payroll transcripts are required from the Contractor and each

subcontractor for a project. However, for multi-project contracts, the

Contractor may prepare one "combined" payroll transcript if the projects

have identical wage schedules and are worked more or less as one

project with individuals used interchangeably between projects.

Therefore, the Contractor and subcontractors may combine multiple

projects for payroll transcripts provided:

• the Contractor and each subcontractor prepares individual

transcripts, and

• all projects included are listed on that "combined" payroll

transcript.

2a. Projects that cover multiple Wage Zones

Contractors are required to pay employees hourly wage rates and fringe

benefits in accordance with the appropriate work classification and Wage

Zone as specified in the Predetermined Wage Rate for the

contract. Wage Zones are defined in the Predetermined Wage Rate by

groupings of counties and cities.

If a project traverses two or more wage zones, the contractor may elect

to pay employees either:

• Wage rates/fringe benefits based on the higher Wage Zone, or

Attachment D to I.M. 6.000

June 12, 2024

Page 20 of 105

• Wage rates/fringe benefits based on the Wage Zone where the

employee performed work. This requires additional record keeping to

document the time employees worked in different wage zones.

3. Required Contract Provisions

The Required Contract Provisions (Form FHWA-1273) attached to

contract documents show that at least the following items shall be

observed:

a. Payrolls shall only contain employee's full name and an

individually identifying number for each employee (e.g., the last

four digits of the employee's social security number). Contractors

and subcontractors are required to maintain complete social

security numbers and addresses of employees and to provide

such information to government agencies upon request.

b. Employee's craft and classification must be listed exactly as

shown in the wage decision. For example, it is not acceptable to

simply use "Operator-Group 2" without listing the classification.

c. If an employee works in more than one work classification during

the pay period, the employee's hours may be assigned to one

classification, provided the classifications are in the same Group

(i.e. same wage rate and fringe benefit).

d. Deductions must be itemized.

e. No individual shall be employed as laborer or mechanic except on

an hourly-wage basis.

f. All Contractors shall comply with all applicable federal, state, and

local laws governing safety, health, and sanitation.

g. Overtime pay shall be computed on 40 hours/week. This means

an employee must accumulate the initial 40 hours before overtime

becomes reimbursable. This is computed at the base

Davis-Bacon rate with fringe benefits being paid at the straight

time rate.

Employee work hours accumulated on a contract where the

Davis-Bacon Act applies shall be reimbursed at least Davis-Bacon

labor rates. The Contractor and their subcontractors shall

carefully track and document time for employees who charge time

to different contracts in a single pay period, especially if these

different contracts are not all subject to Davis-Bacon labor

rates. For example:

CASE 1:

Attachment D to I.M. 6.000

June 12, 2024

Page 21 of 105

Employee "A" has charged labor time to two projects in week

"X". Project 1 is subject to Davis-Bacon, project 2 is

not. Employee "A's" time sheet shows:

Monday - Thursday, 4 days at 8 hours/day, project 1

Friday, Saturday, 2 days at 8 hours/day, project 2

Employee "A" has accumulated 48 hours (6 days x 8

hours/day) in week "X."

Employee "A" is reimbursed:

• 4 days x 8 hours/day = 32 hours x project 1's

Davis-Bacon wage rate

• 1 day x 8 hours/day = 8 hours x project 2's standard

wage rate

• 1 day x 8 hours/day = 8 hours OT x project 2's

overtime rate

CASE 2:

Employee "B" has charged labor time to the same two projects

noted in Case 1. This employee's time sheet shows:

Monday - Thursday, 4 days at 10 hours/day, project 2

Friday, 1 day at 8 hours/day, project 1

Employee "B" has accumulated 48 hours (4 days x 10

hours/day) plus (1 day x 8 hours).

Employee "B" is reimbursed:

• 4 days x 10 hours/day = 40 hours x project 2's

standard wage rate

• 1 day x 8 hours = 8 hours OT x project 1's

Davis-Bacon overtime rate

CASE 3:

An employer may elect to pay weighted overtime for overtime

hours worked. Using the example from Case 2 above,

overtime may be calculated as follows.

Calculate weighted overtime rate:

(40 hours x project 2's standard wage rate) + (8 hours x

project 1’s Davis-Bacon wage rate) = total base pay

Total base pay/48 hours worked = weighted pay rate

Weighted pay rate x 1.5 = weighted overtime rate

NOTE: If the weighted overtime rate does not exceed the

Davis-Bacon rate, the Davis-Bacon rate must be used.

As in Case 2, employee "B" has accumulated 48 hours (4 days

x 10 hours/day) plus (1 day x 8 hours).

Attachment D to I.M. 6.000

June 12, 2024

Page 22 of 105

Employee "B" is reimbursed:

◼ 4 days x 10 hours/day = 40 hours x project 2's standard

wage rate

◼ 1 day x 8 hours = 8 hours OT x weighted overtime rate

4. Work Assignments

The Contractor and their subcontractors shall acquaint their supervisors

with crafts and minimum wage provisions so employees are assigned

work that conforms to their classification. The correct classification and

rate may be reported to Contractor's home office. Exceptions to the

general rule include:

To establish a uniform procedure among contractors for future wage

determinations, contractor shall show on payroll COMBINATION crafts for

employees performing more than one type of work. However, all work

classifications for that individual shall be listed. For example:

CASE 1:

Lower classification employee doing higher classification work.

• Shall segregate hours and pay at higher wage rate if individual

is not being reimbursed the highest rate for class of work

performed.

CASE 2:

Higher classification employee doing lower classification work.

• Not necessary to segregate hours performing separate tasks,

provided individual continues to be reimbursed at the highest

rate.

• Shall segregate hours and classifications if individual will have

their wage rate reduced when doing lower classification work.

In Iowa, there is not an "Ironworker" classification for all zones. For

these situations, employees erecting structural steel are to be classified

as "Carpenters and Piledrivermen".

5. Working Supervisors

Supervisors who spend more than 20% of their time performing other

"labor type" duties as a regular part of their activities at the job site must

be so designated by having the "other" work classifications listed on the

payroll transcript. For example: A supervisor who also does carpentry

work, or operates a dozer, or drives a truck would have to have these

duties listed on the payroll transcript.

Attachment D to I.M. 6.000

June 12, 2024

Page 23 of 105

This requirement confirms their hourly rate is for the highest work

classification. Any premium pay received for supervision will be over and

above the rate of pay for work performed.

6. Apprentices

Apprentices are permitted to work at less than the predetermined wage rate

when all of the following conditions apply:

• They are individually registered in an approved apprenticeship program;

• They are paid the percentage of the hourly rate required by the

apprenticeship program;

• They are paid the appropriate fringe benefits as discussed in the

paragraph below;

• They are employed within the allowable ratio specified in the approved

program for the number of apprentices to journeymen;

• Compliance with the apprentice-journeymen ratio is to be applied on the

job site.

• Compliance with the apprentice-journeymen ratio is to be determined on

a daily, not weekly, basis.

Apprentices shall be paid fringe benefits in accordance with provisions of

the apprenticeship program. If a particular apprenticeship program does

not specify fringe benefits, apprentices must be paid the full amount of

fringe benefits listed on the wage determination for applicable

classification. If the Wage and Hour Division administrator determines

that a different practice prevails for the applicable apprentice

classification, fringe benefits shall be paid in accordance with that

determination.

Refer to FHWA-1273 IV(4)(a) for more details.

7. Trainees

In general, the same conditions for apprentices above apply for trainees.

Refer to FHWA-1273 IV(4)(b) for more details.

Trainees shall be paid fringe benefits in accordance with provisions of the

trainee program. The Project Engineer should verify with the Civil Rights

Bureau that the contractor has an approved training program if trainees

are being paid less than full Davis-Bacon wage rates. If a particular

trainee program does not mention fringe benefits, trainees shall be paid

the full amount of fringe benefits listed on the wage determination for the

work actually performed. The Wage and Hour Division administrator will

determine if there is an apprenticeship program associated with the

corresponding journeyman wage rate on the wage determination which

provides for less than full fringe benefits for apprentices.

8. Owner-Operators of Hauling Equipment

Attachment D to I.M. 6.000

June 12, 2024

Page 24 of 105

Bona fide owner-operators of trucks and similar construction hauling

equipment, who are independent contractors, are not subject to

enforcement of contract labor standard provisions. Owner-operators of

other non-hauling type equipment are considered as employees, not as

subcontractors.

A ruling by the Department of Labor states in effect that:

• Because owner-operators usually work under payment

arrangements based on a unit price [for example, so much per

cubic meter (yard) hauled] rather than on an actual truck or

equipment rental rate plus the driver's (or operator's) rate, and

• Because of difficulties that have arisen with respect to securing

adequate data on rental arrangements in order to determine

whether contract minimum rates are being paid, therefore,

• As a matter of administrative policy, the provisions of Davis-Bacon

and related acts will not be applied to bona fide owner-operators

of trucks or other similar construction equipment used exclusively

for hauling and who are independent contractors.

This policy, which is not intended to encompass other equipment such as

bulldozers, scrapers, backhoes, cranes, drilling rigs, and welding

machines, will be in effect until such time as it may appear practical to

devise workable and easily enforceable procedures for obtaining

compliance with respect to such owner-operators.

The Certified Transcript of Labor Payrolls form (Form 830176) including

names of such bona fide owner-operators need not show hours worked

nor rates allegedly paid, but only operator's name and the notation

"owner-operator." In this way, such individuals can be recognized as

bona fide independent contractors NOT subject to contract labor standard

provisions and can be distinguished from equipment operators who ARE

subject to such provisions.

A ruling by the Chief Counsel for the Federal Highway Administration

requires that data for each driver employee of truck owner-operators,

regardless of number of trucks owned, must be shown the same as for

any other laborer or mechanic. This means all such employees shall be

listed on the payroll with a complete breakdown of hours worked, hourly

rate paid, and all other required information according to "Required

Contract Provisions" (Form FHWA-1273). In those instances where truck

"owner operators" drive their own truck, payroll notation shall list them as

"owner operator" with no further information relative to hours worked or

wages paid. However, during multi-shift operations when an owner may

hire a driver for a subsequent shift, a complete breakdown of information

relative to daily hours worked, hourly rate paid, etc., must be shown on

the payroll for "employee of owner-operator." This same procedure shall

be followed if owners have several trucks for which they hire drivers. The

only exception to showing a complete breakdown of information is when

"owner operators" physically drive their own trucks.

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9. Flaggers

The Department of Labor has determined that duties of flaggers are

clearly manual and physical in nature and as such they are laborers or

mechanics within the meaning of the Davis-Bacon Act. Flaggers who

perform a dual function, such as flagger and journeyman, have to be paid

journeyman's rate.

10. Survey Crews

Survey crew members who spend most of their time on a covered project

taking or assisting in taking measurements would likely be deemed

laborers or mechanics and covered by Davis-Bacon labor standards

(provided that they do not meet the tests for exemption as professional,

executive, or administrative employees under 29 CFR part 541).

11. Exempt Classifications

The Department of Labor has determined that classifications whose

duties are generally not manual or physical in nature are not subject to

Davis-Bacon regulations. The following classifications are considered

exempt from Davis-Bacon regulations, provided that the employees are

not engaged in other covered work:

a. Ticket-taker

b. Certified plant inspector, Quality Control technician

c. Survey crew, except for survey crew members who perform

primarily physical and/or manual duties.

12. Corrections

When errors or omissions are discovered, the Contractor or their

subcontractors will be required to make necessary corrections and submit

a supplemental payroll transcript. If a subcontractor has to make

correction, it must be submitted to the Contractor for review before being

submitted to the Contracting Authority. Original transcript will not be

returned. A Supplemental transcript shall be so labeled (e.g. No. 15

Supplemental). Examples of supplemental transcripts are shown in the

Iowa DOT Construction Manual Appendix 2-14.4. Only employees

affected by the errors or omissions are listed on the supplemental.

The Contractor or their subcontractors may be required to submit a

notarized statement from the employee or a copy of both sides of a

canceled check verifying that an adjustment has been made. Sufficient

explanation shall be given to make any adjustment easily understood by

all who may review a supplemental transcript.

13. Starting, Suspending, Completing Payroll Transcripts

Payroll transcripts shall be submitted as soon as the contractor starts any

project activity at the site of work. Transcripts shall be in sequential order

starting with the number "1." When work on a contract is suspended, the

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last payroll transcript should be labeled "suspend" (e.g. No. 14

Suspend). This procedure shall be followed when work is resumed or

completed (e.g. No. 15 Resume and No. 24 Final). Contractors, if they

choose, may continue payroll transcripts during the suspension period

with a notation on the transcript "No work during this period."

If any of the contractors fail to submit required records or make them

available, the Iowa DOT, FHWA, or DOL may, after written notice to the

Contractor, take such actions as may be necessary to suspend further

payments. Payment should be withheld to the Contractor for those items

that are contracted to the contractor who is in violation. Payment to

subcontractors who submit correct payrolls should not be withheld

because of mistakes of another subcontractor. Failure to submit required

records upon request or make such records available may be grounds for

debarment action.

14. Records

Payrolls and basic records shall be maintained by the Contractor and

each during the course of the work and shall be available for inspection at

any time by authorized representatives of the contracting agency, DOL, or

FHWA.

Regulations and contract provisions require all contractors to preserve

employment records at least 3 years after completion and final settlement

of the contract.

E. Completion of "Statement of Compliance"

A "Statement of Compliance" is printed on the backside of the Certified

Transcript of Labor Payroll form (Form 830176) and relates to wage kickbacks,

payrolls, apprentices, fringe benefits, and falsification penalties. A copy is

provided in the Iowa DOT Construction Manual Appendix 2-14.2. Those

Contractors who have permission to use their own payroll form must attach a

copy of the "Statement of Compliance" to their payroll transcript. The statement

of compliance is certified by the dated signature of the Contractor or an

authorized agent. The Contractor must also sign all Statements of Compliance

submitted by their subcontractors. A scanned copy of the original "Statement of

Compliance" and payroll transcripts may be submitted to the Project Engineer as

email attachments, or by uploading to Doc Express, provided the Contractor

retains the Statement(s) of Compliance with original signature(s) for the required

retention period.

F. Fringe Benefits

Davis-Bacon prevailing wages are made up of two interchangeable components -

basic hourly wages and fringe benefits. Under Davis-Bacon, fringe benefits must

be paid for all hours worked. The fringe benefits may be paid:

• In cash

• To an approved plan, fund or program

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• Any combination thereof

Example:

The wage decision requires:

Basic hourly rate $10.00

Fringe benefits $ 1.00

Total prevailing rate $11.00

The contractor can comply by paying:

1. $11.00 in cash wages

2. $10.00 plus $1.00 in pension contributions or other "bona fide" fringe

benefits

3. $ 9.00 plus $2.00 in pension contributions or any combination

of "bona fide" fringe benefits. In this example, overtime must be paid

at the basic hourly rate of $10.00.

1. Payment of Fringe Benefits to an Approved Plan

All contractors who pay fringe benefits to approved plans, funds, or

programs in amounts not less than determined in applicable wage

decision shall show on the face of their payroll the basic cash hourly rate

and overtime paid to employees. Such contractors shall check 4(a) to

indicate they are paying to approved plans, funds, or programs not less

than the amount predetermined as fringe benefits for each craft. Any

exception shall be noted in 4(c). Details of the fringe benefit plan, fund, or

program shall be submitted with the first payroll to the Project Engineer.

The submittal shall include description of the benefits, dollar amount

contributed per hour, and if applicable, name of the Trustee or third

person to whom the benefits were paid.

Included as "bona fide" fringe benefits, are benefits such as supplemental

unemployment plan, life insurance, health insurance, pension, vacation,

holidays and sick leave. Credit may be taken as Davis-Bacon fringe

benefits for training, provided the training program is approved by the

U.S. Bureau of Apprenticeship and Training and the amount is

reasonable (i.e. less than $0.50/hr). No credit may be taken for any

benefit required by federal, state or local law (i.e. worker's compensation,

unemployment compensation or social security contributions). Also,

travel expenses, meals, lodging, per diem expenses, uniforms,

administrative expenses, union administrative dues, union working dues

or industry promotional funds (i.e. Heavy Highway Advancement Fund,

Labor-Management Work Preservation Fund) are not considered bona

fide fringe benefits within the meaning of Davis-Bacon regulations.

2. Cash Payment of Fringe Benefits

All contractors who do not pay any fringe benefits to an approved plan,

fund, or program must make cash payment to an employee. Payment

shall not be less than the predetermined fringe benefit amount plus

minimum wage rate. When fringe benefits are paid in cash, the

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contractor shall check 4(b). Any exceptions shall be noted in 4(c). If part

of the fringe benefits are paid to an approved plan, fund, or program and

part in cash to an employee, then both 4(a) and 4(b) shall be checked.

3. Fringe Benefits and Overtime

Contracts covered by the Davis-Bacon Act are also subject to the

Contract Work Hours and Safety Standards Act (CSHSSA) which

requires overtime on covered projects at 1 ½ the hourly rate for hours

worked in excess of 40 hours per week.

The overtime rate is computed at the sum of 1 ½ times the basic rate plus

the designated hourly rate for fringe benefits. It is not required that the

hourly cash rate for fringe benefits be multiplied by a factor of 1 ½.

For example:

Davis-Bacon rate $10.00

Fringe benefit $ 2.00

The overtime rate of pay may be calculated by 3 methods:

1. $10.00 (base) + $2 (fringe) + ½ $10.00 (D-B rate) = $17.00

2. $12.00 (cash) + ½ $10.00 (D-B rate) = $17.00

3. $ 8.00 (base) + $4 (fringe) + ½ $10.00 (D-B rate) = $17.00

Project Engineer's Involvement

A. Field Procedure

Early and complete labor compliance inspections are essential to the

development of a sound compliance pattern on all contracts. EEO Site

Inspections are required to be performed on the Contractor and each

subcontractor performing more than $10,000 of work (on any contract). Wage

rate interviews are required as part of the Inspection, unless they participate in

the Associated General Contractors of Iowa Prevailing Wage Notification

Program (see below). Results of inspections, wage rate interviews, and/or

confirmation of AGC of Iowa Prevailing Wage Notification Program shall be

documented on the Project Engineer’s EEO Project Site Inspection/Wage Rate

Report form (Form 650170). At least one inspection shall be made on the

following:

• Contracts of short duration (six months or less).

• If the Contractor or a subcontractor works longer than 6 months on the

project, at the start of every 6 month period, an interview shall be

performed to ensure that the Davis-Bacon requirements are still being

met.

For contracts which extend over a longer period of time (greater than 6 months),

inspections shall be made on approximate six months intervals. The Project

Engineer is responsible to see that required labor compliance inspections are

conducted and recorded. Whoever is assigned the compliance inspection needs

to be thoroughly familiar with the regulations and instructions.

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The Associated General Contractors of Iowa have implemented a Prevailing

Wage Notification Program. All contractors participating in this voluntary program

have established a proactive method for informing their employees of the Davis-

Bacon wages and benefits to be paid on projects.

It is felt that these proactive measures by the contractor will allow the Project

Engineer to eliminate the routine wage rate interviews and focus on complaints

received from the employees. This procedure will not eliminate the need for

posting the wage rate decision on bulletin boards or submittal of certified

payrolls.

The list of contractors participating in the Prevailing Wage Notification Program is

maintained on the AGCI's website (http://www.agcia.org/pwnp.asp). Any

contractor wishing to participate should contact the AGC of Iowa.

The Project Engineer's office staff review certified payrolls that have been

submitted. In order to ensure that certified payrolls have been received for all

subcontractors whose employees worked during a given week, the office staff

must be advised of the subcontractors that worked. The Project Engineer's office

should develop a process to provide this information between the inspection staff

and office staff.

If payrolls of the Contractor are not received within 2 weeks of the period

covered, the Project Engineer’s staff should advise the Contractor, in writing,

which payrolls have not been submitted and that progress payments for the work

will be withheld. If payrolls of subcontractors are not received within 3 weeks of

the period covered, the Project Engineer should advise the Contractor, in writing,

which payrolls have not been submitted and that progress payments for the

subcontracted items will be withheld. In either case, communication with the

Contractor sooner than these time limits may be appropriate to inquire on the

status of payrolls.

B. Wage-Rate Interview

When conducting a wage-rate interview, the following questions shall serve as a

guide:

1. Is the employee receiving at least the specified wage rate for type and

class of work performed?

2. Is proper allowance being made for fringe benefits and have the plans

been explained to the employees?

3. Is work performed within the proper classification?

4. Are additional classifications necessary?

5. Does the employee have complaints as to hours, wages, and fringe

benefits?

The findings of the wage rate interview are to be documented on the EEO Project

Site Inspection/Wage Rate Interview form (Form 650170). Names of employees

interviewed and date of the certified payroll transcript used are to be recorded on

the interview form. If no discrepancies are identified during the interview, this

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should be so noted. In some instances, employees may not be knowledgeable of

the pre-determined hourly wage rates and fringe benefits to which they are

entitled. Furthermore, they may not be aware of the hourly wage rates and fringe

benefits they have been paid or what work classification they have been

assigned. In these cases, the interviewer should document on Form 650170 that

the findings of the interview were inconclusive because the employee was unable

to respond to the questions. Interview forms are to be retained in the project files

and uploaded to Doc Express.

C. Violations and Complaints

Any violations discovered, or complaints received, shall be investigated

promptly. The PIRC should be actively involved in the investigation. If the

Contractor is found to be in violation of the contract's labor standard provisions, a

complete report shall be written giving details of violation(s) and results of the

investigation.

The report shall also include an amount of money, if any, found to be due to

employees and the number of employees who shall receive these payments. A

copy of this report shall be sent to the Administering Bureau. The Administering

Bureau will review and forward to the Construction and Materials Bureau.

