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Quality Assurance Program (QAP) ManualDefine a Quality Assurance Program (QAP) Review common terminologyDiscuss the fundamentals of an acceptance programDiscuss the fundamentals of an independent assurance programDevelop a QAP for your local agency needsDiscuss lessons learned Objectives

Caltrans Division of Local Assistance Publicationshttp://www.dot.ca.gov/hq/LocalPrograms/index.htm

Reference Manuals

Local Assistance Procedures Manual (LAPM) ( February 10, 2009)

Section 16.14: Quality Assurance Program Section 19:Oversight and Process Review3Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011) Reference Manuals

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What is a QAP?

The Code of Federal Regulations (Title 23, Section 637.05) 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 projectare in conformity with the requirements of the approved plans and specifications

23 CFR 637.205Local 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. LAPM 8Quality 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)

QAP Manual Requirements9Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011)

A QAP consists of: Acceptance Program Independent Assurance (IA) Program QAP Manual10The Caltrans Department of Transportation (Caltrans) Construction ManualThe Caltrans Independent Assurance ManualCaltrans approved plans and specificationsCaltrans Test Methods (http://dot.ca.gov/hq/esc/ctms/index.html)Caltrans Local Assistance IA staff provides IA services

QAP Requirements on the SHSCT Construction Manual, Chapter 6: Sampling and TestingCaltrans Acceptance Program

http://www.dot.ca.gov/hq/construc/manual2001/chapter6/Tester QualificationLaboratory AccreditationDistrict IA StaffLocal Assistance IA Staff under METSReference Sample ProgramCaltrans IA Programhttp://dot.ca.gov/hq/esc/Translab/ormt/IA_reports/2005_IA_Maunal.pdf

13Need a QAPAcceptance Program/ IA programPlans and Specifications based on a nationally recognized standardCaltransGreenbookTest Methods based on a national standard CaltransAmerican Society of Testing and Materials (ASTM)American Association of State Highway and Transportation Officials (AASHTO)Independent Assurance ProgramCaltrans if CT test methods are used!QAP Requirements on the NHS(but off the SHS)There is flexibility, BUTStill need a QAP!Acceptance ProgramIndependent Assurance ProgramAnd what if your agency has projects that are on the SHS, NHS and off the NHS?

QAP Requirements off the NHSDeveloping a QAPDefinitions

Acceptance Program Fundamentals

Types of TestingPreliminary Sampling and TestingMaterials used on the job prior to awardTest for suitability for a projectAcceptance TestingTesting of material entering the workEnsure materials meet specification requirementsSource InspectionAcceptance Testing of manufactured or prefabricated materials at locations other than the job siteIndependent Assurance and Sampling and TestingDependent upon the Independent Assurance (IA) program used by the agency

Acceptance Testing

Lot size: 4500 tonsSublot:750 tons

Caltrans Construction Manual

CT Method of Test for Evaluation of Aggregate for Lean Concrete Base (LCB)

From QAP Appendix D: Sampling and Testing FrequenciesPortland Cement Concrete (or Hydraulic Cement Concrete)

Material

TypicalSample Size StandardSampling MethodFresh ConcreteTake 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, C494CT 125AASHTO T127, M85, M295

Material

Type of Tests

StandardTest MethodFreshConcreteSlump or Penetration *ASTM C109CT 515AASHTO T106FreshConcreteAir Content *ASTM C109CT 515AASHTO T106FreshConcreteUnit Weight *ASTM C109CT 515AASHTO T106FreshConcreteCompressive StrengthASTM C39CT 521AASHTO T22FreshConcreteFlexural StrengthASTM C78CT 324AASHTO 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)http://www.astm.org/American Association of State Highway and Transportation Officials (AASHTO)https://www.transportation.org/National Institute of Standards and Technology (NIST)http://www.nist.gov/California Test (CT) Methodshttp://www.dot.ca.gov/hq/esc/ctmsTimely reporting of results to the Resident EngineerTypical tests and times:Sieve analysis 24 hoursSand Equivalent 24 hoursCleanness value 24 hoursR-value 3 daysSome tests take time!Testing frequencies and lot sizes can require a great deal of testing

