 Define a Quality Assurance Program (QAP)  Review common terminology  Discuss the fundamentals of an acceptance program  Discuss the fundamentals of an independent assurance program  Develop a QAP for your local agency needs  Discuss lessons learned

Caltrans Division of Local Assistance Publications Local Assistance Procedures Manual (LAPM) ( February 10, 2009) Section 16.14: Quality Assurance Program Section 19: Oversight and Process Review

Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011)

The Code of Federal Regulations (Title 23, Section ) states a state transportation department shall: “…develop a quality assurance program which will assure that the materials and workmanship incorporated into each Federal-aid highway construction project…are in conformity with the requirements of the approved plans and specifications…”

Local Assistance Procedures Manual Chapter 16.14, “Quality Assurance Program” “A sampling and testing program that will provide assurance that the materials and workmanship incorporated in each highway construction project are in conformance with the contract specifications.”

Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011)  Caltrans requires that local agencies receiving funds for a Federal-aid transportation project must have a QAP  Updated as needed, at least every 5 years  QAP shall be approved by the Public Works Director (Section 3.2)

Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011) A QAP consists of: Acceptance Program Independent Assurance (IA) Program

 The Caltrans Department of Transportation (Caltrans) Construction Manual  The Caltrans Independent Assurance Manual  Caltrans approved plans and specifications  Caltrans Test Methods (  Caltrans Local Assistance IA staff provides IA services

 CT Construction Manual, Chapter 6: “Sampling and Testing” manual2001/chapter6/

 Tester Qualification  Laboratory Accreditation ◦ District IA Staff ◦ Local Assistance IA Staff under METS  Reference Sample Program reports/2005_IA_Maunal.pdf

 Need a QAP ◦ Acceptance Program/ IA program  Plans and Specifications based on a nationally recognized standard ◦ Caltrans ◦ Greenbook  Test Methods based on a national standard ◦ Caltrans ◦ American Society of Testing and Materials (ASTM) ◦ American Association of State Highway and Transportation Officials (AASHTO)  Independent Assurance Program ◦ Caltrans if CT test methods are used!

 There is flexibility, BUT ◦ Still need a QAP!  Acceptance Program  Independent Assurance Program  And what if your agency has projects that are on the SHS, NHS and off the NHS?

 Preliminary Sampling and Testing ◦ Materials used on the job prior to award ◦ Test for suitability for a project  Acceptance Testing ◦ Testing of material entering the work ◦ Ensure materials meet specification requirements  Source Inspection ◦ Acceptance Testing of manufactured or prefabricated materials at locations other than the job site  Independent Assurance and Sampling and Testing ◦ Dependent upon the Independent Assurance (IA) program used by the agency

Lot size: 4500 tons Sublot: 750 tons

Material Typical Sample Size Standard Sampling Method Fresh Concrete Take approx. 150 lb. (or 1 cu. ft.) after the concrete has been placed. Avoid taking samples directly from the end of the concrete discharge shoot. ASTM D75, C494 CT 125 AASHTO T127, M85, M295 Material Type of Tests Standard Test Method Fresh Concrete Slump or Penetration * ASTM C109 CT 515 AASHTO T106 Fresh Concrete Air Content * ASTM C109 CT 515 AASHTO T106 Fresh Concrete Unit Weight * ASTM C109 CT 515 AASHTO T106 Fresh Concrete Compressive Strength ASTM C39 CT 521 AASHTO T22 Fresh Concrete Flexural Strength ASTM C78 CT 324 AASHTO T97 & T23 *Test every 500 cubic yards of concrete. For paving, test for flexural strength once every 500 cubic yards of concrete. For structural concrete, test two cylinders for compressive strength for every 500 cubic yards of concrete. Sampling: Testing:

Websites for Additional Testing Standards  American Society for Testing and Materials (ASTM)  American Association of State Highway and Transportation Officials (AASHTO)  National Institute of Standards and Technology (NIST)  California Test (CT) Methods

 Timely reporting of results to the Resident Engineer  Typical tests and times: ◦ Sieve analysis – 24 hours ◦ Sand Equivalent – 24 hours ◦ Cleanness value – 24 hours ◦ R-value – 3 days  Some tests take time!  Testing frequencies and lot sizes can require a great deal of testing

