1. Materials Acceptance at VTrans 2016 Contractors Workshop Presented by: Mladen Gagulic, Materials & Certifications Manager Brigitte Codling, Materials Acceptance Program Manager

2. QUALITY ASSURANCE PROGRAM (23 CFR 637.207) 1.The State's acceptance program should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the quality of the finished product. Acceptance inspection should include inspection of the component materials at the time of placement or installation, as well as the workmanship and quality of the finished product. 2.Samples used in the acceptance decision should be taken as close as possible to where the material is incorporated into the project. 3.The State should retain control of the verification sampling locations and timing until immediately prior to sampling. 4.Sampling and testing frequencies may vary from State to State as the quality and uniformity of the material varies. The State may reduce its testing frequency for materials with a history of accurate, uniform test results that consistently meet specification requirements. The rate of testing should be higher on newly developed material sources, sources with questionable quality, sources with a wide range of test results, and sources with failing test results. 5.When contractor's tests are used in the acceptance decision and the State and contractor test results do not compare, the frequency of verification testing should be increased. 6.The State should obtain the contractor's test data as soon as it is available, no later than 24 hours after sampling is completed. The State's test results should not be given to the contractor until after the contractor results are received. 7.The State should review the contractor's source documentation as part of the State's quality assurance program. 8.Test results should not be discarded unless it is known that the sampling or testing was flawed. It may be appropriate to perform additional testing when the quality of the material is in question. However, in cases where additional tests are performed, the acceptance and pay criteria need to be adjusted to account for the additional test results. 9.If project materials are used in the Independent Assurance (IA) program, the IA samples should be split samples when possible, or in close proximity to the same location as the samples used in the acceptance decision. 10.Observation of sampling and testing procedures should be included as part of an IA system to evaluate sampling and testing personnel and ensure that test procedures are performed correctly. 11.When using the project approach for IA, the frequency should be approximately 10 percent of the frequency of the tests used in the acceptance decision. 12.When using the system approach for IA, each inspector should be covered once or twice a year. 13.The State is encouraged to develop a Qualified Products List for manufactured materials. 14.The State is encouraged to perform a risk analysis when developing an acceptance program for manufactured items. When performing a risk analysis, the State should consider the use of the product, safety, cost, and historical quality of the product. 15.The State should consider the data from the National Transportation Product Evaluation Program (NTPEP) when developing qualified product lists. See http://www.ntpep.org/.http://www.ntpep.org/ 16.The State is encouraged to report the evaluation of new products to the American Association of State Highway and Transportation Officials Product Evaluation List (APEL). See http://apel.transportation.org/.http://apel.transportation.org/ 17.The State should consider visual inspection and/or the manufacturer's certification as a basis for accepting small quantities of non-critical material. Why must the Vermont Agency of Transportation have a FHWA approved Quality Assurance Program (QAP)? Follow the Money ……… $$$$$$$$$ The Construction and Materials Bureau annually oversees close to $200 million in construction contracts. Approximately $50 million is for the materials incorporated in the work; the quality of these materials directly impact the safety and longevity of the capital investment. Approximately 80% of funding for these projects come from FHWA…and …what was the question? “Why must the Vermont Agency of Transportation have a FHWA approved Quality Assurance Program (QAP)?”