Reporting of Testing Results

Testing AlternativesAlternative method of acceptance testingMethod to accept prefabricated or manufactured items brought to job siteCertificate by the manufacturerSpecific to projectIncludes lot numberStatement of specification compliance (applicable section)Signed by manufacturerCertificate of Compliance (COC)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 - 494.Local Agency Project No. Albert Howakowa HP21L 5055 111 Quality Assurance Engineer ABC Cement Company

Date:08/20/14 Example of a VendorsCertificate of ComplianceStructural Metal Plate Pipe Arches and Pipe ArchesPerforated Steel PipePolyvinyl Chloride Pipe and Polyethylene TubingSteel Entrance Tapers, Pipe Downdrains, Reducers, Coupling Bands and Slip JointsAluminum Pipe (Entrance Tapers, Arches, Pipe Downdrains, Reducers, Coupling Bands and Slip Joints)Metal Target PlatesPaint (Traffic Stripe)ConductorsPainting of Electrical EquipmentElectrical ComponentsEngineering FabricsPortland Cement, Mineral Admixtures and Chemical AdmixturesConcrete Coarse Aggregate (Cleanness Value)Concrete Fine Aggregate (Sand Equivalent)PCC AdmixturesMinor Concrete Liquid AsphaltAsphaltic EmulsionsEpoxyHot Mix Asphalt (Quantities Less Than 10 Tons)Construction Materials Accepted by a Certificate of Compliance

Independent Assurance (IA) Fundamentals

66

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. http://www.fhwa.dot.gov/pavement/materials/hif12001.pdfIA Main componentsQualification of PersonnelLaboratory AccreditationEquipment CalibrationProficiency TestingCorroboration TestingDispute Resolution

Types of IA ProgramsProject Based10% of acceptance frequencyIndependent Assurance Sampler and Tester performs IAST test independent of acceptance tester on a project by project basisSystem Based90% of testers once or twice a yearPersonnel qualifications are evaluated through written examinations, witness tests and corroboration testing Annual report requirements

Project Based

Examples and Frequencies of Witness TestingCalifornia TestDescription of Test ProcedureFrequency of Witness Testing205Percent crushed particlesOnce every twelve months206*, 207*, 208*Specific gravity and absorptionOnce every twelve months211*LA RATTLEROnce every twelve months213ORGANIC IMPURITIESOnce every twelve months223, 226MOISTUREOnce every twelve months229*DURABILITY INDEXOnce every twelve months301*R-VALUEOnce every twelve months302FILM STRIPPINGOnce every twelve months303*CENTRIFUGE KEROSENE EQUIVALENTOnce every twelve months205Swell and permeabilityOnce every twelve months307Vapor susceptibilityOnce every twelve months338Titration (cement/lime)Once every twelve months366*Stabilometer valueOnce every twelve months529Proportioning of rockOnce every twelve monthsRequire independent lab accreditationHire an outside qualified consultant to perform IA servicesCannot perform acceptance testingUse a qualified employee from within the local agency to perform IA servicesIf using CT test methods, Local Assistance IA personnel is available IA Program Alternatives

AASHTO Certificate of Accreditation75

AASHTOAccreditationDetails

Look for:LocationTest MethodsExpiration date 2 years after accredited.

76

Army Corps of Engineers

Look for:LocationTest MethodsExpiration date

77QAP Section 5.0If the local agency has an in-house IA Program IA person should have familiarity with materials testingIA staff must remain INDEPENDENT from acceptance testingMain function is to test the acceptance testerCertify personnel within organizationNot valid for project outside IAs agency jurisdictionIA 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 program78AASHTO MaterialsReference Laboratoryhttp://amrl.net

Cement and ConcreteReference Laboratoryhttp://www.ccrl.us/

QAP and Lessons LearnedQAP Appendix YSample of QAP that has been usedby most if not all.

First lesson learned:One size does NOT fit all!