 Alternative method of acceptance testing  Method to accept prefabricated or manufactured items brought to job site  Certificate by the manufacturer ◦ Specific to project ◦ Includes lot number ◦ Statement of specification compliance (applicable section) ◦ Signed by manufacturer

This is to certify that the Portland Cement Supplied by ABC Cement Company complies with all requirements for Type II Portland Cement when tested in accordance with ASTM C Local Agency Project No. Albert Howakowa HP21L – 5055 – 111 Quality Assurance Engineer ABC Cement Company Date:08/20/14 Example of a Vendor’s Certificate of Compliance

Construction Materials Accepted by a Certificate of Compliance

An Independent Assurance Program ensures the sampling and testing is performed correctly and the testing equipment used in the program is operating correctly and remains calibrated. It involves a separate and distinct schedule of sampling, testing and observation. pavement/materials/hif pdf

 Qualification of Personnel  Laboratory Accreditation  Equipment Calibration  Proficiency Testing  Corroboration Testing  Dispute Resolution

 Project Based ◦ 10% of acceptance frequency ◦ Independent Assurance Sampler and Tester performs IAST test independent of acceptance tester on a project by project basis  System Based ◦ 90% of testers once or twice a year ◦ Personnel qualifications are evaluated through written examinations, witness tests and corroboration testing ◦ Annual report requirements

Project Based

CALIFORNIA TEST DESCRIPTION OF TEST PROCEDUREFREQUENCY OF WITNESS TESTING 205PERCENT CRUSHED PARTICLESONCE EVERY TWELVE MONTHS 206*, 207*, 208*SPECIFIC GRAVITY AND ABSORPTION ONCE EVERY TWELVE MONTHS 211*LA RATTLERONCE EVERY TWELVE MONTHS 213ORGANIC IMPURITIESONCE EVERY TWELVE MONTHS 223, 226MOISTUREONCE EVERY TWELVE MONTHS 229*DURABILITY INDEXONCE EVERY TWELVE MONTHS 301*R-VALUEONCE EVERY TWELVE MONTHS 302FILM STRIPPINGONCE EVERY TWELVE MONTHS 303*CENTRIFUGE KEROSENE EQUIVALENT ONCE EVERY TWELVE MONTHS 205SWELL AND PERMEABILITYONCE EVERY TWELVE MONTHS 307VAPOR SUSCEPTIBILITYONCE EVERY TWELVE MONTHS 338TITRATION (CEMENT/LIME)ONCE EVERY TWELVE MONTHS 366*STABILOMETER VALUEONCE EVERY TWELVE MONTHS 529PROPORTIONING OF ROCKONCE EVERY TWELVE MONTHS

 Require independent lab accreditation  Hire an outside qualified consultant to perform IA services ◦ Cannot perform acceptance testing  Use a qualified employee from within the local agency to perform IA services  If using CT test methods, Local Assistance IA personnel is available

AASHTO Certificate of Accreditation

AASHTO Accreditation Details Look for: 1.Location 2.Test Methods 3.Expiration date 2 years after accredited.

Army Corps of Engineers Look for: 1.Location 2.Test Methods 3.Expiration date

If the local agency has an in-house IA Program  IA person should have familiarity with materials testing  IA staff must remain INDEPENDENT from acceptance testing ◦ Main function is to “test the acceptance tester”  Certify personnel within organization  Not valid for project outside IA’s agency jurisdiction  IA person should be first certified in the test method used in certification; e.g. if ASTMs are used, IA person must be certified in ASTMs by recognized entity.  Participate in a proficiency testing program

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Sample of QAP that has been used by most if not all. First lesson learned: One size does NOT fit all!

 Define a Quality Assurance Program (QAP)  Review common terminology  Discuss the fundamentals of an acceptance program  Discuss the fundamentals of an independent assurance program  Develop a QAP for your local agency needs  Discuss lessons learned

Bomasur Banzon, Lead IA Eng (HQ) (916) Ignocencio Herrera, Dist. 1, 2, &3 (916) David Small, Dist. 4, 5, & 6 (northern) (916) Seree Yenjai, Dist. 6 (southern), 7, 8, &9 (916) Afsaneh Ostovar, Dist. 11 & 12 (916)