3. It is the law! QUALITY ASSURANCE PROGRAM (23 CFR 637.207) 1.The State's acceptance program should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the quality of the finished product. Acceptance inspection should include inspection of the component materials at the time of placement or installation, as well as the workmanship and quality of the finished product. 2.Samples used in the acceptance decision should be taken as close as possible to where the material is incorporated into the project. 3.The State should retain control of the verification sampling locations and timing until immediately prior to sampling. 4.Sampling and testing frequencies may vary from State to State as the quality and uniformity of the material varies. The State may reduce its testing frequency for materials with a history of accurate, uniform test results that consistently meet specification requirements. The rate of testing should be higher on newly developed material sources, sources with questionable quality, sources with a wide range of test results, and sources with failing test results. 5.When contractor's tests are used in the acceptance decision and the State and contractor test results do not compare, the frequency of verification testing should be increased. 6.The State should obtain the contractor's test data as soon as it is available, no later than 24 hours after sampling is completed. The State's test results should not be given to the contractor until after the contractor results are received. 7.The State should review the contractor's source documentation as part of the State's quality assurance program. 8.Test results should not be discarded unless it is known that the sampling or testing was flawed. It may be appropriate to perform additional testing when the quality of the material is in question. However, in cases where additional tests are performed, the acceptance and pay criteria need to be adjusted to account for the additional test results. 9.If project materials are used in the Independent Assurance (IA) program, the IA samples should be split samples when possible, or in close proximity to the same location as the samples used in the acceptance decision. 10.Observation of sampling and testing procedures should be included as part of an IA system to evaluate sampling and testing personnel and ensure that test procedures are performed correctly. 11.When using the project approach for IA, the frequency should be approximately 10 percent of the frequency of the tests used in the acceptance decision. 12.When using the system approach for IA, each inspector should be covered once or twice a year. 13.The State is encouraged to develop a Qualified Products List for manufactured materials. 14.The State is encouraged to perform a risk analysis when developing an acceptance program for manufactured items. When performing a risk analysis, the State should consider the use of the product, safety, cost, and historical quality of the product. 15.The State should consider the data from the National Transportation Product Evaluation Program (NTPEP) when developing qualified product lists. See http://www.ntpep.org/.http://www.ntpep.org/ 16.The State is encouraged to report the evaluation of new products to the American Association of State Highway and Transportation Officials Product Evaluation List (APEL). See http://apel.transportation.org/.http://apel.transportation.org/ 17.The State should consider visual inspection and/or the manufacturer's certification as a basis for accepting small quantities of non-critical material. 23 CFR § 637.205 Policy. (a) Quality assurance program. Each STD shall develop a quality assurance program which will assure that the materials and workmanship incorporated into each Federal-aid highway construction project on the NHS are in conformity with the requirements of the approved plans and specifications, including approved changes. The program must meet the criteria in § 637.207 and be approved by the FHWA (b) STD capabilities. The STD shall maintain an adequate, qualified staff to administer its quality assurance program. The State shall also maintain a central laboratory. The State’s central laboratory shall meet the requirements in § 637.209(a)(2). (c) Independent assurance program. Independent assurance samples and tests or other procedures shall be performed by qualified sampling and testing personnel employed by the STD or its designated agent. (d) Verification sampling and testing. The verification sampling and testing are to be performed by qualified testing personnel employed by the STD or its designated agent, excluding the contractor and vendor. e) Random samples. All samples used for quality control and verification sampling and testing shall be random samples. …and if you break the law you lose FHWA funds!

4. QUALITY ASSURANCE PROGRAM (23 CFR 637.207) 1.The State's acceptance program should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the quality of the finished product. Acceptance inspection should include inspection of the component materials at the time of placement or installation, as well as the workmanship and quality of the finished product. 2.Samples used in the acceptance decision should be taken as close as possible to where the material is incorporated into the project. 3.The State should retain control of the verification sampling locations and timing until immediately prior to sampling. 4.Sampling and testing frequencies may vary from State to State as the quality and uniformity of the material varies. The State may reduce its testing frequency for materials with a history of accurate, uniform test results that consistently meet specification requirements. The rate of testing should be higher on newly developed material sources, sources with questionable quality, sources with a wide range of test results, and sources with failing test results. 5.When contractor's tests are used in the acceptance decision and the State and contractor test results do not compare, the frequency of verification testing should be increased. 6.The State should obtain the contractor's test data as soon as it is available, no later than 24 hours after sampling is completed. The State's test results should not be given to the contractor until after the contractor results are received. 7.The State should review the contractor's source documentation as part of the State's quality assurance program. 8.Test results should not be discarded unless it is known that the sampling or testing was flawed. It may be appropriate to perform additional testing when the quality of the material is in question. However, in cases where additional tests are performed, the acceptance and pay criteria need to be adjusted to account for the additional test results. 9.If project materials are used in the Independent Assurance (IA) program, the IA samples should be split samples when possible, or in close proximity to the same location as the samples used in the acceptance decision. 10.Observation of sampling and testing procedures should be included as part of an IA system to evaluate sampling and testing personnel and ensure that test procedures are performed correctly. 11.When using the project approach for IA, the frequency should be approximately 10 percent of the frequency of the tests used in the acceptance decision. 12.When using the system approach for IA, each inspector should be covered once or twice a year. 13.The State is encouraged to develop a Qualified Products List for manufactured materials. 14.The State is encouraged to perform a risk analysis when developing an acceptance program for manufactured items. When performing a risk analysis, the State should consider the use of the product, safety, cost, and historical quality of the product. 15.The State should consider the data from the National Transportation Product Evaluation Program (NTPEP) when developing qualified product lists. See http://www.ntpep.org/.http://www.ntpep.org/ 16.The State is encouraged to report the evaluation of new products to the American Association of State Highway and Transportation Officials Product Evaluation List (APEL). See http://apel.transportation.org/.http://apel.transportation.org/ 17.The State should consider visual inspection and/or the manufacturer's certification as a basis for accepting small quantities of non-critical material. The specific elements of this program include: Contractor Quality Control, Acceptance, Independent Assurance, Certification and Qualification of Personnel and Laboratories, and clarification and resolution of material test results. The Vermont Agency of Transportation, through the Materials and Certification Section, maintains and monitors a sampling and testing program that consists of two parts: a. An Acceptance program which conforms to Article 637.207(a)(1) and, b. An Independent Assurance program which conforms to Article 637.207(a)(2) in which samples are systems based.