84Define a Quality Assurance Program (QAP) Review common terminologyDiscuss the fundamentals of an acceptance programDiscuss the fundamentals of an independent assurance programDevelop a QAP for your local agency needsDiscuss lessons learned Objectives

Bomasur Banzon, Lead IA Eng (HQ)(916) 227-7234Ignocencio Herrera, Dist. 1, 2, &3(916) 227-7192David Small, Dist. 4, 5, & 6 (northern)(916) 247-7923Seree Yenjai, Dist. 6 (southern), 7, 8, &9(916) 247-1911Afsaneh Ostovar, Dist. 11 & 12(916) 247-6311

Caltrans L.A. I.A. Engineer86TRBGLOSSARY

Glossary of Transportation Construction Quality Assurance Terms

Transportation ResearchCircular, E-C173

Sixth Edition, June 2013

http://onlinepubs.trb.org/onlinepubs/circulars/ec173.pdfTable 6-1.7 Materials Acceptance Sampling and Testing Requirements: Aggregate Bases (2010 Standard Specifications Section 26)

TestTest MethodSample Size & Container SizeSampling Location (See Note 1)AcceptanceTest FrequencyRemarks

AGGREGATE BASES Class 1, Class 2, and Class 3

SieveAnalysis

CaliforniaTest 202

50 lb

Materials site or stockpileEvery 3000 tons or 2000 cu yd;see Remarks andNote 2If material is uniform and well within specification limits, frequency may be decreased to 1 per day

SandEquivalent

CaliforniaTest 217Every 3000 tons or 2000 cu yd;see Remarks andNote 2If material is uniform and well within specification limits, frequency may be decreased to 1 per day

R-Value

CaliforniaTest 301

50 lb

Materials site or stockpile

Every 3000 tons or 2000 cu yd; see RemarksR-value testing may reduced to minimum 1 acceptance test per project when test records demonstrate that material from the same source, and having comparable grading and sand equivalent values, meets minimum R- value requirements

DurabilityIndexCaliforniaTest 229

50 lbMaterials site or stockpile1 per project;see RemarksDurability test not required for Class 3 aggregate base

MoistureCaliforniaTest 22625 lbMaterials site or stockpile2 daily when aggregate base is paid for by weight

RelativeCompactionCaliforniaTest 231Sample forCalifornia Test216Project site in accordance with California Test231

Every 2000 sq yd

MaximumWet Density

CaliforniaTest 216

35 lbRelative compaction test site locations

Every 2000 sq yd, see RemarksWet common- composite test maximum value may be used in accordancewith California Test 231

DimensionsN/AN/ARandom locationsAs necessary for acceptanceVerify thickness of aggregate base

Notes:1. See California Test 125 for sampling procedures.2. If material is outside the specification limits sample and test representative material every 500 cu yd so that deductions may be taken for noncompliant material.TRBGLOSSARY

Glossary of Transportation Construction Quality Assurance Terms

Transportation ResearchCircular, E-C173

Sixth Edition, June 2013

http://onlinepubs.trb.org/onlinepubs/circulars/ec173.pdfCORE ELEMENTS OF AQA PROGRAM

AgencyAcceptance

PersonnelQualification

DisputeResolution

QA Program

LabQualification

IndependentAssurance

ContractorQC

3QUALITY ASSURANCE

Definition

(1) All those planned and systematic actions necessary to provide confidence that a product of facility will perform satisfactorily in service; or

(2) making sure the quality of a product is what it should be.QUALITY CONTROL

Definition

The system used by a contractor to monitor,assess, and adjust processes to ensure that the final product meets the specified level of quality.ACCEPTANCE

Definition

The process whereby all factors used by the agency (i.e., sampling, testing and inspection) are evaluated to determine the degree of compliance with the contract elements.UNDERSTANDING THETERM QUALITY ASSURANCE

All provisions of 637.207(a) are applicable to Design-Build projects.

*Note: The Design Builder cannot be Assigned responsibility to perform any Acceptance (Verification) functions.