D. Office Procedure

1. Payroll transcripts shall be checked to verify that:

• Information in the heading is correct and complete.

• Titles designating crafts correspond correctly with those in wage

schedule for that particular contract. No others may be used

unless a supplemental wage determination has been secured by

the Contractor or subcontractor. If a listed craft is not included in

the wage decision, the Contractor or subcontractor shall be

advised that a supplemental wage rate must be requested.

• Rate per hour is not less than that shown for each craft in the

wage schedule for that contract, and overtime rates (if any) are at

least one and one half times the regular base rate, plus any fringe

benefits. Exception: The Contractor and subcontractors have the

option to reduce basic cash wage by the excess payment of fringe

benefits. Fringe benefits may be in cash, by contribution into a

bona fide fringe benefit program, or a combination of both.

• Fringe benefits (if any) have been provided and appropriate

paragraph is checked on the Statement of Compliance.

• The Statement of Compliance is complete and properly

signed. Multiple-sheet transcripts will be considered certified if the

necessary information and dated signature are shown on the last

sheet of that packet.

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• Signature of the Contractor appears on all payrolls submitted from

subcontractors.

• Transcript is submitted within one week after the end of a payroll

period. ESTIMATES SHALL BE WITHHELD until such time as

these requirements are fulfilled.

• An occasional spot check to determine accuracy of computations.

• Checking payroll transcripts can be time consuming. The primary

objective is to ensure the proper wage rate is being paid. It is

important to review the first 3-4 payrolls received from the

Contractor and subcontractors carefully to be sure information is

complete and accurate. Once it is apparent that wage rates used

are appropriate, it is not necessary to check each line of each

payroll. However, occasional spot checks should continue to be

made, paying particular attention to new crafts listed as the active

work type transitions. If problems are noted, subsequent payrolls

must be checked until problems are resolved. Payrolls submitted

to Doc Express that have been checked shall be indicated by

adding “Checked by xxx” in the comment field in Doc Express.

2. Transition

All payrolls submitted to Doc Express by the Contractor shall be

transitioned to “received” by the Project Engineer. The date of this

transition becomes the “Date Rec’d Project Engineer’s Office” for (Form

830176) This transition shall be completed after the above noted

verification checks, as applicable, and should occur regularly as the

project progresses.

3. Corrections

When errors or omissions are discovered on transcripts, the Contractor

will be advised. Necessary corrections must be made on a supplemental

payroll transcript (See example in the Iowa DOT Construction Manual

Appendix 2-14.5). The original payroll transcript will NOT be returned to

the Contractor or their subcontractors; however, copies indicating

necessary corrections may be supplied. The original payroll and any

previous revisions shall remain in Doc Express as noted in the Doc

Express LPA User’s Guide Appendix.

4. Disposition

Retention of payroll transcripts by the Contracting Authority shall comply

with the requirements in I.M. 6.110, Final Review, Audit, and Close-out

Procedures for Federal-aid, Federal-aid Swap, and Farm-to-Market

Projects.

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Supplemental Wage Rates

If, after a letting, the Contractor determines that the wage decision for the contract

does not include wage rates for one or more work classifications to be used, the

Contractor must request additional classification(s) and wage rate(s). The

contractor shall initiate the request by completing a “Request for Authorization of

Additional Classification and Rate” form (Form SF-1444)

https://www.gsa.gov/reference/forms/request-for-authorization-of-additional-

classification-and-rate. Contractor completes blocks 1-15. Contractors must request

employees, if present, or their designated representative, to sign block 16 noting the

employee's concurrence or disagreement with the contractor's proposed wage and

benefit rate. The "designated representative" may be a union representative;

however, it cannot be the contractor's representative. The contractor must pay the

proposed wage and benefit rate pending response from DOL.

The request shall be submitted to the Contracts and Specifications Bureau who, after

concurrence, will forward the form to the U.S. Department of Labor for approval.

Approval from the U.S. Department of Labor usually takes at least 30 days, so an

early request by the Contractor is necessary. Final payment to the Contractor shall

not be held up pending a response from the Department of Labor, if the Contractor

has made timely submittals for additional wage classifications and there are no DOL

investigations on file.

2.25 SUBCONTRACTS

Subcontract Requests

Contractor’s Requirements

Instructions for completing Subcontract Requests are available on the Contracts and

Specifications Bureau website:

https://iowadot.gov/contracts/lettings/subcontracting.pdf

Note the additional guidelines on the administration of DBE subcontracts that follow.

Except for trucking by DBE firms, Subcontract Requests (Form 830231) are not

required for trucking of materials. Trucking by DBE firms shall be documented on a

Subcontract Request and Approval form, but the dollar value will not be used to

determine the amount subcontracted. The Contractor or subcontractor shall advise

the Project Engineer in writing, on a daily basis, the names of independent

companies that will be hauling materials on the “site of work”. This will allow the

Project Engineer to monitor trucking companies for compliance with Davis-Bacon

requirements. Similarly subcontract requests also are not required for concrete

pumpers, but employees of concrete pumping companies are subject to Davis-Bacon

wages and Certified Payrolls when employed on the site of work. The contractor (or

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subcontractor) should also advise the project engineer when concrete pumpers are

on site to ensure compliance with Davis-Bacon requirements.

“Subcontract Requests” are not required for work performed by a “wholly owned”

subsidiary of the Contractor. When the subcontractor is a wholly owned subsidiary of

the prime contractor, the amount subcontracted may be reported as zero. A list of

wholly owned subsidiaries is maintained by the Contracts and Specifications Bureau

and can be obtained from the Administering Bureau. NOTE: the Administering

Bureau can obtain the list at w:\Highway\Contracts\FieldInformation.

The Contracts and Specifications Bureau will upload a Subcontractor Authorization

and EEO Poster Notice to Doc Express for placement on the project’s bulletin board.

This poster is considered the Department’s written authorization of subcontractors for

the contract.

Project Engineer’s Responsibility

For all contracts, the Project Engineer must have the list of subcontractors and their

associated items for proper administration. A “.CON” file is required to view the

subcontractor list and the SiteXchange software is needed to view the .CON file. A

current pdf of the subcontractor requests and approvals should be in the Contract

Documents drawer in Doc Express.

Initial Subcontract Requests:

For Iowa DOT let projects, the Prime Contractor submits all subcontractors and their

associated bid items to the Contracts and Specifications Bureau either before or at

the time of contract using the electronic .con file produced by the SiteXchange

software. The Contracts and Specifications Bureau will process the initial electronic

subcontractor request(s), create the tax certificates and AA/EEO Poster for all DOT

let, LPA contracts.

• Using SiteXchange: To download the SiteXchange software:

o Go to https://iowadot.gov/contracts/general-letting-

information/bidexpress-utility-files and click on “SiteXchange”.

o A box will appear “What do you want to do with SiteXchange.zip”, click

the “Save” button.

NOTE: You only need to do this once to get the software on to your machine!

• Save the SubCon.exe file onto your computer.

NOTE: It is VERY IMPORTANT that you keep track of where it is saved,

because when the Contractor sends you a “.con” file, you will need to save it

in this same folder to be able to open it!!! To make this easier, create a

shortcut to the SubCon.exe file on to your desktop so you won’t have to find it

in explorer every time you want to open a “.con” file.

• To view the subcontractor list

o Open SiteXchange.

o Click on the File dropdown menu.

o Click on Open…

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o Or click on the icon that looks like a file folder with an arrow showing that

it is opening.

• The Open Contract dialog box will appear.

• Click on the contract that you need.

• Then click on the Open button.

• At this point, click on the printer icon to get the list of Subcontractors.

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• If you want a hard copy for your files and inspectors to have in the field,

select your printer.

• You will also need to print an electronic copy print to Adobe pdf.

Printing subcontract requests:

In order to print subcontract requests, you must have a C:\SUBCON folder that

contains 3 files – SubCon.exe, vendor.bin, and the appropriate .CON file for the

contract. The vendor.bin file is periodically updated and it is critical to keep the most

current copy of it in the C:\SUBCON folder so the appropriate contractor’s name

prints.

Once you have the 3 files in the C:\SUBCON folder –

1. Double click on the SubCon.exe

2. Click on Run

3. Click the Open icon

4. Highlight the appropriate .CON file and then click Open

5. Click the Print icon

All subcontract requests will be printed as well as a summary sheet.

Subcontract requests submitted after time of Contract signature:

If modifications to the subcontractor list are necessary after contract signing, the

Prime Contractor shall submit all requests to the Project Engineer for their review

and approval. The Project Engineer shall:

• Verify that the Subcontracting limit of 70% has not been exceeded.

• Verify that the subcontractor has a current EEO/AA Policy, they should

appear on the Status listing as found at this website:

https://iowadot.gov/civilrights/documents-forms-and-reports

• Approved_EEO_AA_Policy_List.pdf

• Send the “.con” file on to the Contracts and Specifications Bureau at

dot.contracts@iowadot.us so they can prepare tax certifications & send a

new EEO poster notice for the Contractor’s bulletin board.

Additional information about required checks and the submittal process to can be

found on the Contracts and Specifications Bureau website, and in Attachment C to

this I.M.

Existing items by subcontractor:

The Project Engineer is to check revised .CON files for accuracy (%

subcontracted, current EEO/AA policy, items assigned to appropriate

subcontractor) and forward the revised .CON file to the Contracts and

Specifications Bureau as an email attachment. The email is sent to

dot.contracts@iowadot.us with a subject line of “Revised Con File”.

New or existing items by a new subcontractor:

If new items are added to a contract and will be completed by a new

subcontractor, the subcontractor request must be submitted to the Project

Engineer using the Subcontract Request form (Form 830231). The SiteXchange

software is not able to generate a Subcontract Request form because the

software does not support new items added by Change Order. A subcontract

Attachment D to I.M. 6.000

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request is not required for new contract items to be completed by an existing

contractor.

The Project Engineer is to check the Subcontract Request form for accuracy (%

subcontracted and current EEO/AA policy) and forward the form to the Contracts

and Specifications Bureau as an email attachment. The email is sent to

dot.contracts@iowadot.us.

However, if there was originally a .CON file but the revision is due to an item

being added by contract modification or change order, the prime must submit a

paper subcontract request and then you must add the sub’s new item(s) and

notify the Administering Bureau for addition of the subcontractor to Doc Express,

in addition to forwarding it to the Contracts and Specifications Bureau. (The hard

copy of the subcontract request can be scanned and e-mailed.)

If a subcontractor is to be linked to a new item, the Contractor will furnish you

with a paper subcontract request. It is the Project Engineer’s responsibility to

authorize the subcontractor and then forward the request to the Contracts and

Specifications Bureau.

• Once the Contractor submits the Subcontract Request to the Project

Engineer as an attachment to an email, the Project Engineer is to review

the Subcontract Request form to ensure that the percent subcontracted

does not exceed the maximum threshold and that the subcontractor has a

current EEO/AA policy. If all information is correct the Subcontract

Request form should be attached to an email to the Contracts and

Specifications Bureau at dot.contrac[email protected]s. The email, with

attachment, should also be forwarded to the project inspector. The

Subcontract Request can then be filed in the project file or uploaded to

Doc Express.

In summary:

• All Subcontract Requests must be prepared using the “.CON” file and

submitted electronically, except for new items added to a contract that will be

completed by a subcontractor. In this instance, the SiteXchange does not

support new items added by contract modification or change order. In this

case, the request is submitted on hardcopy form of Subcontract Request

(Form 830231) and submitted to the project engineer as an attachment to an

email. A blank copy of the Subcontract Request (Form 830231) is provided

in the Iowa DOT Construction Manual Appendix 2-16.1 and 2-16.2. The

Contracts and Specifications Bureau will provide a Subcontractor

Authorization and may upload a new EEO Poster Notice to Doc Express for

placement on the project’s poster board. This poster is considered the

Department’s written authorization of subcontractors for the contract. If a

corrected EEO Poster Notice is sent to the Project Engineer, it should replace

the outdated form on the Contractor’s Poster Board. If the Contracts and

Specifications Bureau does not send a corrected EEO Poster Notice, the

Project Engineer should verify with the Contracts and Specifications Bureau

that the new Subcontract Requests were received and the new

subcontractors may be added to the document on the poster board by hand.

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The additional/modified requests are submitted to the Project Engineer to minimize

delays in providing the information to field staff.

The Project Engineer is responsible to make sure a subcontractor does not perform

more work than described on the approved subcontract.

Occasionally, subcontractors may have to rent additional equipment and hire extra

employees to complete their work. However, when the entire crew and equipment of

the Contractor or another subcontractor is used to complete work, the Contractor is

violating the intent of Article 1108.01 of the Standard Specifications and is

considered brokering a project. If the Project Engineer's staff observes work

performed by anyone other than the approved subcontractors, the Administering

Bureau should be notified. Assistance will be provided to investigate the

circumstances.

At the preconstruction meeting, it will be beneficial to discuss methods of keeping

subcontractors informed of the work status. Although the Contractor is responsible

to make progress payments to a subcontractor, numerous incidents in the past have

indicated a lack of timely progress payments from the Contractor to the

subcontractor. Subcontractors may request the Project Engineer to furnish them a

copy of a progress voucher for informational purposes.

Leased Employees

The Contractor and approved subcontractors may utilize "leased" employees as part

of their "own" work crew. In either case, the Contractor shall submit a Subcontract

Request before leased employees can be on the job site. "Leased" employees shall

be obtained from a firm that does not perform highway construction (i.e. a temporary

employment agency).

When "leased" employees are used, they are considered part of the contactors "own

organization" when the following requirements are followed:

• The Contractor maintains control over the supervision of the day-to day

activities of the leased employees.

• The Contractor remains responsible for the quality of the work of the leased

employees.

• The Contractor retains all power to accept or exclude individual employees

from work on the project.

• The Contractor remains ultimately responsible for the payment of

predetermined minimum wages and submission of payrolls on contracts that

required predetermined wages.

The employee leasing company will appear on the list of subcontractors and under

the EEO/AA list. The leasing company is responsible for all customary employer

responsibilities including EEO/AA in hiring, training and promotions, and the

submittal of required employee information to the Department, state, and federal

agencies. If prevailing wages are required, the employee leasing company shall

submit certified payrolls. The certified payroll will need to designate the Contractor

that is using the leased employee(s).

Attachment D to I.M. 6.000

June 12, 2024

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A leased employee may be utilized by the Contractor or different subcontractors

during a project; however, the individual employee may be used by only the

Contractor or one of the subcontractors at a time.

DBE Contractors and DBE subcontractors may not use leased employees because

Federal DBE regulations prohibit the use of leased employees and will not meet the

commercial useful function towards DBE commitments.

Subcontractor - Disadvantaged Business Enterprise (DBE)

A. Contract Award

On Federal-aid projects with predetermined goals, all bidders will be required to

submit a Statement of DBE Commitment form (Form 102115) with their bid. This

form identifies DBE subcontractors, suppliers, transporters, and/or manufacturers

that will be used to satisfy the DBE goal. Form 102115 shall also include work or

items to be subcontracted, cost of this work, percent applicable to DBE goal, and

dollar amount committed to each DBE.

Upon execution of a contract, the Contractor becomes committed to those DBEs

listed on Form 102115. This commitment is therefore a contractual arrangement

between the State and the Contractor with the same enforcement as any other

provision specified in the contract documents. The Contractor is required to

enter into a contractual arrangement with each DBE listed by formally executing

a written subcontract agreement specifying the work to be performed and

appropriate compensation for that work. This two-tier process, which

contractually obligates the Contractor to both the State and each participating

DBE, formalizes implementation of all DBE contract provisions.

The Contracts and Specifications Bureau will review the low bidder's Statement

of DBE Commitments form (Form 102115) to assure that certified DBEs are

being used. After review, the DBE commitment information will be posted on Bid

Express (https://bidx.com/ia/main) in the letting page for each letting.

B. Subcontract Requests

For added or modified subcontracts, the Project Engineer must compare the

Subcontract Request form (Form 830231) submitted by the Contractor to the

Contactor's DBE Commitment found in Bid Express

(https://bidx.com/ia/main). The Contractor must subcontract the work to the

certified DBE subcontractor. Any request to change certified DBE

subcontractors, or any request to subcontract work for less than the total amount

shown on the "DBE Commitment" document shall not be approved without

written approval from the Civil Rights Bureau.

1. Temporary Employees and Leased Equipment

A DBE may lease equipment consistent with standard industry practice

provided a rental agreement, specifying terms of lease arrangement, is

approved prior to a DBE starting work. If equipment is of a specialized

nature, the lease may include an equipment operator. If this practice is

Attachment D to I.M. 6.000

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Page 39 of 105

generally acceptable within the industry, then the operator can remain on

lessor's payroll. For equipment that is not specialized, a DBE is expected

to provide the operator and be responsible for all payroll and labor

compliance requirements.

Operation of equipment shall be subject to full control of the DBE. Such

an arrangement shall be short term and involve a specialized piece of

equipment used at the job site.

The Civil Rights Bureau maintains an electronic roster of certified DBE

trucks: https://iowadot.gov/civilrights/Disadvantaged-business-enterprise-

program-DBE/DBE-Program

2. Commercially Useful Function

A commercially useful function exists when:

• A DBE is totally responsible for execution of a distinct element of

work by actually performing, managing, and supervising the work

involved in accordance with the contract documents, normal

industry practice, and

• that DBE firm receives due compensation as agreed upon for the

work performed.

To meet commercially useful function requirements of the regulations and

contract, the following statements are applicable:

• DBE firm must manage the work contracted. Management shall

include scheduling work operations, ordering equipment and

materials (if materials are part of the contract), preparing and

submitting payrolls and all other required reports and forms, as

well as hiring and firing employees, including supervisory

employees.

• DBE shall perform work with employees normally employed by

and under the DBE's control. In all instances, the DBE shall be

responsible for payroll and labor compliance requirements

concerning all workers under their control. DBEs may use other

means to perform work on a limited basis when the contract

requires specialized knowledge, skills, or equipment. A DBE may

be allowed to augment their work force with personnel which

normally work for another firm, if requested and approved by the

Civil Rights Bureau prior to commencing work.

• DBE must supervise daily operations of their portion of contracted

work. The only two acceptable ways for a DBE to supervise daily

operations are:

1) The DBE owner may act as the superintendent and

directly supervise work, or

Attachment D to I.M. 6.000

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2) A skilled and knowledgeable superintendent employed and

paid wages by the DBE must directly supervise that work.

If the latter is used, the DBE owner must be actively involved in

making operational and managerial decisions of the

firm. Basically, this means that all administrative functions shall

be performed by personnel responsible to, or employed by, the

DBE at facilities or locations under the DBE's control.

• DBEs shall supervise and perform contracted work with workers

on their payroll and under their direct supervision. The DBE and

their superintendent must, on a full-time basis, supervise and

control contracted work. Supervision of contract work by

personnel normally employed by the Contractor or another

subcontractor, or by personnel not under the DBE's control

constitutes failure to perform a commercially useful function.

The DBE Specifications Article 1102.17 includes minimum requirements

for DBE manufacturers, dealers, transportation services, and

subcontractors. DBE subcontractors that indicate work which will be

performed by employees of another firm or with leased equipment should

be questioned.

The Administering Bureau shall be notified in all cases where there is a

question of commercially useful function before that subcontract is

approved.

The Civil Rights Bureau will assist in determining requirements of a

commercially useful function for DBE suppliers and manufacturers.

3. Partial Subcontract of an Item

It is not unusual for DBE subcontractors to be involved in only part of a

contract item. This is to be documented on Form 830231 by clearly

stating in the "Description" column exactly what portion of an item is to be

accomplished by the DBE and the corresponding dollar amount. Details

of subcontracts that have "Part Items" should be discussed at the

preconstruction meeting so project personnel are informed of the work

(i.e. Commercially Useful Function) to be performed by DBE

subcontractors.

For conditions where a subcontract does not exist but a DBE firm is

manufacturing, supplying, or trucking materials to the job site, terms of

the agreements shall be described in Form 830231. This information is

documented on Form 830231 so the Project Engineer can be assured

that the Contractor is meeting commitments previously stated on the

Statement of DBE Commitments form (Form 102115). The work

documented on the form shall be assigned to a contract item. A typical

example may be for trucking only of hot mix asphalt and should be

included as: "HMA Surface-Trucking Only-Lump Sum"; Quantity =1; Unit

Price= $30,000. This dollar value will not be used to determine the

Attachment D to I.M. 6.000

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percent subcontracted as specified in Article 1108.01 of the Standard

Specifications.

Inspection staff must monitor work performed and periodically inform the

Project Engineer as to which individuals and equipment actually worked,

so payrolls can be spot-checked.

C. Construction Period

The Project Engineer and inspectors must routinely review work subcontracted to

DBE subcontractors to assure work is being performed as intended and that

DBEs are performing a commercially useful function. Where work is performed

by the Contractor or any other subcontractor or with equipment not owned by the

DBE, the inspector shall issue a non-compliance notice citing violation of the

Specification for Disadvantaged Business Enterprises, of Article 1102.17 of the

Standard Specifications. This non-compliance shall be immediately reported to

the Project Engineer, who will in turn notify the Administering Bureau.

The Contractor will be given credit toward the DBE contract goal only when a

DBE performs a commercially useful function. The requirements for a

commercially useful function are outlined in the previous section "Subcontract

Requests."

A DBE may lease equipment consistent with standard industry practice provided

a rental agreement, specifying terms of lease arrangement, is approved prior to a

DBE starting work. If equipment is of a specialized nature, the lease may include

an equipment operator. No credit will be given for the cost of equipment leased

or rented from the Contractor.