5. QUALITY ASSURANCE PROGRAM (23 CFR 637.207) 1.The State's acceptance program should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the quality of the finished product. Acceptance inspection should include inspection of the component materials at the time of placement or installation, as well as the workmanship and quality of the finished product. 2.Samples used in the acceptance decision should be taken as close as possible to where the material is incorporated into the project. 3.The State should retain control of the verification sampling locations and timing until immediately prior to sampling. 4.Sampling and testing frequencies may vary from State to State as the quality and uniformity of the material varies. The State may reduce its testing frequency for materials with a history of accurate, uniform test results that consistently meet specification requirements. The rate of testing should be higher on newly developed material sources, sources with questionable quality, sources with a wide range of test results, and sources with failing test results. 5.When contractor's tests are used in the acceptance decision and the State and contractor test results do not compare, the frequency of verification testing should be increased. 6.The State should obtain the contractor's test data as soon as it is available, no later than 24 hours after sampling is completed. The State's test results should not be given to the contractor until after the contractor results are received. 7.The State should review the contractor's source documentation as part of the State's quality assurance program. 8.Test results should not be discarded unless it is known that the sampling or testing was flawed. It may be appropriate to perform additional testing when the quality of the material is in question. However, in cases where additional tests are performed, the acceptance and pay criteria need to be adjusted to account for the additional test results. 9.If project materials are used in the Independent Assurance (IA) program, the IA samples should be split samples when possible, or in close proximity to the same location as the samples used in the acceptance decision. 10.Observation of sampling and testing procedures should be included as part of an IA system to evaluate sampling and testing personnel and ensure that test procedures are performed correctly. 11.When using the project approach for IA, the frequency should be approximately 10 percent of the frequency of the tests used in the acceptance decision. 12.When using the system approach for IA, each inspector should be covered once or twice a year. 13.The State is encouraged to develop a Qualified Products List for manufactured materials. 14.The State is encouraged to perform a risk analysis when developing an acceptance program for manufactured items. When performing a risk analysis, the State should consider the use of the product, safety, cost, and historical quality of the product. 15.The State should consider the data from the National Transportation Product Evaluation Program (NTPEP) when developing qualified product lists. See http://www.ntpep.org/.http://www.ntpep.org/ 16.The State is encouraged to report the evaluation of new products to the American Association of State Highway and Transportation Officials Product Evaluation List (APEL). See http://apel.transportation.org/.http://apel.transportation.org/ 17.The State should consider visual inspection and/or the manufacturer's certification as a basis for accepting small quantities of non-critical material. ….Organizational Structure…  Hot Mix Asphalt Materials Manager  HMA Laboratory Testing  HMA Field Operations  HMA Engineering services  Concrete Materials Manager  Concrete and Chemistry Laboratory Testing  Concrete Field Operations  Concrete Engineering services  Materials Acceptance Program Manager  Materials Acceptance Unit (MAU)  SiteManager Maintenance Team (SMMT)  Certification Unit  Independent Assurance Supervisor  IA activities