15PROPER USEOFTHE TERMINOLOGYQC/QA is not the same as Quality Assurance

Quality Control is one of the core elements of aQuality Assurance ProgramVERIFICATION

Definition

Acceptance testing done by the Agency

Used to determine if the contractors QC test results can be used in the acceptance decision.VALIDATION

Definition

The mathematical comparison of twoindependently obtained sets of data.INDEPENDENT ASSURANCE

Definition

Activities that are an unbiased and independent evaluation of all the sampling and testing (or inspection) procedures used in the acceptance programDISPUTE RESOLUTION

Definition

An agreed-upon procedure to resolve conflictsresulting from discrepancies between the agency and contractor results, of sufficient magnitude to have an impact on payment.Design-Bid-Build

Project deliverysystem wheredesign is completed

Owner

before construction contract is advertised

Sometimes referred to as traditional method

Designer ofRecord

Design Subs

ConstructionContractor

ConstructionSubsDesign-Build

Project deliverysystem in which boththe design andconstruction areawarded to a single

Owner

Design- Builder

entity

Can reduce project delivery time

Designer ofRecord

Design Subs

ConstructionContractor

ConstructionSubsConstruction Manager/GeneralContractor

Owner

Designer ofRecord

Coordination

ConstructionManager

GeneralContractor

Preconstruction

GMP Construction

Design SubsConstructionSubsOther Delivery Methods

Public-Private-Partnership (P3)

Funded and operated through partnership of government and one or more private companies

Include a concession goal, compensation structure, and length of time

Design-Build-Finance-Operate-Maintain

Type of P3 where responsibility for design, construction, finance, operation and maintenance are awarded to a single entityRegardless of the Method used.

Core elements ofQA are necessary

Owner performs Verification testing and inspection independent ofthe contractorCourtesy of NETTCPCORE ELEMENTS OF AQA PROGRAM

AgencyAcceptance

PersonnelQualification

DisputeResolution

QA Program

LabQualification

IndependentAssurance

ContractorQC

3ACCEPTANCE

Definition

The process whereby all factors used by the agency (i.e., sampling, testing and inspection) are evaluated to determine the degree of compliance with the contract elements.Acceptance Plans

Process for evaluating the acceptability of a Lot. Includes the following:Lot sizeSublot sizeQuality measureAcceptable/Rejectable quality levelsRisk evaluationPay Adjustment provisionsLot

Specific quantity of material from a single source assumed to be produced or placed by the same controlled process

Days production

2500 tons

500 yd3

5000 lane-ftTable 6-1.7 Materials Acceptance Sampling and Testing Requirements: Aggregate Bases (2010 Standard Specifications Section 26)

TestTest MethodSample Size & Container SizeSampling Location (See Note 1)AcceptanceTest FrequencyRemarks

AGGREGATE BASES Class 1, Class 2, and Class 3

SieveAnalysis

CaliforniaTest 202

50 lb

Materials site or stockpileEvery 3000 tons or 2000 cu yd;see Remarks andNote 2If material is uniform and well within specification limits, frequency may be decreased to 1 per day

SandEquivalent

CaliforniaTest 217Every 3000 tons or 2000 cu yd;see Remarks andNote 2If material is uniform and well within specification limits, frequency may be decreased to 1 per day

R-Value

CaliforniaTest 301

50 lb

Materials site or stockpile

Every 3000 tons or 2000 cu yd; see RemarksR-value testing may reduced to minimum 1 acceptance test per project when test records demonstrate that material from the same source, and having comparable grading and sand equivalent values, meets minimum R- value requirements

DurabilityIndexCaliforniaTest 229

50 lbMaterials site or stockpile1 per project;see RemarksDurability test not required for Class 3 aggregate base

MoistureCaliforniaTest 22625 lbMaterials site or stockpile2 daily when aggregate base is paid for by weight

RelativeCompactionCaliforniaTest 231Sample forCalifornia Test216Project site in accordance with California Test231

Every 2000 sq yd

MaximumWet Density

CaliforniaTest 216

35 lbRelative compaction test site locations

Every 2000 sq yd, see RemarksWet common- composite test maximum value may be used in accordancewith California Test 231

DimensionsN/AN/ARandom locationsAs necessary for acceptanceVerify thickness of aggregate base

Notes:1. See California Test 125 for sampling procedures.2. If material is outside the specification limits sample and test representative material every 500 cu yd so that deductions may be taken for noncompliant material.ACCEPTANCE: EXAMPLEVERIFICATION

Definition

Acceptance testing done by the Agency

Used to determine if the contractors QC test results can be used in the acceptance decision.VERIFICATION:EXAMPLE