DBEs shall negotiate cost, arrange for delivery, and pay for materials and

supplies required for their portion of the contract work. Invoices for materials shall

be invoiced to the DBE firm and not to the Contractor.

No credit shall be allowed toward the DBE goal for cost of materials placed by a

DBE subcontractor when payment is made by deducting this payment from the

Contractor's payment to the DBE.

Project engineers must document performance of the DBEs activity on all

Federal-aid projects as part of the normal project contract compliance

monitoring. On-site project monitoring by field personnel shall include employee

assignments, equipment used, and supervision of the work as indicated on the

subcontract form. The commercially useful functions shall be documented on the

DBE Commercially Useful Function Checklist (Form 517014) once per DBE per

contract. Even though this form is completed only once per DBE per contract, if

any irregularities are observed any time that DBE is working on a project, it

should be noted on Form 517014. All irregularities must be documented on

Form 517014, and immediately reported to the Contractor and the Administering

Bureau.

Attachment D to I.M. 6.000 
   June 12, 2024 
 
Page 42 of 105 
Project engineers shall not allow the Contractor or other subcontractors to 
perform work that has been committed to a DBE subcontractor without prior 
written approval from the Civil Rights Bureau. 
  
In situations where a DBE subcontractor cannot (or is not) performing, the 
Contractor must follow all steps described in the specifications.  Upon receipt of a 
signed statement from the DBE and documentation where the Contractor will 
satisfy the goal with other items or DBEs, the Project Engineer may recommend 
to the Civil Rights Bureau that the commitment be waived and the required goal 
adjusted.  The Civil Rights Bureau must provide written approval of all 
substitutions before any changes in subcontracted work are performed. 
  
D.  Post Construction 
 
The Contractor shall submit and electronically sign in Doc Express, a completed 
Certification of DBE Accomplishment form (Form 102116) according to the Doc 
Express
®
 naming convention for all Federal-aid contracts and shall list the dollar 
amounts paid to all DBE firms on the contract. This form certifies the dollar 
amount paid to each DBE.  If the contract had a DBE commitment, Project 
Engineers must compare the dollar amounts on Form 102116 to dollar amounts 
committed to DBE's as shown in the "DBE Commitment" document. 
 
If the contract contained a DBE commitment, the Project Engineer will verify that 
the Contractor has attained the DBE commitment specified to each DBE firm 
listed on Form 102116.  A price adjustment will be assessed for the amount of 
commitment not paid to each DBE firm used unless the DBE commitment to that 
DBE firm was reduced as allowed by Article 1102.17, G, 3, of the Standard 
Specifications.  The Project Engineer must include a written explanation 
describing situations, background, and findings which resulted in reductions of 
adjustments.  This explanation shall be attached to Form 102116.  The 
Administering Bureau shall review these adjustments prior to signing Form 
830436, Final Payment; or Form 640003, Certificate of Completion and Final 
Acceptance of Agreement Work. 
  
When the Contractor is a certified DBE contractor, Form 102116 is required to be 
submitted upon completion of a Federal-aid contract. The DBE contractor shall 
include the amount of work completed by their firm and DBE subcontractors. The 
Project Engineer will sign the form acknowledging receipt of the form and does 
not need to complete the amounts in the lower portion of the form.  
  
Unique problems have been noted with the goals and variables of the DBE 
program.  Documentation of any activity related to the program is important and 
must not be overlooked.  Record all telephone or personal contacts noting time, 
place, and details. 
  
Subcontractor - Traffic Control 
 
Traffic control items of a contract may require designation of a subcontractor to 
perform the work depending on how much of the total item is performed.  Some 
guidelines are: 
 

Attachment D to I.M. 6.000

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A. A Subcontract Request (Form 830231) will NOT be required if:

1. Traffic control is a lump sum bid item and the traffic control supplier:

• Furnishes the traffic control devices

• Delivers materials to the "first use" location

• Keeps equipment operational by being on call from the Contractor

or through periodic visits to the site

• Picks up devices when a project is completed

2. Traffic control signals are bid as furnish and install and the traffic control

supplier:

• Furnishes the traffic control devices

• Delivers materials to the "first use" location

• Picks up devices when a project is completed

B. A Subcontract Request (Form 830231) shall be required if:

• the traffic control supplier performs the entire item of traffic control (lump

sum, furnish and install) and provides regular surveillance, cleaning, routine

maintenance and repair of devices, or changes the system between stages.

• The traffic control supplier performs contract work such as setting devices up

at the "first use" location

• Traffic control is bid as incidental to other work

Prompt Payment to Subcontractors

Contractors are required to pay subcontractors for satisfactorily completed work

within 7 calendar days after receiving payment (or should have received payment)

from the Contracting Authority.

Certification of Subcontractor Payment

The Contractor shall submit and electronically sign in Doc Express, the Certification

of Subcontractor Payment form (Form 518002) according to the Doc Express

naming convention ahead of the signed final voucher. The form shall include the

names of all approved subcontractors. The Contractor shall provide an explanation

for instances that exceed 30 days.

The Certification of Subcontractor Payment form (Form 518002) is not required to be

submitted if there were no subcontractors on the contract.

2.26 USE OF PROPERTY OUTSIDE OF PROJECT RIGHT-OF-WAY

Any proposed use of property outside of the project right-of-way by the Contractor or any

subcontractor shall be submitted to the Project Engineer. Prior to any use of private

property, the Contractor shall provide the Project Engineer a copy of the written

agreement with the property owner that allows them access to the property and releases

the Contracting Authority of all liability.

Attachment D to I.M. 6.000

June 12, 2024

Page 44 of 105

2.27 "CONTRACT QUANTITY AGREEMENT" (FORM 830230)

The Contractor may request final payment for an item based on contract

quantities. When a contract quantity request is received from the Contractor, the Project

Engineer shall verify that items included on the request are not items to be paid as

contract quantity by Article 1109.01 of the Standard Specifications.

If there are contractual conflicts, i.e. the Contractor does not agree with the quantities in

the contract documents, these issues should be discussed at the Preconstruction

Meeting. The method of measurement for those items that may have conflict should be

identified at this time. For example, if the Contractor does not agree with the quantity of

Class 10 excavation on the contract, the Contractor can request the actual

measurements by providing written notice to the Contracting Authority. The preliminary

cross-sections and the balance points shown in the contract documents will be used as

the basis for payment of quantities. For further explanation of this example, see Article

2102.04, A, 1, c, of the Standard Specifications.

If there are no contractual conflicts, the Project Engineer will prepare a Contract Quantity

Agreement form (Form 830230) and upload it to Doc Express for it to the Contractor to

sign. After the Contractor signs the form, the Project Engineer shall sign.

2.28 RETAINED FUNDS

Retained funds held by the Contracting Authority are for the purpose of satisfying 573

Claims. The term, "573 Claim", originates from Chapter 573 of the Code of Iowa that

addresses claims on government contracts. Persons or companies may file a "573

Claim" with the Finance Bureau on Farm-to-Market funded projects, all others submit

with the Contracting Authority, for unpaid labor and/or materials.

Retained funds are not intended to offset credit payments for deficient work, including

price adjustments and liquidated damages.

When payment is needed to be withheld for price adjustments for deficiencies, item

progress should be withheld on the appropriate contract item(s) for the amount to be

withheld. Pay quantities for the Contractor items should be withheld to cover liquidated

damages. These items will be increased to the final quantities after a Change Order for

price adjustments and/or liquidated damages is processed.

Release of Retained Funds

For contracts let after January 1, 2007, Contractors are required to certify that they have

given notice to all subcontractors and suppliers of their intent to request early release of

retained funds. The notice must be provided 10 calendar days before the release of

contractor retainage is requested. Chapter 26 allows the Contractor to request release

of contractor retainage when the contract is substantially complete or after the contract is

certified complete by the Engineer.

The Contractor should initiate any request for release of contractor retainage. The

Project Engineer should not initiate release of contractor retainage.

Attachment D to I.M. 6.000

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Procedure and assigned responsibilities:

Contractor

• Submit a signed Request for Early Release of Retained Funds form (see I.M.

6.000, Attachment G) in the Working Drawer in Doc Express.

• The request shall include a sworn statement, signed by the Contractor, that the

notice was given to all subcontractors and material suppliers at least 10

calendar days prior to the date of the request. The "Request for Early Release

of Retained Funds" form shall be used (see I.M. 6.000, Attachment G).

• Shall provide a statement to every subcontractor and material supplier that the

Contractor intends to request release of contractor retainage. In accordance

with Iowa Code the notice shall be similar to the following:

“You are hereby notified that [name of Contractor] will be requesting an early

release of funds on a public improvement project or a highway, bridge, or

culvert project designated as [name of project] for which you have or may

have provided labor or materials. The request will be made pursuant to Iowa

Code section 26.13. The request may be filed with the [name of

governmental entity or department] after ten calendar days from the date of

this notice. The purpose of the request is to have [name of governmental

entity or department] release and pay funds for all work that has been

performed and charged to [name of governmental entity or department] as of

the date of this notice. This notice is provided in accordance with Iowa Code

section 26.13.”

Project Engineer

Acting on the Contractor's request the Project Engineer will:

1. Confirm criteria have been satisfied, including receipt of the signed statement

from the Contractor.

2. Fill out center section of “Request for Early Release of Retained Funds” form

using markup feature in Doc Express. Contact Finance Bureau for Farm-to-

Market funded projects and the Contracting Authority for all other projects and

inquire if any claims are on file. If 573 Claims have been filed, retain twice the

amount of claims. If there are no claims, the entire amount of contractor

retainage is to be released except for $1.00 per project on the contract. This

$1.00 per project is required to be retained due to limitations in the Department’s

accounting system.

3. Sign Early Release of Retained Funds form (see I.M. 6.000, Attachment G) and

upload to the Project Closeout Drawer in Doc Express. The Contracting

Authority will release the appropriate amount of retainage.

4. Provide the Contractor a written explanation, within 30 days of their request, for

denying any amounts requested.

Attachment D to I.M. 6.000

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2.29 Intentionally left blank

2.30 CONSTRUCTION PERIOD

2.31 ADMINISTRATION OF THE CONTRACT PERIOD

Administration of any contract period and determination of the controlling item of work

requires a fair and equitable assessment of work performed (either working or calendar

days).

• Article 1108.02 of the Standard Specifications identifies how a contract period is

identified in the contract documents and provides guidance for contract

administration.

• Article 1108.03 of the Standard Specifications supplements by outlining working

days on non-Incentive/Disincentive (I/D) projects during holidays.

• Section 1111 of the Standard Specifications provides direction for

Incentive/Disincentive projects.

• Iowa DOT Construction Manual Appendix 2-27 shows "Charging of Contract

Time."

Contract Types

Three types of working day contracts are:

• Approximate Start Date

• Late Start Date

• Specified Start Date

In addition, a contract may include an intermediate contract period for completing

certain phases of work. In all cases, the contract documents will identify a maximum

project duration, i.e., working days. Project durations, identifying the time allowed to

complete work, are used to calculate dollar amounts of liquidated damages and

incentive/disincentive assessments.

A. Approximate Start Date

It is expected that the site will be available by the approximate start date. If it

appears a project site may not be available by the expected start date, the

Project Engineer will notify the Contractor of a delay and, if possible, length of the

expected delay. Contractors are expected to remain informed about site

conditions and be prepared to start work with minimal delay when a site becomes

available.

An approximate start date is designated for the purpose of allowing the

Contractor some leeway in planning their work. The Contractor and Project

Engineer should work with the Contracting Authority to develop an agreed

starting date.

A Contractor may request to start work any time after execution of the contract

and before the approximate start date. This request is subject to approval by the

Project Engineer and the Contracting Authority. If approved, working days will be

charged when work is actually started. If approval is given, the Contractor will be

Attachment D to I.M. 6.000

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required to sign a waiver giving up any right to claim extra compensation for

damages due to delays related to their early commencement. If the Contractor

requests to start early, they shall not interfere with operations of other

Contractors who have first right to the site.

The guidelines for charging working days are explained in Article 1108.02 and

Article 1108.06 of the Standard Specifications and in the following case:

Frequently a paving contract is let following a grading or structure

contract which has not been completed when expected.

The policy on charging of working days in this situation is as follows: Whenever

paving operations are in progress, working days are charged when paving is

identified as the controlling operation, even though there may be a section of the

project that cannot be paved because of some uncompleted work. If paving

operations must be suspended or cannot start because of this uncompleted

work, charging of working days should also be suspended. The Contractor and

Project Engineer shall agree on a date for resuming paving operations.

The site is considered not available if the Contractor's operation would be

restricted or curtailed to the extent that production is reduced because of

insufficient or excluded areas. Examples of contracts often delayed are:

• Bridges delayed due to uncompleted berms

• Paving work delayed because of grading construction

Working days will be charged whenever the Contractor is working on the

controlling operation, whether before or after the approximate start date. A

"Notice to Proceed" shall be issued if the Project Engineer determines there are

sufficient reasons and available areas to expect the Contractor to be working. In

this case, the Project Engineer will contact the Contracting Authority and notify

the Contractor that the site is available and work should start. If the Contractor

does not start on or before the 15th day following a "Notice to Proceed," charging

of working days will begin on the 15th day.

Factors to be considered are amount of work available to the Contractor, safety,

other contracts, other work, opening the road to traffic, etc.

Examples of this type of contract are fencing or signing. In either case, the

Contractor will only be able to work as areas are completed and become

available. The Contractor may be expected to work in somewhat confined or

limited areas due to other Contractors or subcontractors on the site.

B. Late Start Date

When a contract includes a late start date, the Contractor may start work any

time after execution of the contract if permitted by specifications and weather. If

an early start is allowed, working days will be charged commencing when work is

actually started. Otherwise, working days will be charged starting on the late

start date.

Attachment D to I.M. 6.000

June 12, 2024

Page 48 of 105

Occasionally the Contractor will start a project, complete several items of work,

and then request that working days be suspended. The charging of working

days may be suspended only when the Contractor begins work on the project

before the late start date and with the approval of the Project Engineer. Project

suspensions should normally not be allowed after the late start date, unless the

project has been opened to traffic. See "Project Suspensions" that follows.

Example of an intermediate project suspension:

Usually the road will not be closed and construction work will be accomplished

while maintaining traffic. Before work is suspended, the road must be left in a

condition that is at least as safe as it was before the start of any preliminary

work. (Refer to "Project Suspensions" in the following section.) After suspending

work, a new late start date is calculated using the number of working days

remaining at the time of suspension. A statement indicating work is suspended

and the new late start date should be reported on the appropriate "Weekly Report

of Working Days." The charging of working days would be resumed starting on

the new date or when the Contractor resumes work, if earlier.

C. Specified Start Date

When a contract includes a specified start date, the Contractor can expect the

site to be available by the start date specified. The guidelines for charging

working days are covered in the applicable specifications. Starting work after the

specified start date, except as noted in the specifications, is unacceptable.

Therefore, the Contractor is expected to have a sufficient work force available to

start work not later than the specified date.

Working Day

A working day, as defined in Article 1101.03 of the Standard Specifications, assumes

that conditions are favorable for work to be performed on the controlling item (or

operation). Non-accelerated projects follow Standard Specification Section 1108.02

E, including the option to work on Saturdays with no time charged. Accelerated

projects are generally a mandatory 6-day work week and will include a proposal note

when required. Please refer to the proposal note for accelerated project specifics.

Generally speaking, if weather and specifications allow, a working day is defined as

any calendar day except:

• Days with inclement weather, site conditions, or other conditions beyond the

Contractor's control, that prevent prosecution of the controlling item of work at

least 25% of the daily hours routinely worked.

• Days where conditions identified in the contract documents require the

Contractor to suspend construction operations.

• Non-accelerated Projects:

o Saturdays worked even when inspection is required.

o Saturdays, Sundays and days defined in Article 1108.03 of the

Standard Specifications for state observed holidays not

worked. (Refer to the note following this section.).

• Accelerated Projects:

o Sundays and state observed holidays if not worked.

Attachment D to I.M. 6.000

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o Day preceding or following a state recognized holiday when the

preceding or following day falls on a Sunday (Refer to the note

following this section.)

Article 1108.02 of the Standard Specifications further refines this by charging 1/2 a

working day for construction activities that occur for less than 75%, but more than

50% of the daily hours routinely worked.

NOTE: With the exception of Sundays, it is not intended to automatically restrict

work on roadways where traffic volumes are not a concern. In fact, the Contractor

should be allowed to work on activities that can be accomplished with minimal impact

on traffic. The specification is intended to allow a Project Engineer work with the

Contracting Authority to approve (or deny) the Contractor's request to work on

normally excluded working days. Permission should be evaluated as to how the

proposed work impacts traffic - based on site experience, Contractor's operation, and

project schedule. Any decision to allow work during normally excluded times, shall

be pre-approved by the Contracting Authority on non-primary road projects. For

projects that impact a primary road the Administering Bureau must also pre-approve

the request.

Working days (reference the Iowa DOT Construction Manual Appendix 2-27) will be

charged when work actually begins on the contract, unless:

A. The Contractor does not start work on the Specified Start, or Late Start, date

required by the contract documents. In this case, working days will be charged

commencing with the date specified.

B. For Approximate Start date contracts, the Contractor does not start work on the

date agreed to at the preconstruction meeting. In this case, the Project Engineer

shall issue (or has already issued) a "Notice to Proceed." Working days will start

on the 15th day following a "Notice to Proceed," or when the Contractor starts,

whichever is earlier. (Refer to Article 1108.02 of the Standard Specifications).

C. The Contractor begins to work, or is working, during winter shutdown (November

15 to April 1) and:

• working days remain for the contract, or

• the contract does not require winter work.

Calendar Day

Calendar days are typically used on Incentive/Disincentive projects. As the name

implies, calendar days are every day shown on the calendar beginning at 12:01 AM

and ending at 12:00 midnight.

There is clarification for charging calendar days noted in Section 1111 of the

Standard Specifications. It states in part: Additional closure days for weather delays

will not be allowed for the first 5 consecutive closure days by adverse weather (i.e.

rain, snow, extreme heat, etc.). The specification identifies non-weather related

extraordinary circumstances which will be considered provided they cause a delay.

NOTE: Additional closure days have to be authorized by writing a "Substantial"

Change Order to the project.

Attachment D to I.M. 6.000

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Page 50 of 105

Controlling Item of Work

The controlling item (or operation), as defined in Article 1101.03 of the Standard

Specifications, of work is: Work that is (or could be) in progress at any given period

of time, and would have the greatest influence on the duration of the contract.

Stated another way: at a given point in time, any task which has the greatest impact

on completing the project on time will be considered the controlling item of work.

There can be only one controlling item (or operation) of work at any given time. Also,

by definition: A controlling item (or operation) of work should change as the project

progresses from start to finish, and the item (or operation) need not be completed to

change. For example:

• Placement of reinforcing steel may be a controlling operation at some point in

time. However, placing all reinforcing steel in a bridge need not be

completed before another operation such as placing structural concrete

would become controlling.

• Fabrication and delivery of tower lighting poles may be a controlling item of

work. However, delivery of "all" towers and masts need not occur before

construction of tower bases or erection of some towers would become the

controlling operation.

• Placing granular subbase is a task which obviously needs to occur prior to

placing pavement. However, once placing the subbase has advanced far

enough to stay ahead of placing pavement, the paving operation would

become controlling.

For contracts with a Critical Path Method (CPM) schedule, the controlling item (or

operation) is identified by its appearance on the critical path. For contracts without a

CPM, determining the controlling item (or operation) is not as straightforward and is

decided by the Project Engineer. In these cases, the Project Engineer should

include input from the Contractor and then decide:

• What task is, or should be, in progress (at that time) to keep the project on

schedule?

• What task (at that time) has the greatest influence on completing the project

on time?

Construction operations must be able to occur on the controlling item (or operation)

before a working day will be assessed. A working day will not be charged unless

work can be performed on the controlling item (or operation) of work, even if the

Contractor is working elsewhere on the project. Factors considered outside the

Contractor's control are:

A. Adverse weather which results in site inaccessibility or non-workability of

materials. Further, the Contractor will not be required to perform any task under

unsafe conditions resulting from (or during) adverse weather. Suspension of

working days is allowed only if the Contractor is working, or ready to work, on the

controlling item (or operation). In the event of adverse weather, working days will

not be charged during inclement weather, even if the Contractor has not

mobilized to the project.

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B. Insufficient survey stakes, late acceptance or testing of materials, or lack of

inspection support could result in suspension of working days PROVIDED the

item in question is a controlling item (or operation) of work AND:

• These delays were caused as a result of inaction by the Contracting

Authority. For example: Insufficient survey will not be a reason for

suspending working days, unless the Contracting Authority has not

provided adequate preliminary survey staking or there is a plan error.

• The Contractor provided adequate advance notice indicating a specific

need. Timely notice and communication between all project team

members are of the utmost importance.

Note: There has to be a clear impact to completing the project on time before a

suspension, or additional contract days will be considered.

C. Strikes which are not directed against the Contractor. For example: A labor

strike against a material fabricator, after the project has started. Or a trucking

strike which at a minimum affects all transportation in a particular region where

materials or supplies must come from.

D. Legal stoppages are reason to suspend charging of contract time if they are a

result of legal action:

1. against the Contracting Authority, or

2. against the Contractor and are not based on a specification interpretation

or violation of the contract documents.

E. A controlling item (or operation) could be impacted for reasons such as:

• Delays resulting from redesign or a plan revision

• Redirecting traffic onto a project by State personnel due to some

unforeseen emergency

• Awaiting contract pile lengths based on test pile results

• Awaiting a preceding Contractor to complete their work

• Delays associated with environmental problems

F. Late Delivery of Material. Procurement of material for a project is solely the

Contractor's responsibility. Contract time credits for late delivery will be

considered only when the Contractor documents:

• Orders were placed with a reliable supplier, in sufficient time for materials

to be delivered on schedule.