6. QUALITY ASSURANCE PROGRAM (23 CFR 637.207) 1.The State's acceptance program should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the quality of the finished product. Acceptance inspection should include inspection of the component materials at the time of placement or installation, as well as the workmanship and quality of the finished product. 2.Samples used in the acceptance decision should be taken as close as possible to where the material is incorporated into the project. 3.The State should retain control of the verification sampling locations and timing until immediately prior to sampling. 4.Sampling and testing frequencies may vary from State to State as the quality and uniformity of the material varies. The State may reduce its testing frequency for materials with a history of accurate, uniform test results that consistently meet specification requirements. The rate of testing should be higher on newly developed material sources, sources with questionable quality, sources with a wide range of test results, and sources with failing test results. 5.When contractor's tests are used in the acceptance decision and the State and contractor test results do not compare, the frequency of verification testing should be increased. 6.The State should obtain the contractor's test data as soon as it is available, no later than 24 hours after sampling is completed. The State's test results should not be given to the contractor until after the contractor results are received. 7.The State should review the contractor's source documentation as part of the State's quality assurance program. 8.Test results should not be discarded unless it is known that the sampling or testing was flawed. It may be appropriate to perform additional testing when the quality of the material is in question. However, in cases where additional tests are performed, the acceptance and pay criteria need to be adjusted to account for the additional test results. 9.If project materials are used in the Independent Assurance (IA) program, the IA samples should be split samples when possible, or in close proximity to the same location as the samples used in the acceptance decision. 10.Observation of sampling and testing procedures should be included as part of an IA system to evaluate sampling and testing personnel and ensure that test procedures are performed correctly. 11.When using the project approach for IA, the frequency should be approximately 10 percent of the frequency of the tests used in the acceptance decision. 12.When using the system approach for IA, each inspector should be covered once or twice a year. 13.The State is encouraged to develop a Qualified Products List for manufactured materials. 14.The State is encouraged to perform a risk analysis when developing an acceptance program for manufactured items. When performing a risk analysis, the State should consider the use of the product, safety, cost, and historical quality of the product. 15.The State should consider the data from the National Transportation Product Evaluation Program (NTPEP) when developing qualified product lists. See http://www.ntpep.org/.http://www.ntpep.org/ 16.The State is encouraged to report the evaluation of new products to the American Association of State Highway and Transportation Officials Product Evaluation List (APEL). See http://apel.transportation.org/.http://apel.transportation.org/ 17.The State should consider visual inspection and/or the manufacturer's certification as a basis for accepting small quantities of non-critical material. …. in 2015 we accomplished… 307,000 tons of pavement was inspected, tested and placed. Over 5,500 material samples were taken, tested and reported. Over 2943 material certifications were processed; 191 were found non- compliant. 27 projects completed the certification and testing requirements 25 projects required precast concrete bridge components and related production inspection. 429 samples of road salt were tested Why should you care about materials quality? Questions?

7. Materials Acceptance Program Contractors have voiced concerns… Issues with material acceptance packages. Issues with certifications. Issues with consistency, timeliness, and accuracy. Issues with SiteManager accuracy. Issues with communication and coordination. Issues with customer service. ….WE HEARD YOU!!!

8. Materials Acceptance Program VTrans has invested in the necessary resources….

9. Materials Acceptance Program Materials Acceptance Unit (MAU) SiteManager Maintenance Team (SMMT) Certification Unit

10. Materials Acceptance Unit (MAU) Role of the MAU: Review sampling & testing requirements for active contracts Prepare an initial Materials Acceptance package (test & certifications) Monitor & document materials acceptance activities Collaborate with assigned field staff bi-weekly throughout construction Prepare the final Materials Memo upon contract acceptance (C&A) Prepare IPSMs for any contracts completed prior to bi-weekly monitoring Members of the MAU: Lee Bohn, GPI (done in April) Jeff Warner, GPI Ryan Sengebush, GPI Katrina Hagan, GPI Craig Plumb, GPI (done in April)

11. SiteManager Maintenance Team (SMMT) Role of the SMMT: Maintain sampling & testing defaults Maintain reference data such as material codes Maintain Producer / Supplier / Manufacturer / Sources Provide user support & collaborate with IT to resolve reported issues Supports the MAU and Certification Unit Produce and maintain guidance documentation Pavement Marking & Optics How to Read the SiteManager Sampling Checklist Buy America Acceptance Sample Creation Members of the SMMT: Kayla Robinson, GPI Kimberly Nefferdorf, GPI (summer only) Kate Defayette, GPI (done in April) Katie Kreis, PCCI (done in April) Logan Perron, VTrans (done in April)