19VERIFICATION: VULNERABILITIES

Chain of custody

20VERIFICATION: VULNERABILITIES

Chain of custody

Individual test results for calculations

Limiting testing optionsVALIDATION

Definition

The mathematical comparison of twoindependently obtained sets of data.VALIDATION:EXAMPLE

24Independent Sample

Sample taken without regard to any other sample taken to represent the area in question

Required when validating contractor test results

DOTQC

QCQC

DOTVALIDATION: VULNERABILITIES

Independent samplesVALIDATION: VULNERABILITIES

Independent samples

Strength of mathematical comparison F & t testing (8 of 31 states) More power to detect actual differences Minimum 5 verification for 7-20 QC Single-test comparisons (1 vs. 1 OR 1 vs. many) Appeal is simplicity: not powerRISK

Definition

Risk

(1) Also called statistical risk. The probability of suffering harm or loss.

(2) Also called engineering risk. A function that represents the expected cost associated with a risk event.RISKMANAGEMENT ANDALLOCATION

Definition

Risk Management

A scientific approach to dealing with engineering risks by anticipating possible losses and designing and implementing procedures that minimize the occurrence of loss or the financial impact of losses that do occur

Risk Allocation

The distribution of engineering risk among the various participants in a projectRISKMANAGEMENT AND ALLOCATION CONSIDERATIONS Agency must perform risk analyses/assessments when developingacceptance programs (examples): Acceptance of manufactured items considering safety, cost and historical quality Acceptance based on COC, vendor qualifications, vendor certifications, especially for non-critical items Testing frequency relative to amount of risk (structural concrete vs. striping)

ContractorRiskDirect Cost ($)BALANCINGRISK ANDCOST

Agency or1234567Number of Test Samples (n)CORE ELEMENTS OF AQA PROGRAM

AgencyAcceptance

PersonnelQualification

DisputeResolution

QA Program

LabQualification

IndependentAssurance

ContractorQC

3INDEPENDENT ASSURANCE

Definition

Activities that are an unbiased and independent evaluation of all the sampling and testing (or inspection) procedures used in the acceptance program

The Construction and Materials Quality Assurance Program is an integrated, national effort to improve the effectiveness ofthe State acceptance ofmaterials both in the inspection, sampling and testing. The program is designed to provide tools and guidance in implementing Quality Assurance programs. The program is designed to provide tools and guidance in implementing Quality Assurance programs.

Office of Pavement Technology

Publication No. FHWAHIF12001

October 2011

INDEPENDENT ASSURANCE PROGRAMS

This Technical Brief provides information regarding independent assurance as it relates to activities for the evaluation of the sampling and testing proceduresused in a materials and quality acceptance program.

Introduction23 CFR 637 defines an Independent Assurance Program as: Activities that are an unbiased and independent evaluation of all the sampling and testing procedures used in the acceptance program.

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.

Qualified sampling and testing personnel, other than those performing the verification and quality control (QC) sampling and testing, should perform the Independent Assurance (IA) tests. Likewise, equipment other than that used for verification and QC should be used for IA sampling and testing. By regulation IA sampling and testing is conducted by agencypersonnel or an accredited laboratory designated by the agency.

The regulation requires IA specifically be designed to include testing performed on project produced materials. Since the testing of project produced materials are tested in multiple locations and by multiple personnel it is necessary to have some assurance the testing is being performed accurately. Manufactured products are typically tested in the States central laboratory or by a designated consultant laboratory. Testing in the central laboratory is considered to be covered by the laboratories accreditation and participation in proficiency testing.INDEPENDENT ASSURANCE: EXAMPLES

Split Samples

IA Sample

AgencySplit

IA SplitContractor SplitSplit Sample

Sample divided into two or more portionsUsed to verify an operators equipment and procedures eliminates sampling variabilityUsed in IA testing and Dispute Resolution

Acc.IADISPUTE RESOLUTION

Definition

An agreed-upon procedure to resolve conflictsresulting from discrepancies between the agency and contractor results, of sufficient magnitude to have an impact on payment.DISPUTE RESOLUTION: EXAMPLES

Formal written procedure

Time limits for comparison of data

Third party used for dispute