• The supplier has made a reasonable attempt to secure equal materials

elsewhere within the industry.

• A supplier has the capability and ability to provide materials at the rate

promised.

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Contract time credits (working or calendar days) may be allowed for the

difference between promised and actual delivery dates. However, the promised

delivery date must have been realistic, acceptable, and fully documented to the

satisfaction of the Project Engineer. Time credits could be allowed for late

delivery if the problem developed after a project was let because of:

• An area or nationwide shortage of the material.

• A natural disaster.

• An industry wide strike.

• Transportation strike which delays the delivery of material.

• Delays due to a change in material commitments when caused by a

federal emergency or order.

• Delays due to specially fabricated material which are damaged during

shipment to the project.

G. Redoing work that had been completed, but was damaged or destroyed for

reasons beyond the Contractor's control. For example: A grading Contractor is

working on a project and rain occurs. The Contractor starts back to work and

has to disk previously placed material to dry it out. Working days should not be

charged until the site is back to "reasonably" the same condition it was prior to

the rain. (Note: Drying borrow material, after a rain, would also be included in

this scenario.)

RATIONALE: If the Contractor is willing to place special "early" effort into a

project, or if the Contractor has to redo work which was damaged, the intent is

not to penalize that effort by charging contract time until the site is back to its

"original" condition.

Obviously, an alternate would be for the Contractor to wait until site conditions

are perfect and then resume work. This is not beneficial to either the Contracting

Authority or the Contractor.

H. Change Orders and plan revisions could affect the controlling operation. Impacts

on time should be considered for extra work and plan revisions and addressed

when the impact is known. A Change Order for additional time may be executed

when the impacts are quantified. For projects with a CPM schedule, simply

providing an updated schedule, without substantiating information detailing

changes, will be inadequate for a comprehensive review.

For large overruns, the magnitude and impact may not be readily known until the

final quantities have been determined. In such situations, relative information

should be included as notes on the Working Day Report.

I. Natural Disasters are typically a result of storms which produce catastrophic

results and supersede "adverse weather" described in "A" above. In Iowa, the

Governor's office issues disaster proclamations.

A suspension order may be issued on any project in a declared disaster

area. After consulting with the PIRC, recommendations for a disaster

suspension will be initiated by the Project Engineer, sent to the Administering

Bureau for final approval. Disaster suspensions will be considered for projects

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regardless of the Contractor's working status, i.e., actively working or not yet

mobilized to the site. Time credits could also be considered for damages to plant

facilities, equipment, supplies, partially completed work, and completed work

which must be redone.

J. The Weekly Working Day Report form (Form 830238) or, alternatively, the Appia

Time Limits Report, becomes a very important document in providing a historic

record of events. This form should include notes about delays and other

pertinent information that can be used later to assist in resolving disputes that

may arise.

Special Considerations

A. Adjusting Liquidated Damages

Assignment of working days is based on the estimated value of the contract

costs as found in Table for Proposal Guaranty and Liquidated Damages per Day

in the Iowa DOT Letting Guidelines. Any adjustments to Working Days, when

calculating Liquidated Damages, should be based on costs accrued due to

administration costs, user costs from either delays of the project or out of

distance travel to get around the project should also be considered (see Section

10. Liquidated Damages in the Iowa DOT Letting Guidelines.)

Article 1108.09 of the Standard Specifications states in part that the Contracting

Authority may waive additional liquidated damages which accrue after the work is

in a condition for safe and convenient use by all modes of the traveling public,

including but not limited to vehicular, bicycle and pedestrian traffic. This

specification also identifies conditions which must be met before considering any

credit.

Further, the Contractor would be expected to retain or obtain sufficient equipment

and work force necessary to complete the remaining work within a reasonable

time. Normally 30 calendar days would be considered adequate time to allow for

completing minor work under this provision. One method for administering

working days on projects that are substantially completed with only clean-up /

Punch List items remaining to be completed (typically in the following spring) is to

advise the Contractor that charging of working days will resume in 31 days. This

allows the Contractor to complete the project with no working days for clean-up

work if it is completed with the 30-day period.

B. Winter Work

Determination of contract days (working or calendar days) charged during winter

shut down (November 15 through April 1) will be according to Article 1108.02 of

the Standard Specifications and Section 1111 of the Standard Specifications,

and the contract proposal. Unless otherwise noted, contract proposals allow the

Contractor to work between November 15 and April 1 with no time charged.

Regardless of whether working days are charged, Working Day Reports are to

be issued whenever the Contractor is working on the project. The reports provide

documentation of project status and the Contractor’s progress.

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However, a contract period ends when the Contractor has used all the specified

number of working days. Therefore, if the Contractor has used all allowed

working days and has not completed the project and continues (or is required) to

work after November 15, working days will be charged.

This could also apply on intermediate completion dates. If all specified working

days for an intermediate completion are used, but contract time remains for

completing the project and the Contractor continues (or is required) to work after

November 15, working days would be charged until the intermediate completion

work is completed. But, charging working days would then be suspended until

April 1.

The two situations above assume work can be completed sometime after

November 15. This is not always the case. Anytime working days are charged

during winter free time because of uncompleted work, the Contractor will be

required to work as long as conditions are favorable for work to occur. At the

point where weather and/or site conditions prohibit acceptable constructive work

to continue, a suspension will be issued and work will be commenced at the first

opportunity in the spring.

The Project Engineer may require the Contractor to place temporary materials

prior to a suspension in the following situations:

• A project (or a required intermediate portion) is not completed within the

allowed contract time, and

• work continues (or is required) after November 15, and

• due to weather conditions, work cannot be completed.

Typically, temporary materials will be required for safety or soil erosion

considerations. All temporary materials shall be furnished, placed, and removed

if required prior to start-up at the Contractor's expense.

If the Contractor wishes to start work prior to April 1 and the contract proposal

allows winter free time, the Contractor is required to request authorization to

commence work prior to April 1. If the Project Engineer and the Contracting

Authority approve the request, a condition shall be imposed that the Contractor is

not entitled to compensation for delays when not able to work during the winter

free period. This condition shall also be used when the Contractor submits a

CPM schedule indicating work performed prior to the contract period.

C. Project Suspensions

The Project Engineer and Contracting Authority may approve a suspension when

either of the following two conditions is met:

• when the Contractor starts work prior to the late start date

• when a project is substantially completed

However, if it is apparent the intended suspension would make it impossible for

the Contractor to complete the project within the intended construction season,

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the Contractor will be advised that suspension of work will not be approved and

charging of working days will continue.

If it is necessary, or required, that the road be closed to traffic because of the

preliminary work, a suspension will not be allowed and working days will be

charged unless there are extenuating circumstances or situations.

Charging of working days may be suspended on substantially completed

contracts when only clean-up of the project site and/or completion of minor work

remains. The specification that provides for this allowance depends on whether

liquidated damages have accrued at the time of suspension.

For contracts that have not accrued liquidated damages at the time of

suspension, Article 1108.06 of the Standard Specifications, "Temporary

Suspension of Work" is to be followed and working days will not be charged

when the following conditions are met:

• Only minor work or clean-up of the project remains to be completed

• The Contractor submits to the Project Engineer a written request for

suspension of work and a schedule for satisfactory completion of the

work.

If approved, the Project Engineer will notify the Contractor that working days will

be suspended. This may be accomplished by the Project Engineer noting on the

weekly working day report that charging of working days is suspended. If the

request is not approved, the Project Engineer must advise the Contractor in

writing of the reasons the suspension is denied. The Contractor should be

provided with a response to their request in a timely manner.

It is important to note that this procedure is not intended to allow a suspension for

an indefinite period of time without a planned and approved schedule for

completing the work. The Project Engineer may resume working day charges

when the approved suspension expires if the Contractor fails to complete the

work in accordance with the schedule submitted with the request for suspension.

On contracts that have exceeded the allowable number of working days allowed

and are accruing liquidated damages, Article 1108.09 of the Standard

Specifications, "Failure to Complete Work Within Contract Period" is to be

followed. In this case, working days should not be charged when the following

conditions are met:

• Traffic must have complete use of the roadway, shoulder to shoulder, with

no delays or one-way traffic and no obstructions except for signs warning

of construction work ahead.

• The remaining work to be completed is confined to the areas outside the

shoulder edge.

• Only minor work is left for completion such as clean-up or erosion control

work if it is a small item, not part of an erosion control contract, and the

erosion control work is completed during the first available seeding

period.

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• The remaining work is completed without excessive delay on the part of

the Contractor.

D. Projects Behind Schedule

Typically, bar charts and Critical Path Method (CPM) schedules have been used

as a means of relating construction progress versus time for various types of

construction projects. The Project Engineer will monitor progress by using these

schedules and the "Weekly Report of Working Days."

No mandatory acceleration action is required of the Contractor unless a project is

10%, or more, behind schedule. If the Contractor is more than 10% behind and

an accelerated work schedule is expected, there should be no additional costs

passed on to the Contracting Authority for any costs borne by the Contractor due

to the requirement of the accelerated work schedule.

• 10% Behind Schedule

When the Contractor is 10% or more behind schedule, the Contracting

Authority may issue a notice as provided in Article 1108.02, I, of the

Standard Specifications. Further action may be taken if it appears that

the rate of progress is such that the contract will not be completed within

the allowed time. Ten percent behind schedule may warrant written or

verbal assurances from the Contractor of what they will do to bring the

project back on schedule.

• 20% Behind Schedule

When the Contractor is 20% (or more) behind schedule, and it appears

that completing the project on time is in jeopardy, the Contracting

Authority (working with the Administering Bureau) will recommend actions

described in Articles 1102.03, 1103.01, B, and may take further action

described in Article 1108.02, I, of the Standard Specifications.

A letter to the Contractor will be required when a project is more than

20% behind schedule. This letter should reiterate the Contractor's

obligation to expedite the work and remind them of the various provisions

of Article 1103.01, B, and Article 1108.02, I, of the Standard

Specifications. The letter should also request a reply from the Contractor

on steps which will be implemented to improve work progress within the

next two weeks, and to ultimately have the project completed on time.

The Administering Bureau should be notified at the end of 14 additional working

days if:

• the Contractor has failed to respond to the letter, and/or

• the Contractor has not taken positive, measurable actions to improve

project deficiencies.

2.32 NOTICE TO PROCEED

Historically, the Notice to Proceed form (Form 830237) has not been widely used due in

part to good coordination efforts and communication skills of project team members and

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use of the executed contract as the notice that the Contractor may begin work. The form

was developed for Approximate Start Date contracts (where there is no specified starting

date on the contract) to formalize Contractor notification relative to a project start

date. However, the form may be used for any special situation needing a formal time

notice not imposed by the contract documents.

Generally, formal notification is not necessary if:

• A start date has been agreed to at the preconstruction meeting and the agreed

date is recorded in the minutes. These minutes must then be distributed to all

participants including the Contractor. A week will be allowed for comments and

revisions. After that time, the minutes become documentation of agreements

made during the meeting.

• The Contractor has started work prior to the critical time for issuing a Notice to

Proceed.

• An early work waiver has been approved.

If the Contractor does not appear to be ready to start on the agreed date, or project

conditions warrant an earlier start date, the Project Engineer may issue a Notice to

Proceed form (Form 830237). Examples of these cases are:

• The Contractor agreed at the preconstruction meeting to mobilize and begin work

on the second week in July. It is now the first week in July, the Project Engineer

has been unable to reaffirm the start date or the Project Engineer has reason to

believe the Contractor has no intention of starting as agreed.

• Assume: There is a contract for an HMA overlay. This contract includes some

patching with an approximate start date of June 1. At the preconstruction

meeting, the Contractor noted they would mobilize and begin patching work on

July 15. Sometime after the preconstruction meeting, but before the Contractor

starts to work, the Project Engineer or Contracting Authority becomes aware that

the roadway in question is experiencing rapid deterioration and patching must

begin earlier, say mid-June. In this case, the Notice to Proceed form could be

used to require the Contractor to begin work.

NOTE: Cannot "mandate” the Contractor to begin work prior to the approximate

start date. If the Contractor is agreeable and the site is ready, work can begin

before that date but forcing the Contractor to start early could result in the

potential for an acceleration claim.

In either case the Contractor should be contacted to discuss relevant issues and

attempts made to redefine a new start date. However in the absence of an agreement,

or if the Contractor is not amenable to starting work as needed, the Contracting Authority

should issue a Notice to Proceed form (Form 830237).

NOTE:

1. In the absence of an agreement, the Notice to Proceed form must be issued

before working days can be charged.

2. A starting date in the Notice to Proceed must not be less than 15 calendar days

after date of issuance.

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3. Working days will be charged beginning on the 15th calendar day after the Date

Issued on the Notice to Proceed, or when the Contractor begins work, whichever

comes first.

2.33 WEEKLY REPORT OF WORKING DAYS

The Weekly Report of Working Days (working day report) form (Form 830238) is an

Iowa DOT form used to document time charged versus actual work completed. Two

forms currently used for reporting of time charges are:

• The Weekly Report of Working Days form (Form 830238) is the standard form

used for all construction and/or maintenance contracts.

• Incentive/Disincentive contracts require charging of calendar days during critical

closure periods and should use the Weekly Report of Working Days for

Incentive/Disincentive Clause form (Form 830241).

Except for tracking Critical Closure Days, the forms look about the same and their

preparation is similar.

If using Appia, the Time Limits Report within the Appia application should be used

instead of the Weekly Report of Working Days (working day report) referenced above.

Form 830241 will still need to be used for critical closure periods within a working day

contract.

Instructions for completing the Appia Time Limits Report can be found in the Appia

“Under Construction Instructions” on the Local Systems website. Use the methodologies

explained below for Form 830238 to determine how and when days should be charged

and the appropriate reporting of multiple site times.

During the contract period, the Project Engineer will prepare and upload into Doc

Express each week a Weekly Report of Working Days form (Form 830238 or Appia

Time Charge) showing working days charged that week.

The Contractor’s objections to days charged must be submitted in writing to the Project

Engineer within 10 calendar days from the date uploaded into Doc Express. Engineer

will upload the objection as a supporting document into Doc Express. Response to the

objection, indicating acceptance of the claim or reasons for rejection, will also be

uploaded into Doc Express. Objection correspondence shall be completed through

email, and the entire email chain showing the resolution shall be uploaded to Doc

Express as a supporting document to the disputed report. If circumstances beyond

control don’t allow for timely resolution of the day charges, objections can be

documented and resolved at a later date.

Preparation of Form 830238

The form is divided into two basic sections, one for reporting working days used and

the other for reporting work progress. Instructions for preparation are as follows:

1. Late/Approx. Starting Date

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If an approximate start date is designated, enter that date. If a specified start or

late start date is designated, that date is entered and the abbreviation "Approx."

is crossed out.

2. Length of Project

Enter the length of the project in miles, if applicable. Note: Bridge, culvert, and

other site specific projects need not be included in this section.

3. Type of Work

Enter the type of work such as PCC paving, HMA resurfacing, shoulder

stabilization, structures, etc. For structures, (bridge or culverts) enter the

individual design number(s).

4. Days of Week

For reporting contract time, a day starts at 12:01 AM and ends at 12:00 midnight.

5. Controlling Operation

During the contract period, list the controlling item (or operation). If work is not

progressing on the controlling item (or operation), note controlling item in

appropriate column and actual work item in the "Remarks" column.

When work is stopped or suspended and working days are not charged, the

reason for not charging time should be noted under "explanation of delays."

When the Contractor is not working and working days are being charged, give

the reason why there is no work in progress, if known. For example, under

"Explanation of Delays" and/or "Remarks" note something like: Waiting for

subcontractor to mobilize.

6. Working Days Charged

If conditions allow work on the controlling item (or operation) of work, tabulate

time charged for that day. (Refer to the Iowa DOT Construction Manual

Appendix 2-27 for charging of contract time.) Listed values will be either 1/2 or 1

for days where conditions allow work on the controlling item and 0 (zero) if days

are not charged.

Refer to Section 2.34 of this Attachment for adjustment of time charged.

7. Work Progress

Three blanks are provided for major items or phases of construction. Items

entered in this section are intended to provide a "quick reference" of progress for

various major items. Since working day reports are continuous, it is easy to look

back in a file to glean relevant data. Thus, it is preferable to allow a project

inspector the flexibility to include various major phases rather than rigidly

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adhering to 3 items for an entire project. In so doing, anyone looking

retrospectively can obtain a quick mental reference as to major work in progress

at any given time. For example:

• On report #6 an inspector included Pier 2, North Abutment, and South

Slope Protection.

• On report #7 the list changed to Piling, Pier 3 Footing, and Reinforcing

Steel.

• On report #8 the list reverted back to report #6's items.

Report Number

Type of Work

% Complete

Pier 2

North Abutment

S. Slope Protection

Piling (Furnish & Drive)

Pier 3 Footing

Reinforcing Steel

Pier 2

North Abutment

S. Slope Protection

100

Such reporting may seem nonsensical; however, individuals using this report

often need "quick" historical data that is unavailable elsewhere.

8. Percent Complete

Blanks are on the form for entering percent of the total contract completed, and

percent of time used. All the percentages need only be approximate

calculations, rounded to the nearest 1%. When the rate of progress on a project

is behind schedule to the extent that there is danger work will not be completed

on time, note such situations on the "Weekly Report of Working Days."

Preparation of Incentive/Disincentive Form

As noted above, the Weekly Report of Working Days for Incentive/Disincentive

Clause form (Form 830241) for projects specifying incentives and/or disincentives

(I/D). This form tracks both working and calendar days on the same form.

Preparation of Form 830241 for incentive/disincentive is generally the same as for

Weekly Report of Working Days form (Form 830238) except:

1. Under "Controlling Operation" there are two columns, one for CPM and the other

for “Actual”. When charging contract time (working or calendar days), complete

the CPM controlling column. An entry in both columns would be appropriate to

document when the Contractor is working, but not working on the CPM

controlling item (or operation) identified by a CPM.

NOTE: CPM schedules show a critical path. Any item (or operation) on this path

is, by definition, a controlling item (or operation).

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2. Columns headed "Working Days Charged" or "Critical Closure Days Charged"

days are self-explanatory. NOTE: Working days are assessed when site

conditions permit work on the controlling item (or operation) during noncritical

closure time(s), and calendar days are charged every day during critical closure

time(s).

Multiple Sites on a Contract

A contract may consist of multiple "sites" in addition to the overall contract, which is

known as Site 00. Multiple sites are used when smaller specific portions of the

contract are required to be completed in a time frame that is different than the overall

contract. The site numbers, site description, start date, and time allowed are

described in the "Proposal Details."

Multiple site contracts include:

• Contracts with intermediate completion periods. Example: a grading contract

with intermediate completion periods for completion of bridge berms.

• Multi-project contracts. Example: a contract consisting of more than one

project.

For multiple site contracts, working days for each site, including the overall contract

(Site 00), will be administered independently based on the controlling operation for

the site. A working day will be charged to a site when work is done on the controlling

item of that site.

An example of a proposal that includes multiple sites:

• The overall grading contract (Site 00 with 120 working days allowed)

• A hot mix asphalt paving project (Site 01 with 90 working days allowed)

• An intermediate completion period for constructing a bridge berm (Site 02

with 50 working days allowed)

• A RCB culvert project (Site 03 with 30 working days allowed)

A typical scenario may be that, due to wet weather, conditions allow work on

controlling operations of Sites 01 and 03, but not on Site 00 or 02. In this example,

time would be charged to sites 01 and 03, but not to the overall contract (Site 00) or

Site 02.

Occasionally a proposal will include an intermediate construction period, have a

liquidated damage clause, and a statement which paraphrasing states: Liquidated

damages will not be charged for work prior to (XXX date) regardless of working days

used. In this case, the "XXX date" will be the date (typically approximate start date)

for a following contract. Use of this clause is intended to allow the Contractor

flexibility and latitude in their schedule, while fixing a point in time that a future

Contractor can reasonably assume a site will be available. If the first Contractor

does not meet that date, liquidated damages will be assessed because a future

Contractor/contract is impacted.

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When intermediate construction period requirements have been met, the "Remarks"

section on the Weekly Report of Working Days form (Form 830238) should be noted

with "final" and:

1. Date intermediate work was complete or when contract requirements were met.

2. Total contract time charged to an intermediate construction phase of the work.

3. Total contract time charged in excess of the number of days specified, if an

intermediate construction date is not completed on time.

2.34 LIQUIDATED DAMAGES AND EXTENSION OF CONTRACT TIME

If the number of allowable working days is exceeded and it is later determined that

previously charged days should not have been charged, the length of the contract period

is to be extended. The number of allowable days is increased by processing a time

extension modification to the contract.

Retained funds held by the Contracting Authority are not intended to offset credit

payments for deficient work and/or liquidated damages.

When liquidated damages, as defined in Weekly Report of Working Days form (Form

830238) or Appia Time Limits Report, are anticipated, item progress of the Contractor’s

items shall be withheld to cover liquidated damages. These items will be increased to

the final quantities after a Change Order for liquidated damages is processed.

Working day disputes should be resolved in a timely manner and not deferred to the end

of a project. If initial negotiations between the Contracting Authority and the Contractor

fail to resolve differences, the Project Engineer shall request negotiation assistance from

the Administering Bureau.

Should combined efforts described above fail to resolve dispute(s), the issue will be

considered to have reached an impasse. At this point, a meeting with all affected parties

shall be scheduled by the Administering Bureau.

If liquidated damages remain after considering possible working day credits or time

extensions, a Change Order is to be written. The amount of liquidated damages shall be

written as a non-substantial credit Change Order using the item number 6200-1108010.