12. Certification Unit Role of the Certification Unit: Receive all certifications and TA forms Save documents to the Z:drive in the project folders Enter all certifications and TA forms into SiteManager (marked as LOGD) Review for accuracy and adherence to VTrans Specs (marked as ACPT or FAIL) Issue non-compliant certification notices, if necessary Update SiteManager upon resubmission of corrected documents (original sample will be changed from FAIL to ACPT) Supports the SMMT and MAU activities Members of the Certification Unit: Brennan Earls, VTrans Tim Chase, Dubois & King Brandyn Gadapee, GPI (done in April)

13. Materials Acceptance Program 2015/2016 Winter Work: Sampling & testing requirements in SiteManager were updated to meet the current Standard Specifications for Construction All test templates, material codes, producer/suppliers, APL and certification references were updated in SiteManager Began efforts, in coordination with lab managers and IT to provide a transparent method for tracking non-contract specific tests such as; wear, fractured face, thin & elongated, & cement samples Performed research studies and developed guidance documents Expanded participation on the 2016 Advanced Certification List (ACL) for materials that require a Type A or B certification

14. Materials Acceptance Program 2015/2016 Winter Work: Developed and implemented an American Railway Engineering & Maintenance Association (AREMA) form and guidance Wrapping up the development of a new Umbrella Certification Program (UCP) for specific materials that require a Type D certification Participating in a rewrite of the VTrans Spec Book, Materials Sampling Manual (MSM), and Quality Assurance Program (QAP) Pursuing the use of the National Transportation Product Evaluation Program (NTPEP) and the AASHTO Product Evaluation List (APEL) Updated all certification forms and procedural documents Updated references to the Materials Acceptance Program on the VTrans website: http://vtransengineering.vermont.gov/bureaus/cmb/materials/certification

16. Materials Acceptance Program What Contractors Need to Know? 1. Resident Engineer (RE) remains the individual responsible for ensuring materials are accepted per the Agency’s Specifications and in accordance with the Quality Assurance Program (QAP) 2. RE will maintain bi-weekly contact with MAU members 3. Contractors should communicate regularly with their REs 4. Resolve missing certifications upon Notice of Non-Compliance 5. Take advantage of opportunities to streamline the acceptance of materials (Buy America Minimal Use, QPL, ACL, Umbrella, & APL) 6. Contractors must ensure all steel and iron products used on federally aided projects meet the requirements found in 23 CFR 635.410 related to Buy America and be certified prior to use. Buy America materials will withhold payment!

17. Materials Acceptance Program What is expected of Contractor’s this season? 1. Certification documentation must be representative of the materials to be installed (identifying markers and qty). 2. Only current Certification forms will be accepted. 3. Certification documentation must be auditable back to the manufacturer. 4. Once a certification is signed and notarized it can not be altered. 5. All certification documentation should come through the prime contractor (single point of contact). 6. All certification documentation should be submitted to the AOT.MaterialsCertifiations@vermont.gov email account. AOT.MaterialsCertifiations@vermont.gov

18. Materials Acceptance Program Contact Information Materials Acceptance Program Manager Material Lab Room 212 Phone 802-828-5029 Materials Maintenance Team (SMMT) Material Lab Room 205 Phone 802-828-5028 Materials Acceptance Unit (MAU) Material Lab Room 209 Phone 802-828-2827 Certification Unit Material Lab Room203 Phone 802-828-6912

19. STOP BY OUR TABLE FOR MORE INFOMRATION: VTrans Quality Assurance Program (QAP) VTrans Materials Sampling Manual (MSM) Pavement Marking and Optics Guidance Buy America and payment withholdings SiteManager Sampling Checklist Project Specific Certifications Advanced Certification List (ACL) Approved Product List (APL) Qualified Product List (QPL) Umbrella Certification Program (UCP) National Transportation Product Evaluation Program (NTPEP) AASHTO Product Evaluation List (APEL) AREMA Standards

20. QUESTIONS?