The Administering Bureau will not process a Final Voucher until all liquidated damage

claims are settled.

For projects where construction engineering is Federal-aid funded, the Change Order for

Liquidated Damages should be marked under the “Participating” “Federal-aid” column.

For projects that are State funded, the Change Orders for Liquated Damages should be

marked under the “Participating” “State-aid” column. For all other situations, Liquidated

Damages are non-participating so no marks should be made in either column under

“Participating”. However, it is required to note in the Justification for Costs that “the LDs

on this project do not exceed the construction engineering costs.”

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2.35 EQUIPMENT RENTAL RATES

On construction projects, unanticipated costs for equipment can arise as a result of work

that was unforeseen at the time a contract was awarded. Such unforeseen work is often

necessary in order to complete a project. Data on actual costs for equipment used for

such additional, unanticipated work is usually not available, primarily because it is

difficult to separate equipment costs from items bid in the contract

documents. Preferably the Project Engineer and Contractor successfully negotiate a

price that is agreed to by the Contracting Authority and concurred by the Administering

Bureau for unanticipated work and execute a Change Order to the contract. In

formulating the costs for such Change Orders, Article 1109.03, B, of the Standard

Specifications allows the Contractor to use EquipmentWatch’s Cost Recovery Rates

(formerly Rental Rate Blue Book) rate guides or actual lease invoices to calculate

equipment costs. If using Appia, equipment usage can be tracked and documented in

the Daily Report feature.

EquipmentWatch Cost Recovery

EquipmentWatch Cost Recover is a recognized standard rate guide which can be used

to determine rental, ownership and operating rates to be reimbursed to the contractor in

force account work, and to substantiate equipment costs for agreed price work.

Typically, this method of determining rental costs is used when a contractor owns, or has

a long term lease for any equipment in question, but does not have an established rental

cost per unit of time. EquipmentWatch updates all of these rates annually.

EquipmentWatch Cost Recovery rates are available on the EquipmentWatch website at

https://equipmentwatch.com/.

One of the greatest challenges in determining costs is finding a particular piece of

equipment. It is important that Contractors provide complete, definitive, information

relative to a particular piece of equipment, i.e., manufacturer, model number, type, size,

horsepower, bucket or box capacity, equipment weights, and age. While the

EquipmentWatch Cost Recovery database includes a vast array of heavy equipment

models that are currently in the market, there may be particular models or types of

equipment not included in the guide due to a lack of data. In the event that a piece of

equipment is not found in the Cost Recovery product, contact EquipmentWatch

customer service or your account executive in order to receive custom ownership and

operating rates from the EquipmentWatch analyst team.

In order to determine accurate equipment costs, several adjustment factors must first be

applied. Local Systems provides an annual schedule of basic equipment rates for use by

cities and counties for preparing their budgets, which can be found here:

https://iowadot.gov/local_systems/Equipment-Rates

A. Regional Adjustment Factor

To make a regional adjustment in the Cost Recovery product you can simply choose

‘Iowa’ from the location drop down menu or by selecting ‘Iowa DOT’ from the

organization drop down menu. Selecting either of these options will automatically

apply the correct regional adjustment for the cost recovery rates.

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B. Model Year Adjustment Factor

Equipment rate listings contain allowances for depreciation and replacement costs.

FHWA has ruled that equipment costs are not eligible for reimbursement unless the

rate has been adjusted to eliminate depreciation and replacement costs. Therefore,

Iowa DOT policy will be to apply a model year adjustment to both federal aid and

non-federal aid projects. To apply the model year adjustment simply select the

correct model year from the drop down menu and the equipment costs will

automatically be adjusted.

C. Rate Element Adjustment (Indirect Cost)

Care needs to be exercised when applying equipment rates to avoid cost duplication.

Specification 1109.03B states: “No profit percentage shall be added to the rental

rate”. This is because equipment rates published in the Cost Recovery product

include indirect costs, i.e. some overhead, insurance, taxes, licenses, office support,

etc. Since specifications do not allow adding profit, the potential for duplication is

eliminated and there is no need to use a factor for removing the indirect costs. This

means pay what the previously noted adjustments amount to in equipment costs, but

no more.

When performing a search for a particular piece of equipment in EquipmentWatch, the

above factors will automatically be applied as one walks through the search process

including selection of a manufacturer, model, model year, configuration, etc. However, it

is important to verify that the adjustments have been made before finalizing an

acceptable cost.

Invoiced Rental Costs

There are times where the Contractor will obtain needed special or extra equipment at a

rental facility. The Contracting Authority reimburses rental costs for providing equipment

and highly specialized attachments, equipment operating costs, and costs for an

operator, and if necessary equipment support crew. Care needs to be exercised in

checking how a rental arrangement is written. Sometimes operators are furnished in a

rental agreement. In that case, the operator and/or support crew have to be removed

from equipment rates and included on the force account form as hourly labor.

Equipment Time Charges

Charging equipment project time will be as follows:

A. Equipment on the Project

This can be equipment on the project that is owned, leased, or rented by the

Contractor. Rental time is charged when the equipment is physically working at

the extra work site. Standby time will not be allowed for rental equipment which

was on the project (prior to extra work) for work required by the

contract. Further, rental time will not be charged when equipment is not working,

no longer needed for the extra work, or not on the extra work site.

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B. Equipment not on the Project

This can be equipment that is owned, leased, or rented by the Contractor and is

mobilized to the extra work site specifically for extra work. Rental time is charged

when the equipment is working or is on standby available for work. Rental or

standby time will not be charged when the equipment is no longer needed for

extra work or not on the extra work site.

C. Standby Time

Standby time is that time a piece of equipment is at the extra work site, fully

functional, and available for work. The use of a standby rate is appropriate when

equipment has been ordered to be available for force account work but is idle for

reasons which are not the fault of the Contractor.

Standby time will not be charged for:

• nonworking hours

• nonworking days (calendar or working days)

D. Set-up Time

Often equipment transported to a work site will have to be assembled (set up)

prior to being fully functional and available for work. Set-up time will be charged

(on a working day basis) after off-loading the equipment from a transporting

vehicle and continue until it is assembled and available for work.

Chargeable Project Costs

As previously noted, rental rates apply to equipment rented or leased for specific

extra work items. Equipment often requires highly specialized (not common)

attachments to functionally perform the work needed. Rental rates for these

attachments will be calculated in the same manner as if they were a separate piece

of equipment. Example: A dozer blade would not be considered a specialized

attachment for a dozer. However, a special rock ripper for a dozer or a drill table for

a crane (used to install drilled shafts) would be considered specialized attachments.

A. EquipmentWatch Cost Recovery

The formula to calculate hourly equipment rate is:

EQUATION 1: W = RR x RF x RA + HO

Where:

W = Hourly Equipment Rate (reported as $ per hour)

RR = Equipment Rate (Use listed monthly rates)

RF = Regional Factor (found in the front of each section)

RA = Rate Adjustment Factor (found in the front of each section)

HO = Hourly Operational Cost (as listed for each piece)

HA = Hourly Adjustment (HA = 176, converts monthly to hourly)

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Project cost is the hourly equipment rental rate (W), calculated above, and

multiplied by the number of hours charged for that piece during the project. This

value is combined with any other extra work equipment costs and entered in the

"Equipment" column on a Statement of Force Account. NOTE: Operator wages

will be included with other "labor" costs on the Force Account sheet.

B. Standby Costs

Standby rates are calculated as 50% of rental rates, excluding operating

costs. Using the EquipmentWatch Cost Recovery, standby rates are calculated

as follows:

EQUATION 2

Y = RR x RF x RA x 0.50

Where:

Y = Hourly Equipment Stand-by Rate (reported as $ per hour)

RR = Rental Rate (Use listed monthly rates)

RF = Regional Factor (found in the front of each section)

RA = Rate Adjustment Factor (found in the front of each section)

HA = Hourly Adjustment (HA = 176, converts monthly to hourly)

C. Set-up Costs

Project set-up costs will be calculated and charged as standby time. (Refer to

"B" above, and section "D" of Equipment Time Charges.)

D. Mobilization Costs

1. Mobilization and demobilization charges will not be allowed for equipment

which was at the project for ongoing operations prior to the extra work.

2. Contractor owned (or long term leased) equipment which is brought to the

extra work site from another project, or the Contractor's yard, will have

mobilization costs reimbursed based on hauling time to the project. Rental

rates as calculated in Equation Number 1, times the hauling time will be

applied for mobilization costs.

NOTE: Only equipment needed for the extra work and not already on the

project will be considered for mobilization reimbursement. Demobilization

time (or costs) will not be included for payment.

3. Equipment leased specifically for extra work and transported by the

Contractor will have mobilization time reimbursed as outlined in D. 2.

above. Demobilization time (or costs) will not be included for payment.

4. Equipment leased specifically for extra work which is transported by the

lessor, or a third party, will be reimbursed on an invoiced basis.

Demobilization costs will be reimbursed if the equipment is returned to a

lessor's yard.

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Statement of Force Account Form (Form 181213)

The Statement of Force Account form (Form 181213) completed and signed by the

Contractor and project inspector at the end of each day document hours charged to

equipment for that day. After the ordered extra work has been completed, total

hours charged for equipment can be combined and tabulated on a summary force

account sheet.

2.36 CHANGE ORDERS (FORM 831240 or Appia Change Order)

A Change Order is a written order to the Contractor for:

• Changing the authorized quantity of a contract item. This includes increases or

decreases to contract quantities.

• Adding a new item or material to an existing contract. Often this is a result of

plan revisions or a change in scope from what was originally envisioned at time

of letting.

• A source document for the Finance Bureau to enter changes and additions into

the Contractor Pay System or for the Contracting Authority to authorize extra

work or changes in item quantities. Ultimate results of this endeavor are

changes to items, or additional items, appearing on a Progress Voucher or Pay

Estimate.

• Officially documenting changes to the contract documents. Change Orders are

written orders to the Contractor (or consultant) which are initiated and prepared

by the Project Engineer. Once signed by all parties, these orders become legally

binding contract documents ordering a specific change to the original contract.

Policy for Change Orders

A. Contractor Markup

Subcontracted Items. Items added to a contract, and performed by a

subcontractor, entitle the Contractor an allowance to cover administration

expenses. An exception would be wholly owned subsidiaries when working as a

subcontractor for their parent company. Prime contractor markup would not be

applicable in that case. This markup is not to apply to incentive payments,

specified items covered by specifications, or items for which predetermined unit

prices have been established. The percentage allowed per Article 1109.03, B, of

the Standard Specifications is to be applied to each individual item of extra work

which is performed by a subcontractor. The amount of mark-up shall be included

in the unit price and not as a separate item such as "Contractor's Mark-up”.

Contract Unit Price. Change Orders covering overrun/underrun of items at

contract unit price are NOT eligible for any additive. This includes work which

was done by a subcontractor. The contract unit price should have already

considered any necessary additives for administrative expenses.

A Contractor may request a price adjustment to recover lost administration

expense for underruns amounting to more than 25% of the bid amount for a

major item of work. A Contractor is allowed to recover that portion of lost

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administration expense represented by the difference between the actual

quantity and 75% of the original contract quantity.

Price adjustment may be made to reduce the cost of major items of work which

overrun by more than 25%, since the Contractor should have already included

overhead expenses in their bid. Overrun price adjustments apply to only that

portion/quantity which is more than 125%.

Agreed Unit Price. Change Orders, based on an agreed unit price, or lump

sum, shall have overhead considered as a part of the negotiation. The agreed

unit price may include the cost of overhead for handling subcontracted items. It

may be included in lump sum items if justified. However, if negotiations

specifically excluded markup, the item may be shown as a separate entry on a

cost workup sheet.

Force Account. Specified force account percentages for labor, material and

equipment are intended to cover all costs that the Contractor may incur due to

the work, regardless of who does that work (Contractor or subcontractor). Force

account work to a subcontractor will be authorized for additional administration

percentage to the Contractor.

B. Situations that require processing a Change Order:

• Any change in the original scope or intent of the project, i.e. changing the

project limits which results in overruns, underruns, or new contract items

amounting to $10,000 or more. (Contact the Administering Bureau before

proceeding ANY TIME this situation arises. Before any changes to

project limits can be made new NEPA clearances must be obtained.).

• Any overrun/underrun of items that are defined at to be paid at contract

quantity according to the specifications.

• Overrun/underrun amounting to $50,000 or more on any contract

item.

• All price adjustments.

• Liquidated damages.

• Value engineering proposals.

• Incentive/Disincentive payments (if incentive/disincentive items are not

included in the contract).

• Added items.

• Change in specification.

• Plan revision.

• Extension of contract time.

C. Price adjustments which reduce payment for an item are occasionally charged

because material or quality of work is below minimum specified standard. These

adjustments are applied when the Project Engineer has determined a problem

that lacks a level of severity warranting removal and replacement. However, the

problem does affect life cycle costs or could cause premature maintenance

costs. For example: Rain damage, out of tolerance slump and/or air content,

deficient smoothness, and insufficient pavement thickness.

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On the other hand, price adjustments could provide an "incentive or reward" for

exceptional work. In these cases, a project value is added due to increased

diligence on the Contractor's part. Examples are exceptional smoothness and

extra pavement thickness.

D. Mutual benefit agreements require a Change Order to document changes.

E. Reducing the final quantity of an item to zero requires a Change Order if the

original contract item value is $50,000 or more.

F. Settlement of liquidated damages (See Section 2.34 of this

Attachment). Contract proposals will list a daily rate (dollar value) for liquidated

damages. Change Orders written for liquidated damage assessments are written

as non-substantial. Refer to Incentive/Disincentive provisions below.

G. Incentive/Disincentive (I/D) provisions are included to provide the Contractor with

an "incentive" to complete a project early or a "disincentive" if the project is

completed late. I/D provisions will list daily rates to be applied to "critical closure"

times. Change Orders written for incentive/disincentive payments for early/late

completion are considered non-substantial.

H. Value Engineering proposals are encouraged for all aspects of contract

work. (Refer to Value Engineering later in this section.) Change Orders for

implementing value engineering proposals are Substantial and shall document

the terms and changes being implemented.

I. Intentionally left blank.

J. Items NOT Requiring a Change Order:

1. Deletion of a measured items with original contract amount less than

$50,000.

2. Overruns and underruns of measured items less than $50,000.

K. Often, plan revisions result in Change Orders having to be negotiated due to new

and/or changes to contract items. Processing Change Orders resulting from plan

revisions is sometimes delayed due to disagreement on prices, lack of success in

obtaining qualified subcontractor(s), or various other reasons.

It is imperative that the PIRC, in collaboration with the Project Engineer, actively

pursue Change Order negotiations to an early conclusion, especially if proposed

work involves public safety (guardrail, safety enhancement, etc.) or work related

to a prolonged detour. Obviously, agreement on unit prices is desirable;

however, there are times that work will have to proceed on a Force Account

basis. In all cases, documented agreements on the Method of Measurement and

Basis of Payment for items must be obtained before the Change Order is

written. NOTE: No work can begin until the Contractor has either agreed to a

Change Order or agreed to a basis of computing force account costs.

Attachment D to I.M. 6.000 
   June 12, 2024 
 
Page 70 of 105 
Preparation of Change Order (Form 831240 or Appia Change Order)  
 
Each contract, on single project contracts, or each project on multi-project contracts 
requires preparation of separate Change Orders for changes or additions.   
 
All Change Orders shall be agreed to by the Contractor, and have all necessary 
approvals prior to commencing additional work.  This does not necessarily mean a 
fully executed Change Order document, but rather a written agreement of the work to 
be performed, how it is to be paid, and justification of cost.  The only exception to this 
rule is Force Account Work. If costs for work cannot be agreed upon, the extra work 
must be performed on a force account basis.  In such case, the Statement of Force 
Account (Form 181213) is used.  Article 1109.03, B, of the Standard Specifications 
provides guidance and responsibilities for preparation of Force Account forms. 
  
Currently, there are two systems for processing Change Orders: 
 
•  Change Order form (Form 831240) may be used for projects paid locally by 
the LPA or projects on the Farm-to-Market system utilizing paper Contract 
Construction Progress Voucher (sometimes referred to as 309's) for 
processing progress payments through the Contractor Pay System (CPS). 
 
•  The Appia program initiates Change Orders.  Refer to the Appia User Guide 
“Under Construction” Instructions located in the Post-Letting Resources 
section of the Local Systems website. 
▪  The Accounting I.D. Number must be noted after the project number 
on the top of Page 1 of the change order. (This is populated 
automatically if the project is set up using a Local Systems provided 
.json file.) 
▪  Custom fields should be added to the Change Order section to mimic 
the fields found in Form 831240.  See the Appia “Under 
Construction” Instructions for directions on how to add these custom 
fields.  Refer to the following instructions in Sections A-F for Form 
831240. 
▪  Refer also to the following instructions for determining whether the 
change order is Substantial or Non-Substantial. 
  
The procedure for completing Change Order form (Form 831240) in the Contract 
Construction Progress Voucher system or locally paid projects follows: 
  
•  All information must be furnished (i.e. substantial/non-substantial).  
 
•  It is important that the information is in the standard format because the data 
is manually entered into the Contractor Pay System. 
 
If Appia change orders are used, the local agency must take care to ensure all 
necessary information is included.  Additionally, if the change order is adding new 
items to the contract, the user must ensure the correct “8000” numbers are input for 
the new items. 
 
If a project is required to utilize Doc Express (let at the Iowa DOT after January 19, 
2018 for counties or July 19, 2018 for cities) or utilizes Doc Express, upload the 

Attachment D to I.M. 6.000

June 12, 2024

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completed Change Order form (Doc Express Form 831240) in the Change Order

Drawer, following the naming convention as outlined in I.M. 6.000 Attachment F for

signature.

If a project is not required to utilize Doc Express (let at the Iowa DOT prior to January

19, 2018 for counties or July 19, 2018 for cities), one copy of the final Change Order

form (Form 831240) should be printed and distributed for signatures.

Before uploading the Change Order to Doc Express, a draft of the Change Order

must be submitted by email to the Regional Field Technician for review. The Field

Technician will review and provide editorial comments. When these comments have

been addressed, a second draft shall be submitted to the Regional Field Technician

for approval. When the Change Order is ready to be published, the Regional Field

Technician will notify the agency that the Change Order is ready to print to pdf and

upload into Doc Express.

Top of form

No.: Enter the Change Orders number. This should be a consecutive

numbering system for each contract, but multiple projects on a contract must

have their own Change Order. Example: a two project contract and changes

need to be made to both projects at the same time. There must be two Change

Orders written. Changes to one of the projects will be made in Change Order 01

and the changes to the second project will be made in Change Order 02.

Non-Substantial and Substantial boxes: Check the box that is appropriate for

this Change Order. The Administering Bureau shall be consulted if there are any

questions concerning the determination. The following guidelines shall be used

for determination;

Non-substantial

a. Price adjustments made to the contract in accordance with prescribed

guidelines in the Iowa DOT Construction Manual and/or contract

documents, such as (not all inclusive):

• Changes in piling length

• Jetting pile

• Heating and protection of concrete

• Price adjustments (plus or minus) for smoothness, pavement

thickness, fuel adjustment

• Price adjustments for liquidated damages

• Price adjustments for rain damaged pavement

b. Lump sum agreements, force account, and agreed price settlements

less than $150,000.

c. Change in contract quantity at contract unit price when variations from

the estimated plan quantities are not due to a plan or design change

and do not equal or exceed $150,000.

d. Total deletion of a measured item that has a bid amount greater than

$50,000.

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e. Extension of contract time. Refer to CM 2.34.

f. Other items for which the rate of pay is pre-established in the contract

documents such as water for dust control or removal of anchor lugs

Substantial

NOTE: when a Change Order for a Federal-aid or Federal-aid Swap

project is classified as substantial, the Contracting Authority must obtain

written pre-approval from the Administering Bureau.

a. An extra work effort at contract unit prices, agreed unit prices, or force

account methods that equals or exceeds a total cost of $150,000. An

extra work effort may include a single item or multiple items.

b. Change Orders that include an overrun / underrun of an original

contract item or overrun/underrun of group of items that are part of an

extra work effort amounting to $150,000 or more.

c. Changes to the Method of Measurement or Basis of Payment of a

contract item or changes to price adjustment schedules for deficient

work detailed in the Iowa DOT Construction Manual.

d. Re-negotiation of a contract item's unit price.

e. Value Engineering proposals in accordance with Article 1105.13 of the

Standard Specifications.

f. Modifications to the terms of a contract, such as changes in contract

periods (includes completion date changes).

g. Adjustment in time of critical closure periods.

h. Changes in limits of contract or scope of work.

i. Prior to the work in the extended area, for federal-aid projects, the

following items must be accomplished, regardless of the funding

source for the extra work:

• NEPA – Location and Environment staff have reviewed

environmental documents and documented the extended area is

clear.

• Document the work to be performed is either cost effective or in

response to an emergency.

• FMIS – Request Administering Bureau to request a change in

scope of work and project limits in FMIS (Fiscal Management

Information System). Also, included are the dates for "revised

NEPA clearance" and "cost effectiveness determination".

Administering Bureau Concurrence Date: This is the date that the

Administering Bureau concurs with the Change Order so work may commence.

This concurrence can be through verbal communication or email, and entered by

the Engineer. This allows work to be performed without waiting until the

Administering Bureau receives the form for their official signature at the end of

the form. The Administrating Bureau Concurrence Date must be noted for

substantial change orders.

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Accounting ID No. (5-digit number): This is the 5-digit accounting number for

this project. This number is obtained from the Contract Project(s) section of the

contract, typically found on the second page of the contract.

Kind of Work: This is the Project Work Type that is obtained from the Contract

Project(s) section of the contract, typically found on the second page of the

contract.

Contractor: Name of the Contractor’s company on this contract.

Project Number: The project number in this contract that will be affected by this

Change Order.

Local Public Agency: The Local Public Agency that is the Contracting Authority

for this contract.

Date Prepared: The date this Change Order was prepared.

Section A - Description of modification to be made

Section A is used to provide a description of the work to be completed or the

modifications to be made. All descriptions should be brief and to the point; and

each should be proceeded by the Line Number (xxxx) in Section F and/or the

Change Number (8xxx) in Section G. For example:

xxxx Change Increase item for "Class 10 Excavation, Roadway &

Borrow".

8xxx Change Add an item for "Silt Basins". Work shall be in accordance

with the Pollution Prevention Plan provided for in the

contract documents.

8xxx Change Add an item for "Sealing Wells". Work shall be in

accordance with Section 2538, of the Standard

Specifications.

8xxx Change Add a new item for “Lime Green Boulders”. This is not a

current item; therefore, specifications for this work do not

exist. The 5 parts of the specifications must be entered in

this Section:

1. Description

2. Materials

3. Construction

4. Method of Measurement

5. Basis of Payment

When new items are added to the contract by Change Order, an item code and

item description will be added in Section G of the Change Order form. The item

code and item description are found in the Index to English Bid Items. Existing

Standard Specifications may or may not be able to be used for item codes

starting with, but not limited to, 2590, 2595, 2599, 6100, and 6200. If an existing

Specification can be used, identify the section of the Standard Specifications, or

the number of the Supplemental Specification, Developmental Specification, or

Special Provision, in this Section A (see example above). If there is not an

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existing Standard Specification, the Description, Materials, Construction, Method

of Measurement, and Basis of Payment for that item must be included in this

Section A.

Section B - Reason for modification

Section B provides space for a brief narrative of reasons (or background) for

ordering the modifications outlined in Section A.

The explanation should be in sufficient detail and clarity to provide reasons why

the modification is necessary; and each should be identified by the Line Number

in Section F and/or the Change Number in Section G. A statement such as

"Extra Work ordered by the Engineer" or "As per plan revision" is not a sufficient

explanation.

Section C - Settlement for cost(s) of modification as follows with items

addressed in Sections F and G

Section C provides space for an explanation of the basis for the cost(s) of the

modification; and each should be preceded by the Line Number in Section F

and/or the Change Number in Section G. The basis should be noted as one of

the following: contract unit price, agreed unit price, agreed lump sum, force

account, no-cost change, or mutual benefit.

Section D - Justification for cost(s)

Section D provides space for the justification for the cost(s). The Project

Engineer shall conduct an independent cost analysis for items added or changed

by the change order prior to agreeing to those costs. An extension of contract

unit price(s) and price(s) established in the contract documents do not need

further justification. However, agreed unit price(s), lump sum, and force account

basis do require justification; and each should be preceded by the Line Number

in Section F and/or the Change Number in Section G.

Examples of justification could be:

• Original copies of material quotes.

• Comparable to item xxxx (a similar item) in the contract or a previous

Change Order.

• Independent cost check of area suppliers.

• Rental Rate Blue Book values and attached to the Change Order.

• Invoiced price(s) and estimated labor cost (Davis-Bacon wage

determinations) is comparable to item xxxx (a similar item).

• Certified payroll expenses, invoiced rental rate charges, and actual

material invoiced.

• Davis-Bacon wage determinations.

• Summary of cost(s) and attached to the Change Order.

• Similar contracted items on previous project.

• Comparing the unit price to past bid prices published in the Iowa DOT

Summary of Awarded Contract Unit Prices.

Attachment D to I.M. 6.000

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If all or part of the cost is based on an actual invoice from the contractor, attach a

copy of the invoice to the Change Order.

If the Statement of Force Account (Form 181213) is used, attach copies of each

days form as justification for this Change Order.

Section E - Contract time adjustment

Section E is to address any modifications that may need to be made to the

Contract Period. Every Change Order must address working days whether or

not an adjustment needs to be made to the Contract Period. Make sure to

address working days by checking the appropriate box; “No Working Days

added” if the change will have no impact to the time required to complete the

controlling item of work, “Working Days added” and how many if the change will

require additional days to complete the controlling item of work, or “Unknown at

this time” if the impact to the progress of the controlling item is unknown at the

time the Change Order is written. If the impact is unknown, it must be

addressed in a future Change Order. Add an explanation to justify the Contract

Time Adjustment that was selected.

Impacts on time should be considered when the Change Order for extra work is

written. If the impacts can be quantified, the number of days may be addressed

in the Change Order. But, in many situations, the impact on contract time may

not be known until the work is performed. In those cases, when impact on

contract time has been determined and the Change Order has not been fully

executed, the time may be addressed on the Change Order. If the Change

Order has been fully executed, another Change Order must be written to address

the time.

Make sure to address working days by checking the appropriate box:

1) “No Working Days added” if the change will have no impact to the time

required to complete the controlling item of work,

2) “Working Days added” and how many if the change will require additional

days to complete the controlling item of work, or

3) “Unknown at this time” if the impact to the progress of the controlling item

is unknown at the time the Change Order is written. If the impact is

unknown, it must be addressed in a future Change Order.

Note: This option should only be used in cases where impacts to time are

unknown until after the work is completed.

Section F - Items included in contract

Section F provides lines for entering modifications to existing contract

items. Change Orders written as "Mutual Benefit" or “No-cost Change” do not

have entries in this section.

Section F is completed as follows:

• The first two columns indicate the “Participating” funding sources, if there

is Federal-aid and/or State-aid. Communication with the Administering

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Bureau for their initial approval on Federal-aid and/or State-aid

participation before entering an “x” in the column(s) that will indicate how

the modification could potentially be funded. The Administering Bureau

will review the Federal and State potential participation determination and

make changes if necessary. If an “x” is not entered in either of the first

two columns, the change will be locally or Farm-to-Market funded.

Remember to always ask for and obtain initial approval from the

Administering Bureau before proceeding.

Most changes to items on Federal-aid projects are eligible for Federal-aid

participation. Examples of items which may not be participating are:

1. Costs relating to field mistakes. These could be errors by the

Contractor or inspection forces.

2. Unincorporated material

3. Added work that is considered “maintenance” in nature

4. Hauling of salvaged materials

• The third column, Line Number, lists each modification to a contract

item. The "Line Number" identifies the specific contract item affected by a

particular change. The line number is the four-digit number identifying the

specific contract item and can be found in the contract under “Line No”. If

making a change that has been added by a previous Change Order, use

the 8xxx “Change Number” found on the Change Order in which it was

added.

• In the fourth column, Item Description, enter the name of the item being

modified. This can be found either on the contract under “Item

Description”; or for items that were added by previous Change Orders, it

can be found on that Change Order.

• In the fifth column, Unit Price, enter the contract unit price of the affected

item. Unit Prices are entered to 2 decimals.

NOTE: Lump Sum items can be entered with a unit price of 1.00.

• In the sixth column, Quantity, enter the adjustment's quantity. (How much

quantity is being changed?) All quantities should be entered to 3 decimal

places. For example: Structural Concrete is being increased 53 CY. The

"Quantity" would be entered as 53.000. If the change to the item will

result in a decrease to the quantity, add a negative sign before the

quantity to indicate this decrease (-x.xxx).

NOTE: Lump Sum items have the agreed cost (in dollars) entered in the

quantity column. For example: Assume some item of work will be

deleted. That item was bid as lump sum with a unit price of $500. Then

500.000 would be entered for the "Quantity."

• The seventh column, Amount, is typically a calculated amount (total

dollars) represented by a single entry. The Amount is automatically

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calculated when using the electronic version of the Change Order form.

For example: Structural Concrete is being increased by 53 CY at a unit

price of $250 per CY. The dollar amount of this change would be 53 x

250 = $13,250.00. "Amounts" are entered to 2 decimal places. If the

change to the item is for a negative price adjustment or other decrease in

contract costs, add a negative sign before the number in this column also

to indicate a decrease in cost, unless using the electronic form in which a

negative sign will automatically be entered with the calculated amount.

NOTE: Care must be exercised to identify decreased and deleted

contract items, and disincentives. Obviously, the amount is negative for

these types of adjustments. To indicate "negative" values, a negative

sign (-) must be entered before the numbers in either the “Unit Price” or

"Quantity" column. Failure to correctly enter negative values could result

in increased payments to the Contractor, when in reality reduced

payments were required.

Section G - Items not included in contract

Section G, provides lines for adding new items NOT originally included in the

contract. The Iowa DOT policy requires additional, or new, items to be

sequentially numbered starting with 8001 for each project if the contract includes

multiple projects. Items added by 8xxx will appear on the progress voucher or

can be entered on the pay estimate as an 8xxx item after the Change Order has

been processed. Once an 8xxx item has been added, changes to that item shall

be considered as existing contract items. Future changes to these items shall be

processed as changes to items included in the contract under Section F and will

continue to carry the 8xxx line number.

NOTE: Change Orders written as "Mutual Benefit" or “No-cost Change” do not

have entries in this section.

Section G is completed as follows:

• The first two columns indicate the “Participating” funding sources,

Federal-aid and/or State-aid. Enter an “x” in the column(s) that will

indicate how the modification could potentially be funded. See Section F

above.

• The third column, Change Number, lists each new item being added to

the contract. Change numbers begin with 8001 and continue sequentially

for each project, even on multiple project contracts. Currently there are

two 8xxx items which have special significance. 8998 is used solely for

indicating liquidated damages and 8999 is used for stockpile of materials.

• The fourth column, Item Number, can be obtained from the Index to

English Bid Items. Item numbers reference the appropriate section of the

Specification Book, Supplemental Specifications, Developmental

Specifications, or Special Provisions; and it is mandatory to check to see

if an item number exists in the Index of English Forms for the work being

added. If an item number specific to the work can be identified, use that

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item number. If a specification does not exist for the work being added,

use the generic 2599 items and include the specification requirements in

Section A.

• The fifth column, Item Description, identifies an addition by properly

describing the item according to Index of English Forms. If it cannot be

identified in the Index of English Forms, provide a brief description of the

work being added. The item description should relate to the specification

referenced in Section A.

• The last 3 columns (Unit Price, Quantity, and Amount) are used in the

same manner as explained in Section F above. For price or quantity

deductions enter the number as a negative (-x.xx or -x.xxx). An example

of a deduction would be when reducing payment amount on the contract

include a negative sign before the amount entered in the “Quantity”

• column. For a disincentive item, enter -1.000 in the “Quantity” column.

The form will automatically calculate a negative dollar amount in the

“Amount” column.

NOTE 1: The list in the "Summary of Awarded Contract Prices" book

may also be used to identify item numbers and descriptions. This book is

available at https://www.bidx.com/ia/lettings. On the “Lettings” tab, select

the most recent letting and click on “Awarded Contract Unit Prices -

ENGLISH” under “Downloads” on the right side of the screen. This

shows the award summary for a one year period ending with the letting

selected.

NOTE 2: To indicate "negative" values, (i.e., price adjustments) a

negative sign (-) must be entered before the numbers in either the “Unit

Price” or "Quantity" column. Failure to correctly enter negative values

could result in increased payments to the Contractor, when in reality

reduced payments were required.

Section H - Signatures

Agreed: This is for the Contractor’s signature that they agree with the Change

Orders as written. The Contractor should be the first to sign the Change Order.

Recommended: This is for the Project Engineer’s signature and should be the

second to sign the Change Order. For publicly owned projects, the Engineer is a

Professional Engineer licensed in the State of Iowa and authorized

representative of the Contracting Authority, and may or may not be an employee

of the Contracting Authority. For privately contracted projects, with improvements

that will become publicly owned, the Engineer is the authorized representative of

the public entity ultimately accepting ownership of the improvements. For all

other projects, the Engineer is the owner’s authorized representative.

Approved:

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• Person in Responsible Charge (PIRC): This may or may not be the

same person as the Project Engineer. If it is the same person, they may

sign on the “Project Engineer” signature line and this line, but their

signature on the Project Engineer line is the only one required. If the LPA

uses a consultant to perform construction inspection services, 23 CFR

635.105 requires the LPA to have a full time employee who is in

responsible charge of the project. For counties and larger cities, this

person is typically the county or city engineer; however, they need not be

a licensed engineer or architect to be the Person in Responsible Charge.

For smaller cities that do not have full time employees, the mayor or city

clerk may perform this function, with assistance from the Iowa DOT

Administering Bureau. A consultant may not serve as the Person in

Responsible Charge for a Federal-aid project. For future explanation of

duties and functions of the PIRC, see I.M. 6.000.

• Contracting Authority and Other lines: These lines are all optional. If

the Contracting Authority and the PIRC is the same person, they only

need to sign the PIRC line above. The Contracting Authority is the

governmental body, board, commission, or officer having authority to

award a contract. Some City Boards and County Commissions like to

have their Chairs or Treasurers also sign financial documents. This gives

them a place for other signatures as they desire or require themselves.

• Iowa DOT Administering Bureau: The Iowa DOT’s representative who

is responsible for oversight of the project. The representative may be a

Local Systems Field Engineer, Local Systems Field Technician, or the

Director from the Systems Planning Bureau.

NOTE: Change Orders for Farm-to-Market projects do not need to be

reviewed and signed by the Administering Bureau.

• FHWA Concurrence: This is only required for Substantial Change

Orders which FHWA has oversight and that determination is the

responsibility of the Administering Bureau.

• NOTE: For projects utilizing Doc Express, all signatures are to be

obtained electronically through Doc Express after the document has been

uploaded.

Distribution

When all required signatures are obtained, the Iowa DOT Administering

Bureau will distribute the form as listed in the “DISTRIBUTION” list. If FHWA

concurrence is required, FHWA will return the document to the Iowa DOT

Administering Bureau after it has been signed. The person who distributes

the executed Change Order will date and initial the document that is retained

in their Office.

Multiple Pages of the Form

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The Accounting I.D. No. and Change Order No. must be included in the upper right

hand corner of each subsequent page.

Value Engineering

In accordance with Article 1105.13 of the Standard Specifications the Contractor may

submit a value engineering proposal to the Project Engineer with copies to the

Administering Bureau. The purpose of value engineering is to encourage alternative,

cost effective measures which produce equal or better quality end products.

Value Engineering proposals will not be accepted for:

• Changes in basic design of a bridge or pavement type. For example: Value

engineering a project from PCC to HMA will not be acceptable. Changing a

designed bridge to a box culvert is not acceptable.

• Changes which the Contracting Authority may already be considering.

• Basing a value engineering proposal on, or similar to, existing standard

specifications, special provisions, or design plans and standards adopted by

the Contracting Authority. For example: A plan was let using 15 feet PCC

joint spacing. A value engineering proposal would not be accepted changing

this to 20 feet because "RH" standards have included this spacing as an

acceptable standard.

The written proposal shall have sufficient detail to be evaluated for compliance with

the requirements and limitations of Article 1105.13 of the Standard

Specifications. The detail provided must also allow for reviewing how a proposal

impacts the entire project. It shall include:

• A description of existing requirements and proposed changes.

• All affected contract items, including new Change Order items and supporting

justification for that extra work.

• Unit prices requested for the work.

• Effects on crew, equipment, and production needs for the project.

• Impact on the construction period.

• Schedule for obtaining all required materials.

It is very important to pursue these requests quickly to maximize potential

savings. Once a proposal is received, the Project Engineer should discuss merits of

VE proposal with the Administering Bureau. If appropriate, the Administering Bureau

will coordinate the review with other offices, including selected section leaders

(Design and/or Bridges & Structures) and FHWA if appropriate. Following this

review the Administering Bureau will notify the Project Engineer of approval or

disapproval, and any special considerations or requirements.

The Project Engineer will notify the PIRC to prepare and send a written notification to

the Contractor outlining the review and conclusions of that review.

If a proposal is acceptable, this notification will form the basis for issuing a Change

Order to implement conditions of the value engineering proposal. Therefore, a

notification should include:

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• A restatement of any changes.

• All costs involved, and how costs will be addressed.

• Any specification requirements as a result of changes or modifications to the

existing contract.

• Details pertaining to special requirements for materials inspection and testing,

if applicable.

• Any other special considerations or conditions.

If a proposal is not approved, the notification needs to include reasons for rejection.

The Iowa DOT has established a goal of 10 days to complete the entire review and

notification process.

2.37 PRIME CONTRACTOR’S PERFORMANCE BOND

One condition of awarding a contract to a prime contractor is that they provide a

performance bond that guarantees that the work of the contract will be completed.

Performance bonds are typically issued by sureties to cover 100% of the contract

amount (excluding predetermined incentives and bonuses). The implication of

Paragraph 3 of our standard bond form is that in cases where overruns or extra work will

increase the total contract dollars beyond 120% of the original contract amount, the

prime contractor must contact the surety and request that the surety expressly

acknowledge and agree that its bond applies and extends to the contract as modified or

amended. When this occurs, the surety will issue a Consent of Surety to the prime

contractor. This document should be submitted to the Contract Documents drawer in

Doc Express.

2.38 PROJECT ACCEPTANCE AND AUTHORIZATION FOR FINAL PAYMENT

See I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal-aid, Federal-

aid Swap, and Farm-to-Market Projects.

2.39 CONTRACTOR EVALUATION REPORT

Use the instructions on the Evaluation Report Instructions web page.

The intent of an evaluation is to report strength and/or weakness of the Contractor

Contractor's project related activities including paperwork, material documentation,

attitude, and cooperation. Special attention should be given to the Contractor rating

below 50 points. Remarks are required for any individual item(s) that is rated less than

50%. Remarks are also required when the Contractor is given a 100% rating.

The Contracts and Specifications Bureau maintains a database of Contractor evaluation

ratings, reacts to low evaluations, and seeks to improve Contractor project

administration. Evaluations are also used as a factor to establish bidder

qualifications. Therefore, it is very important that Contractors are evaluated realistically,

factually, and without bias.

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It is anticipated that lower than average ratings would have been discussed at a meeting

between the Project Engineer and Contractor representatives prior to form submittal. A

Contractor should have an opportunity to discuss and understand why a low rating was

given. Further, the Contractor should be given (if requested) a critique of corrective

actions which would prevent reoccurrence of low rating(s).

See I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal-aid, Federal-

aid Swap, and Farm-to-Market Projects for additional instructions.

2.40 PROJECT REVIEW AND AUDITS

2.41 RESERVED FOR FUTURE USE

2.42 PROJECT ENGINEER'S PRE-AUDIT

See I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal-aid, Federal-

aid Swap, and Farm-to-Market Projects.

2.43 ADMINISTERING BUREAU AUDIT

See I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal-aid, Federal-

aid Swap, and Farm-to-Market Projects.

2.44 RESERVED FOR FUTURE USE

2.45 FORMS FOR FINAL PAYMENT PACKET

See I.M. 6.110, Attachment F, Final Form Packet Checklist (Word)

2.50 CONTRACTOR PAYMENTS AND PRICE ADJUSTMENTS

2.51 PAYMENT FOR MATERIAL ALLOWANCE (STOCKPILED MATERIALS)

Article 1109.05 of the Standard Specifications allows for payment of material stored at

the project site or, under certain conditions, at other locations. NOTE: The phrase

"material allowance" is also referred to as "stockpiled material."

Payment for stockpiled material may be allowed for materials that will be incorporated in

the project. Payment will not be considered for contracts with an award amount less

than $10,000. When reimbursement is allowed, payment will be based on:

• 100% of invoice cost for material properly documented and properly stored at the

project; or,

• 90% of invoice cost for material properly documented and stored

elsewhere. Storage locations must facilitate routine inspection by Project Engineer.

Payment of materials allowance will not exceed 80% of the authorized amount of the

associated bid item.

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When material is stockpiled off-site and inspection of the material is not possible by the

Project Engineer or Iowa DOT Materials personnel, if Iowa DOT Materials inspection has

been requested and approved, the material may be paid for at 90% provided the

following information has been submitted by the Contractor:

• Invoice cost of the material,

• Description and quantity of the material,

• Inspection reports, test reports, mill certifications, and approved shop drawings,

• Location of the material, and

• Material clearly marked for the County, Project Number, and Contractor as

reserved for that project, including photo(s) of stockpiled materials and photo(s)

of product identification tags.

Material allowances could be extended to "raw" structural steel provided:

• "Raw" as used in this context means steel products that have been processed by

a steel mill into plates, sheets, or shapes of standard mill dimensions.

"Fabrication" is then taking these mill run products, and fabricating them into

usable structural shapes as specified in the contract documents.

• Mill Certifications and Heat Numbers have been submitted and approved by the

Construction and Materials Bureau.

• All shop drawings have been submitted and approved, including development of

a fabrication shop “cutting diagram”.

• Iowa DOT shop fabrication inspector has verified and inspected all "raw" steel as

being delivered, properly marked for the project, and properly stored at the

fabrication shop.

Pre-conditions for Material Allowances

• Payment for material allowances is based on actual invoiced cost. This means

the Contractor has ownership and/or control of any stockpiled material.

Checking or verification of payment by the Contractor may be required in

instances where a Project Engineer deems it necessary. In lieu of checking,

certification that the Contractor owns or controls the material may suffice.

• Off-site material should be secured and clearly identifiable to the project.

• Material considered for material allowances shall be specifically fabricated or

processed for that project. By definition, fabricated items will require shop

drawings or shall be fabricated from standard Iowa DOT detail sheets.

NOTE: Aggregate is obviously not "fabricated," but is "processed" and can be

considered unique as long as the material meets other applicable requirements

of this pre-condition section and has been certified by the producer.

• The Project Engineer shall confirm the following items before payment is made:

1. Inspection or certification reports, test reports, and invoices are included

in the project file or in the Construction and Materials Bureau.

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2. Processed or fabricated material is satisfactorily stored, correctly

identified, reserved for the project, and available for inspection to verify

existence and quantity.

3. Provisions should be made for inspection to verify that quality has not

deteriorated and that material has not been utilized for other

projects. This inspection can be arranged through the Project Engineer.

The preconstruction meeting is a good place to identify items for, or begin the

discussion of, potential stockpiled material. Potential items can be identified, but no

action needs to be taken until the material is available at the project or at other

agreed locations.

Stockpile Documentation Work Sheet

Payment for material allowances must be documented and monitored. It will be

necessary to maintain a project level work sheet covering:

• value and quantity of material being stockpiled

• location of stockpile (not on the project)

• dates of the Project Engineer’s inspections

• basis for material approval

The work sheet must show a running total for materials delivered and those used in

construction of the project, including the total quantity and value of the remaining

stockpiled materials. As materials are placed into "the stockpile," payment may be

made by properly including the new amount to Item 8999 on the progress voucher or

pay estimate.

If using Appia, use the Stockpiles module to track stockpile advances and

recoveries. See the Appia “Under Construction” Instructions for direction on how to

use the Stockpiles module. Appia will automatically deduct the appropriate quantity

from the stockpile when that item is recorded in an “Item Posting” (when the item is

placed in the field).

Voucher Entries

For Contract Construction Progress Vouchers (“309” Vouchers), an 8999 item

number will be preprinted on the voucher for Stockpiled Material. (If an 8999 item

number is not provided, one can be added by writing a Change Order to the contract

for Stockpiled Material.) For locally paid projects, a Change Order may be

processed for payment of stock pile materials, but it is not required. Appia attributes

stockpiles to the existing bid item rather than to a stockpile-specific line item, so the

8999 number is not used in that system.

Miscellaneous

The term "material allowance" is used to designate material which will later be

incorporated in the project and ultimately paid at contract unit prices. The term

"unincorporated material" is used for material ordered for use on the project, but not

used. Payment for material ordered, but not used and taken over by the Contracting

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Authority must be paid by Change Order. (Refer to Section 2.36 of this Attachment

for procedure used to process a Change Order.)

2.52 PAYMENT FOR UNEXPECTED CLASS 12 ROCK EXCAVATION

When Class 12 excavation is unexpectedly encountered and there is no contract item for

Class 12, the quantity of Class 12 will be paid for as extra work through a Change

Order. (Refer to Section 2.36 of this Attachment for procedure used to process a

Change Order.)

Approval for Work:

CASE I (Contract has an item for Class 10.)

Specification 2102.05, A, 1 establishes a price of ten times the Class 10 contract unit

price for unexpected Class 12 excavation.

CASE II (Contract does not have an item for Class 10.)

In this case a new price will have to be negotiated.

NOTE: When the contract contains items for special categories of Class 12, such as

Class 12 (channel) or Class 12 (boulders), these items are not considered as

representing normal Class 12 roadway and borrow excavation work.

2.53 PRICE ADJUSTMENT GUIDE FOR REASONABLY CLOSE CONFORMING,

REASONABLY ACCEPTABLE, AND DEFICIENT WORK

Every effort should be made to prevent substandard work and/or non-complying material

from being incorporated into the project. However, when work and/or materials are

deemed to be non-complying, Sections 1101 and 1105 of the Standard Specifications

give authority to the Project Engineer for determining if construction work or materials

are acceptable and/or within reasonably close conformity to the plans and

specifications. Therefore, the Project Engineer must decide whether deficient work is to

be removed and replaced or left in place with a price adjustment. Unusual situations or

circumstances may warrant consultation with the Administering Bureau.

NOTE: A price adjustment is no substitute for specification compliance and

"unacceptable work" shall always be removed and replaced with acceptable

work. Further, Contractors need to be given an option of removing deficient work and

replacing with acceptable work in lieu of a price adjustment.

Guide Schedules for Price Adjustments

A. Gradation

Unless otherwise specified, variations in the gradation of aggregates shall be

price adjusted as prescribed by Price Adjustment for Aggregate Gradation Test

Deviation (see Iowa DOT Construction Manual Appendix 2-34(A)). These

adjustments apply to variations in gradations for:

• Portland Cement Concrete

B. PCC Slump, Air Content, Rain Damage, and Edge Damage

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1. Concrete Slump Price Adjustments are prescribed in the Iowa DOT

Construction Manual Appendix 2-34(B). Concrete Air Content, Water

Cement Ratio, Vibrator Frequency, Certified Plant Inspection, and Late

Curing Application Price Adjustments are prescribed in the Iowa DOT

Construction Manual Appendix 2-34(C).

2. Rain Damaged Portland Cement Concrete

When rain damage occurs, removal and replacement may be required by the

Project Engineer in accordance with Article 2301.03, K, 4, of the Standard

Specifications. However, damage must be determined to be severe enough

to warrant such action. Contact the Administering Bureau for assistance, if

needed.

If work is allowed to remain, Article 1109.03, C, of the Standard

Specifications requires the Project Engineer to determine "... a modification of

the contract unit price." The following CASES shall be used for determining

rain damage price adjustments.

NOTE: Price adjustments are applied to an entire area encompassing the

damage. (This means full width placed when damage occurred, beginning at

the first transverse joint before any damage and ending at the first transverse

joint after damage.)

ADJUSTMENT SCHEDULE

CASE I - (Payment is 95% of contract unit price.)

Texture is absent from practically all of surface area. Surface

appearance may have a "sandy" appearance or may be "pock" marked

from the rain droplets. An occasional edge repair may be required due to

excess edge slump or from edge rounding. Small areas along edge may

have coarser particles of fine aggregate exposed. Surfaces finished in

the rain or after a rain are also included in Case I. This includes any

manipulation of the pavement surface including mopping of the surface to

attempt to remove rainwater or retexturing while rainwater is present.

CASE II - (Payment is 90% of contract unit price.)

Texture is totally absent from the surface and cement mortar has been

eroded to an extent that coarser particles of the fine aggregate fraction

are generally exposed. Some slight troughs or depressions are apparent;

exposing coarse aggregate particles, but this damage is confined to a

limited area or randomly spread intermittently throughout damaged

area. Some edge repairs may be required to restore eroded

edges. Surface mortar that was removed by rain water, but later replaced

or supplemented with plastic concrete is included in Case II since a cold

joint or sand lens with minimal Portland cement paste contact may have

been inadvertently incorporated into the slab.

CASE III - (Payment is 85% of contract unit price.)

Surface mortar has been practically all removed to an extent that coarse

particles of the coarse aggregate fraction are visible. Considerable

erosion of edges has occurred, but not to an extent that pavement width

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is affected. Intermittent edge repair may be required as well as some

surface patching of slight troughs or depressions that may have formed in

pavement surface due to flowing water.

Severe rain damage may require "localized area" repair by bridge deck

overlay procedures. Full depth removal and replacement may be

required if edge damage is severe. Severe cases of rain damage should

be referred to the Administering Bureau for review prior to determination

of repair or replacement.

In addition to above described price adjustments and repairs, slab

surfaces with missing, omitted, or damaged texturing shall have

macrotexture re-established by grooving prior to acceptance by Project

Engineer. As an alternative to price adjustment and grooving, for CASE I

and CASE II corrections, the Contractor may elect to diamond grind the

entire affected area to remove questionable surface mortar and re-

establish texture. When this option is chosen, payment for CASE I rain

damage will be 100% of the contract unit price, and the payment for

CASE II rain damage will be 95% of the contract unit price.

3. PCC Pavement Edge Damage

Price adjustments and recommended repairs for PCC pavement edge

damage are included in the Iowa DOT Construction Manual Appendix 2-

34(N). Typically, PCC pavement edge damage does not affect the structure

of the pavement, but it is unsightly and a result of substandard

workmanship. Therefore, in moderate cases, a price adjustment is warranted

over repair. In severe cases, price adjustment and repair may be

appropriate.

C. Steel Products

Certificates for steel products should be reviewed for compliance with the federal

Buy America requirements before it is incorporated in the project or paid as

stockpiled material. The intent of the Federal requirements is not to utilize

foreign steel in a Federal-aid project. If the Contracting Authority permits the

minimum usage as allowed by the Standard Specifications, the Contracting

Authority must track and report the usage of foreign steel to ensure the minimum

usage is not exceeded.

If it is discovered after-the-fact that foreign steel has been incorporated into to the

project exceeded the minimum usage, the Contracting Authority must contact the

Administering Bureau for guidance. All after-the-fact discovers of foreign steel

must be reported to FHWA who will determine the resolution on a case-by-case

basis, and will vary depending on the circumstances. If the Contracting Authority

has chosen to allow the minimum usage, and exceeds the minimum usage, their

risk of losing federal reimbursement is increased.

D. "L" Joint Tie Steel Deficiencies

Tolerance problems with "L" joint tie steel shall be corrected according to

procedures established in the Iowa DOT Construction Manual 9.26. (Note: ""BT"

and "KT" deficiencies usually require field correction.)

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An adjustment in the contract unit price shall be made for out of tolerance "L"

joint tie steel areas. This price adjustment should be a reduction of 5% to the

contract unit price per square yard for affected areas on full depth pavements.

On PCC overlay projects, a 5% price adjustment should be applied to the PCC

furnish item in cubic yards and a 5% price adjustment should also be applied to

the PCC place item in square yards. It should be calculated based upon the

length of the area with deficient tie steel multiplied by the width of the placement.

The price adjustment is not intended to apply to individual out of tolerance tie

steel.

E. Bridge Floor Overlay price adjustments are prescribed in the Iowa DOT

Construction Manual Appendix 2-34(D).

F. Macro texture adjustments will be determined by the Project Engineer on a

case-by-case basis depending on severity and amount of surface area involved.

For texture depth measurement criteria, refer to the Iowa DOT Construction

Manual 9.43. Texture depths less than 1.5 mm 1/16 inch) shall be corrected by

sawing in grooving or diamond grinding. Texture depth exceeding 4.5 mm (3/16

inch) may require price adjustment as directed by the Project Engineer. Price

adjustments for over depth grooving are found in the Iowa DOT Construction

Manual Appendix 2-34(E).

G. Traffic Control

1. Price adjustments may be applied for failure to comply with traffic control

requirements in the contract documents. Contract price adjustments will be

determined by the Project Engineer, based on magnitude and frequency of

violations. A suggested sliding scale is $500 for the first violation, $1,000 for the

second violation, $2000 for the third and subsequent violations. See flowchart in

the Iowa DOT Construction Manual Appendix 2-15 for further guidance. After the

third violation has occurred, work may be suspended. If the traffic control

violation is serious, a higher price adjustment may be used based on the

Contracting Authority’s discretion as recommended by the Project Engineer

and/or Administering Bureau.

If the traffic control noncompliance requires the Local Agency to provide other

resources, the costs for these other resources can be added to the price

adjustment.

Price adjustment violations will be counted from first violation through last

violation for an entire contract. It is the Contractor's responsibility to ensure a

safe work zone for all construction activities regardless of work in progress or

who is doing that work. Therefore, violations will accumulate against the

"contract" and not be separated or individualized by subcontractor.

Examples of situations where a price adjustment would be appropriate include:

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• Failure to maintain traffic control devices (costs incurred by the

Contracting Authority may be recovered against this item).

• Working without proper traffic control setup.

• Unauthorized crossing of multilane divided roadway median.

• Use of unauthorized, substandard, or non-standard traffic control

items such as incorrect sign sheeting or unapproved floodlights.

• Violations of, or failure to comply with, traffic control requirements in

the contract documents.

• Failure to maintain and keep functional any PDMS unit.

It is not intended that minor deficiencies be price adjusted if corrected in a

timely manner.

In addition to price adjustments, Project Engineers may suspend work for

irresponsible and/or repeated failure to conduct construction activities using

proper traffic control procedures.

It is acceptable for Contractors to work beyond the specified work hours when

all of the following conditions are met:

• Contractor is working behind temporary barrier rail.

• Inspection is not required.

• No vehicles are entering the work area.

• Traffic control is in accordance with the Night Work Lighting

requirements (Section 2550 of the Standard Specifications).

• The work continues only for a short time frame to complete a specific

work task.

Copies of traffic control non-compliance notices should be provided to both

the Contractor and Subcontractor if the Subcontractor was issued the non-

compliance notice.

2. Failure to maintain traffic control devices and signs on a daily basis continues

to be a concern of the Project Engineer and/or Contracting Authority. Price

adjustments are appropriate for failure to adequately maintain these devices

and signs. To determine an appropriate daily price adjustment for lack of

maintenance, the total bid price for the traffic control item should be divided

by the number of working days allowed on the contract. This calculated

amount should then be divided in two to determine an appropriate daily

maintenance value. This daily maintenance value would be the appropriate

price adjustment for failure to maintain traffic control devices and signs.

The daily maintenance price adjustment calculated below is in addition to

other traffic control price adjustments.

An example calculation to determine this daily maintenance value follows:

Traffic control bid item amount (TC) = $25,000

Number of contract working days (WD) = 100

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Daily maintenance price adjustment (PA)

PA = (TC/WD)/2

PA = ($25,000/100)/2 = (250)/2 = $125

PA = $125

3. Occasionally Contractors fail to provide the required traffic control technician

or have the daily traffic control diary completed during the construction of the

project.

▪ An appropriate price adjustment for failure to provide a traffic control

technician is 20% of the traffic control bid item price or $500,

whichever is greater.

• An appropriate price adjustment for failure to provide a traffic control

diary that is supervised by a trained Traffic Control Technician for

review during construction activities is an additional 10% of the traffic

control bid item or $500, whichever is greater. This price adjustment

can be issued multiple times throughout the duration of the project

and may even be issued on a daily basis for gross failure to have an

up-to-date completed Traffic Control Diary each day.

• An appropriate price adjustment for failure to submit to the Project

Engineer upon project completion a traffic control diary that is

supervised by a trained Traffic Control Technician is an additional

20% of the traffic control bid item price or $500, whichever is greater.

• These price adjustments are independent of each other and are also

in addition to other traffic control price adjustments.

4. When a flagger is incorrectly flagging according to the Flagger's Handbook,

as referenced in Article 2528.03, K, of the Standard Specifications, the

project should have the Flagger bid item price adjusted. This price

adjustment should be one half of the daily unit bid price for the Flagger item.

Examples of situations where a flagger price adjustment would be

appropriate include:

• Incorrect flagging procedures

• Nighttime flagging without a correctly lighted flagger station or without

appropriate nighttime flagging equipment or apparel

• Incorrect, inappropriate, or incomplete flagger attire

• Use of incorrect STOP/SLOW paddle

• Failure to carry their flagger training card

When an untrained flagger is used in violation of the specifications, the

flagger shall not be measured and paid. The flagger shall continue to flag for

the remainder of the day and a trained flagger shall be substituted the next

day. Unattended flagger stations are not allowed by specifications. Any

unattended flagger station is considered a severe violation of the

specifications and should be price adjusted per Item 1 price adjustments.

When an untrained flagger is used in violation of the specifications, the

flagger shall not be measured and paid. The flagger shall continue to flag for

the remainder of the day and a trained flagger shall be substituted the next

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day. Unattended flagger stations are a severe violation of the specifications

and should be price adjusted per Item 1 price adjustments.

These price adjustments are also in addition to other traffic control price

adjustments.

G. Asphalt

1. Liquid Asphalt

a. Viscosity or Penetration

When non-complying tests occur, determine the quantity

affected. Average all non-complying quality control tests and use that

average in conjunction with the Iowa DOT Construction Manual Appendix

2-34(F) to determine if, or how much, price adjustment is warranted.

b. Residue

The determination of compliance for emulsions used as tack coats shall

be based on residue percentage. Undiluted emulsion contains a

minimum of 57% asphalt residue. Emulsion diluted with one part

emulsion to one part water shall contain a minimum of 28.5% residue.

When non-complying tests occur, determine the quantity

affected. Average all non-complying quality control tests and use that

average in conjunction with the Iowa DOT Construction Manual Appendix

2-34(G) to determine if, or how much, price adjustment is warranted.

2. Asphalt Binder - Viscosity

When a non-complying viscosity test occurs, establish the quantity of material

affected. This quantity may be the total asphalt binder used that day, unless

intermediate quality measurements have been made during the day. The

quantity affected shall be in relation to the proportion of non-complying

samples to the total number of asphalt binder samples obtained that day.

Example:

Total samples taken during the day = 5

Number of failing samples for the day = 2

Total asphalt binder used that day = 200 tons

Quantity affected = (2 ÷ 5) x 200 = 80 tons

Non-complying test results for the day shall be averaged to determine the

amount of deviation from specification requirements. This average will be

used to apply the appropriate percent of payment for the quantity

affected. Use the Price Adjustment schedule in the Iowa DOT Construction

Manual Appendix 2-34(H) and Appendix 2-34(I) to obtain the applicable

payment adjustment.

The materials, both liquid asphalt and asphalt binder, are used on the basis

of certification. The follow-up acceptance testing is performed to verify the

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compliance so work will not be delayed pending the test results. However, if

the material has not been incorporated and acceptance tests indicate non-

compliance, the material will be rejected.

Unless indicated otherwise in the contract documents, the Contractor must

use performance graded (PG) asphalt binders. If a PG asphalt binder is used

but the properties do not comply with specifications, consult with the

Administering Bureau and the District Materials Engineer for appropriate

resolution. A price adjustment may or may not be appropriate depending

upon the circumstances involved in each situation.

3. Asphalt Binder Content

The determination for compliance with the specifications of the asphalt binder

content control shall be made for periods not exceeding one day in

length. Determinations shall be made for shorter time intervals when non-

compliance for the shorter intervals has occurred.

The specifications for asphalt construction require the Contractor to maintain

the asphalt binder content within plus or minus 0.3 percentage points of the

percent intended. The percent intended is given on the job-mix formula

sheet. No payment will be made for asphalt binder used in a mixture in

excess of tolerance specified. Please note that the Price Adjustment for

Deviation in Asphalt Binder Content (see Iowa DOT Construction Manual

Appendix 2-34(J)), is only for use in situations when no hot box samples are

taken for a given day of asphalt paving.

Excessive asphalt binder content can result in low lab voids which can, in

turn, result in a high potential for pavement failure due to flushing and

rutting. When the deviation from intended asphalt binder content is greater

than 0.3% and the lab voids for the lot are extremely low, the District

Materials Engineer should be consulted regarding the rutting potential of the

pavement. In cases where severe rutting or flushing develops or is likely to

develop, removal and replacement of the non-complying asphalt pavement

should be considered. See Materials I.M. 511 Appendix D for troubleshooting

asphalt binder content issues.

When the asphalt mixture quantity involved is 200 tons or less, tank-stick

measurements lack precision and cannot be used as a basis for determining

asphalt binder content. In this case, the average of tank-stick measurement

results from the day before and the day after may be used to provide further

verification.

Measurement of asphalt binder content is made using calibrated in-line flow

meter readings, per Materials I.M. 509. Yield checks are made either by using

a calibrated tank-stick or by comparing the quantity of material delivered with

the quantity used. Perform yield checks a minimum of once per week or as

otherwise required by the Engineer. The procedures listed in the Iowa DOT

Materials I.M. 508 and I.M. 509 and I.M. 509 Appendix A should be followed

closely in making tank-stick measurement calculations.

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The Contractors are cautioned to observe the following procedures in order to

help insure accuracy of the determinations:

a. Keep the storage tank level and in good condition

b. Make sure that the asphalt binder in the surge tank is exactly the

same level each time that measurements are made

c. Try not to drain the asphalt binder level in the tanks into the heater

coil area when measurements are made

d. See that rail cars and transport trucks are completely unloaded or any

unused asphalt binder returned is weighed or measured

To eliminate misunderstandings and uncertainties, it is strongly urged that an

authorized representative of the Contractor observe all asphalt binder

sampling and quantity measurements and check all calculations. A

Contractor's representative should also be requested to initial or sign the field

book or record sheet containing the measurements and results as they are

made.

4. Segregation in Asphalt Pavement

When mixture segregation occurs in the pavement such that the composition

and quality of the mixture required by specification are not uniformly attained,

the sections judged deficient may be required to be removed and replaced as

defective work. An adjustment in contract price may be made for deficient

work for the cases described in the following schedule.

a. Pavement Surface

The adjustments in contract price are to be applied to the entire paver

lane width and lift thickness between extreme areas of

segregation. Price adjustment shall apply only to the payment for the

asphalt mixture. Price adjustments are defined in the Iowa DOT

Construction Manual Appendix 2-34(K).

ADJUSTMENT SCHEDULE

Case I (Payment is 80% of contract unit price.)

When uniform surface texture and mixture composition is evident

(by visual observation) except for occasional and random areas of

segregation, the mix shall be subject to price adjustment if the

area determined segregated equals or exceeds 1 square yard per

station per paver width (length determined by longitudinal distance

both directions from segregated area).

Case II (Payment is 50% of contract unit price.)

When a non-uniform surface texture and mixture composition is

evident (by visual observation) and there is a regular interval of

numerous areas of segregation connected or nearly connected

with longitudinal traces of segregation, the mix shall be subject to

price adjustment if the total area segregated equals or exceeds 3

square yards per station per paver lane width (length determined

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by longitudinal distance both directions from the extreme ends of

areas of segregation).

Case III Longitudinal Streaks (Payment is 80% of contract unit

price.)

When a non-uniform surface texture and mixture composition is

evident (by visual observation) and in the form of longitudinal

streaks of 3 inches or more in width, the mix shall be subject to

price adjustment if the segregation occurs at a rate that exceeds 1

square yard per station. The rate is determined by multiplying

approximate width by length of the streaks to determine area and

dividing by the length of the streaks (in stations). Longitudinal

streaks most commonly occur with the windrow-pickup process,

particularly when resurfacing superelevated curves. Streaks are

typically seen in the wheel path areas and occasionally in the

center of the lane. Streak widths typically vary from 3 to 12 inches

and may be continuous or intermittent. This type of segregation

results in longitudinal cracking.

More severe surface and mixture segregation may require

corrective procedures as:

• full width thin layer 1 inch thick resurfacing or

• removal of asphalt mixture course with no extra payment

and replacement with construction that fully complies

Note: Determination of segregation in asphalt pavement is by

visual examination in accordance with current specifications. The

engineer may consider further verification through coring and

extraction tests. Segregation case examples, with corresponding

price adjustment calculations, are illustrated in the Iowa DOT

Construction Manual Appendix 2-34(K).

b. Fillets & Runouts

This price adjustment procedure does not apply to fillets, bridge

runouts, or other hand-worked areas outside of the normal paver lane

width.

c. Base & Intermediate Courses

The price adjustment percentages shall be reduced as indicated in the

Iowa DOT Construction Manual Appendix 2-34(K) for all base or

intermediate courses, except when such mixture is specified and used

as the surface course.

d. Procedure for Determination of Price Adjusted Quantities

The segregation case examples shown in the Iowa DOT Construction

Manual Appendix 2-34(K) illustrate a concept that may be used to

define the severity of segregation and appropriate price adjustment

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factor. It is not required, however, to physically measure each area of

segregation to determine a quantity of HMA mixture that is subject to

price adjustment. The intent is to define the quantity subject to price

adjustment by identifying the number of truckloads in which

segregated areas are evident. This obviously takes some judgment to

decide how large or severe an area must be before it is price

adjusted. The 1 square yard area shown in examples is a

"rule-of-thumb." Most importantly, segregated areas that exhibit an

obvious concentration of coarse aggregate resulting in a non-uniform

open texture should be price adjusted.

Whenever segregation is observed, the Contractor shall be advised

immediately and the inspector must document the deficiency with a

Non-compliance Notice. The notice should reference the applicable

specification and indicate the Project Engineer will review the work to

determine the acceptability of the work. It is recommended that a

Non-compliance Notice be issued when segregation is initially

observed with final evaluation and price adjustment determined later

but prior to project acceptance.

Timeliness is important for two reasons. First, the Contractor must take

corrective action immediately. Failure to do so should result in suspension of

work. Secondly, early identification of unacceptable work allows for

resolution of any disputes before there is an "implied" acceptance. The Iowa

DOT Construction Manual 1.12 discusses the enhancement of working

relationships by timely notification of unacceptable work.

For streak type segregation, it will be necessary to identify and tabulate the

location and length of the segregated streak areas subject to price

adjustment and base the price adjustment on the mix quantity within the

beginning and ending station limits of the streaks.

Normally this procedure should be repeated for each day from header to

header on the day following placement. Each day's run can be tabulated

showing a summary of affected tons of HMA mixture subject to price

adjustment.

5. Asphalt Binder Film Thickness

Film thickness, as calculated in the Iowa DOT Materials I.M. 501, provides a

general indication of an asphalt pavement’s potential long-term

durability. When asphalt binder content changes are considered to adjust air

voids, caution must be used to assure that adequate film thickness required

in the Iowa DOT Materials I.M. 510 Appendix A, Table 1 is maintained. When

the resulting film thickness is outside the specified range, procedures given in

the Specification 2303.05, A, 3, c. should be used to determine the

appropriate price adjustment or alternate course of action.

6. Laboratory Voids and Field Voids

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Production control and compaction requirements are covered in the current

specifications for Asphalt Mixtures. Price adjustment is made through use of

Pay Factors for laboratory voids and field voids determined for the lot. The

Pay Factors are applied to the unit price for asphalt mixture only.

7. Defective Field Voids in Asphalt Pavement

When Percent-Within-Limits (PWL) falls below 50 for field voids, the lot may

be declared defective. Use the following guidelines to determine if the

material shall remain in place or be removed. These guidelines are to be

used with engineering judgment. The resulting pay factor at the completion of

review should be between 0 and 0.75.

First, determine if there is a testing issue by reviewing Gmm for consistency

and correlation. If it is determined the Gmm is not reliable due to testing

concerns, re-calculate the field voids using the Engineer’s test results and

compare. It may be necessary to proceed through the guidelines below with

both initial results, and re-calculated results. If Gmm is valid, use the following

guidelines:

a. Randomly core the defective area. The cores shall be for information

only and not be included in the acceptance decision.

b. Re-calculate the voids for each core using the nearest Gmm value

instead of the average Gmm value.

c. Evaluate the initial set of cores as well as the additional cores as

follows:

• If Field Voids are High (risk of long-term durability and strength

issues)

If all of the following are true or for a non-surface lift, consider

leaving in place with a price adjustment:

o No core exceeds 10% voids

o Film thickness >= 10

o Average field voids < 9%

If all of the above are not true, consider removal.

• If Field Voids are Low (risk of rutting)

o If low traffic and high speed, then consider leaving in

place.

o If high traffic, consider removal.

• If the average thickness is less than the intended, consider

removal.

H. Adjustments for All Contract Administration Issues

Price adjustments for non-complying work are occasionally appropriate when the

issue relates to other incidental items in the contract documents. Price

adjustments shall not be considered unless there is willful or repeated

reoccurrences indicating lack of due consideration on the Contractor's part. In

such cases, the following will apply:

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• Provide a clear and concise notification to all parties involved with the

incident. (This could be a verbal notification or a written non-compliance

without price adjustment.)

• Subsequent violations would result in additional non-compliances and

could be reason for price adjustments starting at $100, then $250, $500

etc. (progressively doubling the amount of each following violation).

NOTE: It is NOT intended that minor deficiencies be price adjusted if corrected

in a timely manner. Situations and circumstances will dictate how this portion

should be applied.

I. Steel H-Pile Weight Deficiency

The Iowa DOT Materials I.M. 467 specifies a mass tolerance of 2.5% on steel H-

pile weight deficiency. Steel H-piles that are deficient by more than 2.5% of

theoretical weight should not be accepted for incorporation into the work except

when:

• The need for the steel H-pile is immediate and considered critical by the

Project Engineer.

• Replacement of steel H-pile is not reasonably possible due to short

supply and availability.

In the above cases, the Project Engineer may decide to approve the use of

deficient steel H-pile and apply a price adjustment in contract unit price for the

material as prescribed by Steel H-Pile Weight Deficiency Price Adjustment" in the

Iowa DOT Construction Manual Appendix 2-34(L).

J. Erosion Control or Other Environmental Issues

1. Occasionally Contractors fail to provide the required erosion control

technician (ECT) or an Erosion & Sediment Control (ESC) Basics trained

individual during the construction of the project.

An appropriate price adjustment for failure to provide an ECT or ESC

Basics trained individual during construction activities anytime during a

month is $250. This adjustment would be issued on a monthly basis.

Price adjustments will not exceed $1,000 per year.

These price adjustments are in addition to other erosion control price

adjustments.

2. Price adjustments may be applied for failure to comply with erosion and

sediment control requirements in the contract documents. Contract price

adjustments will be determined by the project engineer, based on

magnitude/severity and frequency of violations. A suggested sliding scale

is $500 for the first violation, $1,000 for the second violation, $2000 for

the third and continuing to double for each subsequent violation. See

flowchart in Appendix 2-34(O) for further guidance. If the erosion control

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violation is serious, a higher price adjustment may be used based on the

Engineer’s discretion.

The same sliding scale is suggested for other environmental issues.

It is not intended that minor, non-recurring deficiencies be price adjusted

if corrected in a timely manner.

K. Railroad Safety Violations

Projects that affect railroads will include Contractor safety and flagging

requirements. The provisions may specify amounts for price adjustments for

safety violations. If the provisions do not include amounts for price adjustments,

the Project Engineer and/or Contracting Authority should consult with the Local

Systems Bureau to determine the appropriate amount.

Copies of non-compliance notices for railroad safety violations should be

forwarded to the Administering Bureau.

L. Use of Non-Domestic Steel Products

Certificates for steel products are to be reviewed for compliance with the contract

documents before the material is incorporated in the project or paid as stockpiled

material. The intent of Specification 1107.06, B and I.M. 107 is not to utilize

foreign steel. If the Engineer permits the minimum usage as allowed by the

Standard Specifications, the Engineer must track and report the usage of foreign

steel to ensure the minimum usage is not exceeded.

If it is discovered “after-the-fact” that foreign steel has been incorporated into the

project exceeding the minimum usage, the Engineer must contact the

Administering Bureau. All after-the-fact discoveries of foreign steel incorporated

into a federal-aid contract must be reported to FHWA who will determine the

resolution on a case-by-case basis.

2.54 PRICE ADJUSTMENT CHANGE ORDERS

Price adjustment deductions are processed by Change Orders using an 8xxx Change

Number. (Refer to Section 2.36 of this Attachment for information about processing

Change Orders.)

If using Appia, do not use the “Adjustments” feature to assess payment adjustments.

Instead, use Change Orders as described above.

2.55 FINAL PAYMENT TO CONTRACTOR

Iowa Code allows a maximum of 5% to be retained until a contract is completed. Iowa

DOT specifications require that 3% will be retained on the first $1,000,000 paid on a

contract.

This retainage is specifically withheld to cover:

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• Unpaid creditors who file claims against a contract. The Contracting Authority is

obligated by Iowa Code Section 573, to withhold at least double the amount of

any claims on file from the retained funds. The amount of retained funds is the

maximum amount available for 573 claims.

• Iowa Code also requires payment of interest on retained contract funds.

• Refer to I.M. 6.130, Interest Payment Procedures, for the applicable interest

payment requirements.

• 573 Claim

A "573 Claim" is a term used to signify an Iowa Code Section 573 that

establishes procedures by which unpaid subcontractors, material suppliers, etc.

may file a claim for payment against the contract. These claims are formally filed

with the Finance Bureau for contracts paid through the Contractor Pay System

(located on Farm-to-Market routes), or with the Contracting Authority for

contracts paid using local funds.

If a claim is filed, Iowa Code mandates that the Contracting Authority shall

withhold, from the retained funds, an amount of 2 times any claim. The amount of

retained funds is the maximum amount available for 573 claims. Following

resolution of a "573 claim" or 60 days after the final (if no lawsuit has been filed),

the Contracting Authority issues payments as required.

Recommended Guidelines

At the preconstruction meeting, Contractors should be advised that all required

forms, documents, and certifications must be properly prepared and forwarded to the

Project Engineer before a final progress voucher can be processed. Forms required

for Contractor submittal are explained in Section 2.20 of this Attachment and the

Contractor is expected to read and be knowledgeable of these requirements.

It is important that required forms, documents, and certifications are dated when

received from the Contractor. Every effort should be made to have all

documentation and Change Order issues resolved on, or soon after, accepting the

project.

For more information, see I.M. 6.110, Final Review, Audit, and Close-out Procedures

for Federal-aid, Federal-aid Swap, and Farm-to-Market Projects.

Interest Payment Information for County and City Projects

See I.M. 6.130, Interest Payment Procedures. (Form 830236)

2.56 FUEL ADJUSTMENT

The specification for Fuel Adjustment, Section 2120 of the Standard Specifications,

applies only when the contract quantity of that eligible item is 50,000 cubic yards or more

as noted in the Specifications.

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The Current Price Index (CPI) is available at the Contracts and Specifications Bureau

website: https://www.iowadot.gov/contracts/lettings/FuelAdjustment.pdf. The Base Price

Index (BPI) for fuel adjustment calculations will be the CPI listed for the month prior to

the letting date of the contract.

Fuel Adjustment Calculation

Standardized Fuel Adjustment work sheet (Form 105) is available in electronic format

under the "Inspection Tools" tab on the Construction and Materials Bureau "Contract

Administration" webpage:

https://iowadot.gov/construction_materials/Contract-administration/fuel_adj

Payment for fuel adjustments is to be calculated at the end of each month for all

qualifying work accomplished that month.

The Contractor shall provide to the Project Engineer, on a monthly basis, a spreadsheet

with quantities and the calculated amount of fuel adjustment.

Instructions for Fuel Adjustment Worksheet

Following instructions also available at:

https://iowadot.gov/construction_materials/contract-administration/fuel-adj

1. Download the Fuel Adjustment Worksheet and save file to user's computer.

2. Complete contract information in header of spreadsheet.

3. Obtain Base Price Index (BPI), from the Contracts and Specifications Bureau

by selecting Price Index for month previous to month of the letting. (For

example: Letting Date is October 18, select CPI for September).

4. Enter the BPI in the designated space.

5. Enter the contract quantity of the items in the designated rows in the

"Estimated Project Quantities". Other items included in the contract, but not

listed, shall be added.

6. Obtain the Current Price Index (CPI) for a month from the Contracts and

Specifications Bureau.

7. Enter the CPI in the column "CPI" for the designated month.

8. Enter the quantities that have been hauled in the appropriate item columns

and month row. For example, Selected Backfill and Class 10 Excavation

were hauled in June. In the June row, the Selected Backfill quantity is entered

in Cell E35 and Class 10 Excavation quantity in Cell F35. The total quantity

for the month will be automatically computed and shown in the column

labeled "Total CY".

9. When adding an item not already shown in the spreadsheet, use one of the

columns designated for the applicable Fuel Usage Factor (FUF). The

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spreadsheet uses yellow shading for items which use a FUF of 0.20 and

green shading for Embankment-in-Place items which use a FUF of 0.27.

10. The fuel adjustment amount for the month will be automatically computed and

shown in the column "FA" (Fuel Adjustment).

11. Submit a copy of the completed form to the Project Engineer. Payment or

credit will be made by processing a Change Order. The form shall be

completed and submitted on a monthly basis. The monthly quantities shall be

added to the previous month's spreadsheet.

12. The Contractor and Contracting Authority shall agree upon the frequency of

payment or credit.

Fuel Adjustment Payment

Payment shall be by a Change Order form (Form 831240) using the item number

6200-5000171. With the Contractor's approval, one Change Order may be executed

at the end of the project or at intervals agreeable to both the Project Engineer and

the Contractor. Regardless of payment intervals, calculations on Form 105 shall be

made at the end of each month with a copy forwarded to the Project Engineer for

their files.

2.60 CONSTRUCTION FORMS

Most forms can be found on the Iowa DOT’s Forms webpage, but if difficulty is

encountered in locating forms, contact the Administering Bureau.

FORM

NUMBER

TITLE

MANUAL

LOCATION

General Construction

830301

Audit of Final Pay Estimate

2.43*

640003

Certificate of Completion and Final Acceptance for Agreement

Work

12.04

518002

Certification of Subcontractor Payments

2.25*

830176

Certified Transcript of Labor Payroll/Statement of Compliance

(WH-348)

2.24*

831240

Change Order

2.36*

830230

Contract Quantity Agreement

2.27*

102008

Contractor Concept for Value Engineering Incentive Proposal

2.36*

830215

Co-Permittee Certification Statement

10.33

830436

Final Payment

2.37*

820193

Identification of Sample for Test

3.21

830236

Interest Payment Information for County and City Projects

2.55*

830245

Noncompliance Notice

3.21

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830216

Notice of Discontinuation of a Stormwater Discharge

10.31

810036

Notice of Suspension or Resumption of Work

3.06

830237

Notice to Proceed

2.32*

830435

Statement of Completion and Final Acceptance of Work

2.37*

181213

Statement of Force Account

2.35*

830214

Storm Water Site Inspection

10.33

830231

Subcontract Request

2.25*

830238

Weekly Report of Working Days

2.33*

830241

Weekly Report of Working Days (I/D)

2.33*

EEO and Employee Training

102116

Certification of DBE Accomplishment

2.25*

650170

Project Engineer’s EEO Project Site Inspection / Wage Rate

Report

2.22*

102115

Statement of DBE Commitments

2.25*

Grading

650014

Preliminary Estimate for Clearing Right-of-Way

6.11

830214

Storm Water Site Inspection

10.33

830215

Co-Permittee Certification Statement

10.33

830216

Notice of Discontinuation of a Storm Water Discharge

10.31

Structures

830209

Log of Piling Driven with Wave Equation

11.25

830210

Log of Piling Driven by Formula

Appendix

11.22

800240E

PCC Plant Page (English)

11.51

Hot Mix Asphalt and Flexible Bases and Subbases

800241

Daily HMA Plant Report (English/Metric)

8.02

Portland Cement Concrete Paving

830212

Ready Mix Concrete Ticket

9.03

830213

Project Information/Paver Inspection

9.69

800240E

PCC Plant Page (English)

9.02

* Indicates Section in the Attachment

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2.71 BRIDGE INVENTORY REPORT

See I.M. 7.020, Bridge Inspections.

Attachment D to I.M. 6.000

June 12, 2024

Page 103 of 105

2.72 PREPARATION OF AS-BUILT PLANS

It is recommended practice to generate as-built plans on all projects for historical records

but it is not required; however, for projects that go over, under, or intersect with an

Interstate or Primary highway, as-built plans must be submitted to the Administering

Bureau.

When revising information on the plan with As-built information, the voided information

should be lined out.

The As-built plan shall include the actual quantities included in the project, as well as

items added to the project by Change Order that change physical features of the project.

It is not necessary to change wording in the As-built plan from future tense to past tense.

The title page of all as-built plans should include the certification block (Form 520003)

with the name of the Contractor, year of project completion, Project Engineer's signature

and certification.

Samples are included in the Iowa DOT Construction Manual Appendix 2-37.

Types of Work

The following work types will not require preparation of as-built plans unless safety items

such as guardrail or barrier rail are included in the project:

◼ Landscaping/Wildflower planting

◼ Erosion Control/Seeding/Slide Repair

◼ Signing/Statewide Signing/Delineator & Milepost Projects

◼ Spot Overlays

◼ Patching

◼ Joint and Crack Sealing

◼ Slurry Seal

◼ Bridge Painting

◼ Bridge Deck Repairs/Bridge Deck Overlays

◼ Bridge Beam Repairs

◼ Paved Shoulders

◼ HMA Resurfacing

◼ Bridge Washing

Changes in the following types of work may include the listed items in the As-built

plan:

A. Grading, Paving, Subdrains, Fencing, and Erosion Control

The As-built plan may include the following:

1. Control points - marked and referenced.

2. Land section corners - marked and referenced.

3. Vertical and horizontal alignment.

Attachment D to I.M. 6.000

June 12, 2024

Page 104 of 105

4. Corrections and adjustments in stationing.

5. Elevation of final bench marks and deletion of abandoned bench

marks.

6. Planned drainage including pipe location, sizes, and flowlines;

subdrains; backslope and letdown drains; etc.

7. Field Tile Crossings including size and location.

8. Subgrade treatment areas.

9. Locations, type, and width of accesses, driveways, and street

connections.

10. Include location of overhead and underground utilities, if known.

11. Utility permit number and filing location.

12. Planned location, sizes, and flow lines of storm and sanitary sewers

and intakes.

13. Location and type of fence.

14. Erosion control ditch treatment and let-down treatment.

15. Guardrail and other safety appurtenances.

B. HMA Resurfacing

Wedge and strengthening courses and other items such as guardrail, culvert

extensions, etc.

C. Structures

Items to include for structures and bridges converted to culverts:

1. Flow line and footing elevation

2. Elevation of bench mark

3. Log of piling

4. Excavation limits (Class 21, 22,23, and 24)

5. Weep hole locations

D. Lighting, Signing, and Traffic Signals

Lighting, Signing, and Traffic Signal projects may include:

1. Location of underground conduit

2. Location of pole and handhole

3. Mounting heights and lengths of mast arms

4. Log of piling for tower lighting projects

5. Location of sign footing, post size and length

6. Vertical clearance of sign truss

7. Detector Loop type, size, and location

E. Bridge Deck Repairs and Pavement Patching

As-built plans are not required for bridge deck repair and pavement patching

projects, unless safety items such as; guardrail or barrier rail have been

changed. The repair projects for replacing bridge beams do not require an

As-built plan.

Attachment D to I.M. 6.000

June 12, 2024

Page 105 of 105

Wetlands

Corps of Engineers' Section 404 Permits require that "Wetland Mitigation As-

Constructed Drawings" be submitted to the Corps within 30 days of the completion of

the mitigation sites. These drawings are separate from the usual Contracting

Authority As-built plans. "Wetland Mitigation As-Constructed Drawings" are more

detailed site maps that are used to confirm compliance with mitigation agreements

and to monitor future performance of the wetland. The information varies with the

permit, but typically includes before/after cross-sections, location and elevation of

water control structures, monitoring sites, final boundary of constructed wetlands, list

of plant species, photos, depth of transplanted topsoil, geometry and treatment of

buffer areas, ditch plugs, drain tiles, and boundary markers.

Right of Way

All right-of-way lines may be darkened and the station and offset included for all

right-of-way breakpoints. Location of right-of-way corners may be identified. If the

plan and profile sheets become too crowded when the right-of-way information is

included, this information may be included on a separate plan sheet.

Information regarding access may be included on the As-built plan, including the

limits of access rights purchased and location of constructed and deleted entrances.

The parcel information may include the owner's name and parcel

number. Temporary easements do not need to be shown on the As-built plan.

Land Section Corner Ties

During As-built plan preparation, the final land section corner ties information shall be

reviewed with the District Land Surveyor. A plan sheet of the corrected land section

corner ties shall be included in the As-built plan.

Tied Projects

Tied projects may include references on the As-built plan title sheet that list other

projects included in the contract. Project quantity item numbers should correspond

to the item numbers shown in the contract, by plan. As-built plans for each project

should be completed separately.

As-Built Plans Checklists

See the Iowa DOT Construction Manual Appendix 2-37.5 for checklists to use in

developing As-built plans.

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