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Quality Assurance Program (QAP)

Manual

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

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 Review

http://www.dot.ca.gov/hq/LocalPrograms/index.htm

http://www.dot.ca.gov/hq/LocalPrograms/index.htm

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

Reference Manuals

TRB GLOSSARY

• Glossary of Transportation Construction Quality Assurance Terms

• Transportation Research Circular, E-C173

• Sixth Edition, June 2013

http:/ /onlinepubs.trb.org/onlinepubs/circulars/ec173.pdf

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 project…are in conformity with the requirements of the approved plans and specifications…”

23 CFR 637.205

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.”

LAPM


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 Requirements


A QAP consists of:• Acceptance Program • Independent Assurance (IA) Program

QAP Manual

The Caltrans Department of Transportation (Caltrans) Construction Manual

The Caltrans Independent Assurance Manual

Caltrans approved plans and specifications Caltrans Test Methods (http://dot.ca.gov/hq/esc/ctms/index.html) Caltrans Local Assistance IA staff provides

IA services

QAP Requirements on the SHS

http://dot.ca.gov/hq/esc/ctms/index.html

CT Construction Manual, Chapter 6: “Sampling and Testing”

Caltrans Acceptance Program

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

Test

Test Method

Sample Size & Container Size

Sam pling Location

(See Note 1 )

Acceptance

Test Frequency

Remarks

AGGREGATE BASES Class 1, Class 2, and Class 3

Sieve Analysis

California Test 202

50 lb

Materials site or stockpile

Every 3000 tons or 2000 cu yd; see Remarks and Note 2

If material is uniform and well within specification limits, frequency may be decreased to 1 per day

Sand Equivalent

California Test 217



R-Value

California Test 301

50 lb


Every 3000 tons or 2000 cu yd; see Remarks

R-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

Durability Index

California Test 229

50 lb


1 per project; see Remarks

Durability test not required for Class 3 aggregate base

Moisture

California Test 226

25 lb


2 daily when aggregate base is paid for by weight

Relative Compaction

California Test 231

Sample for California Test 216

Project site in accordance with California Test 231

Every 2000 sq yd

Maximum Wet Density

California Test 216

35 lb

Relative compaction test site locations

Every 2000 sq yd, see Remarks

Wet common- composite test maximum value may be used in accordance with California Test 231

Dimensions

N/A

N/A

Random locations As necessary for

acceptance Verify 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.

http://www.dot.ca.gov/hq/construc/manual2001/chapter6/

Tester Qualification

Laboratory Accreditation◦ District IA Staff◦ Local Assistance IA

Staff under METS Reference Sample

Program

Caltrans IA Program

http://dot.ca.gov/hq/esc/Translab/ormt/IA_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!

QAP Requirements on the NHS(but off the SHS)

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?

QAP Requirements off the NHS

Developing a QAP

Definitions

TRB GLOSSARY

• Glossary of Transportation Construction Quality Assurance Terms

• Transportation Research Circular, E-C173

• Sixth Edition, June 2013

http:/ /onlinepubs.trb.org/onlinepubs/circulars/ec173.pdf

CORE ELEMENTS OF A QA PROGRAM

Agency Acceptance

Personnel Qualification Dispute

Resolution

QA Program

Lab Qualification

Independent Assurance

Contractor QC

3

QUALITY 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 THE TERM “QUALITY ASSURANCE”

“All p rovis ions of 637.207(a) are app licab le to Des ign -B u ild projects.”

* N ote : The D es ign B u ilder ca nnot be Ass ign ed respons ib ility to pe r form any Acceptan ce (Ve rifica tion ) functions.

15

PROPER USE OF THE TERMINOLOGY

• QC/QA is not the same as Quality Assurance

• Quality Control is one of the core elements of a Quality Assurance Program

VERIFICATION

Definition

• Acceptance testing done by the Agency

• Used to determine if the contractor’s QC test results can be used in the acceptance decision.

VALIDATION

Definition

The mathematical comparison of two independently 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 program

DISPUTE RESOLUTION

Definition

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

Design-Bid-Build

• Project delivery system where design is completed

Owner

before construction contract is advertised

– Sometimes referred to as “traditional method”

Designer of Record

Design Subs

Construction Contractor

Construction Subs

Design-Build

• Project delivery system in which both the design and construction are awarded to a single

Owner

Design- Builder

entity

• Can reduce project delivery time

Designer of Record

Design Subs

Construction Contractor

Construction Subs

Construction Manager/General Contractor

Owner

Designer of Record

Coordination Construction

Manager

General Contractor

Preconstruction

GMP

Construction

Design Subs Construction Subs

Other 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 entity

Regardless of the Method used….

• Core elements of QA are necessary

• Owner performs Verification testing and inspection independent of the contractor Courtesy of NETTCP

Acceptance Program Fundamentals


Agency Acceptance


Resolution

QA Program

Lab Qualification


Contractor QC

3

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.

Types of Testing 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

Acceptance Testing

Acceptance Plans

• Process for evaluating the acceptability of a Lot. Includes the following: – Lot size – Sublot size – Quality measure – Acceptable/Rejectable

quality levels – Risk evaluation – Pay Adjustment

provisions Lot size: 4500 tonsSublot:750 tons

Lot

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

– Day’s production

– 2500 tons

– 500 yd3

– 5000 lane-ft

Caltrans Construction Manual

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

Test

Test Method

Sample Size & Container Size

Sam pling Location

(See Note 1 )

Acceptance

Test Frequency

Remarks

AGGREGATE BASES Class 1, Class 2, and Class 3

Sieve Analysis

California Test 202

50 lb




Sand Equivalent

California Test 217



R-Value

California Test 301

50 lb


Every 3000 tons or 2000 cu yd; see Remarks

R-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

Durability Index

California Test 229

50 lb


1 per project; see Remarks

Durability test not required for Class 3 aggregate base

Moisture

California Test 226

25 lb


2 daily when aggregate base is paid for by weight

Relative Compaction

California Test 231

Sample for California Test 216

Project site in accordance with California Test 231

Every 2000 sq yd

Maximum Wet Density

California Test 216

35 lb

Relative compaction test site locations

Every 2000 sq yd, see Remarks

Wet common- composite test maximum value may be used in accordance with California Test 231

Dimensions

N/A

N/A

Random locations As necessary for

acceptance Verify 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.

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 Typical

Sample Size

StandardSampling 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 125AASHTO

T127, M85, M295

Material

Type of Tests Standard

Test Method

FreshConcrete

Slump or

Penetration *

ASTM C109CT 515

AASHTO T106

FreshConcrete

Air Content *

ASTM C109CT 515

AASHTO T106

FreshConcrete

Unit Weight *

ASTM C109CT 515

AASHTO T106

FreshConcrete

Compressive

Strength

ASTM C39CT 521

AASHTO T22

FreshConcrete

Flexural Strength

ASTM C78CT 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)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) Methods

http://www.dot.ca.gov/hq/esc/ctms

https://www.transportation.org/

http://www.nist.gov/

http://www.dot.ca.gov/hq/esc/ctms

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

Reporting of Testing Results

Testing Alternatives

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

Certificate 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 Vendor’sCertificate of Compliance

Structural 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

ACCEPTANCE: EXAMPLE

VERIFICATION

Definition

• Acceptance testing done by the Agency

• Used to determine if the contractor’s QC test results can be used in the acceptance decision.

VERIFICATION: EXAMPLE

19

VERIFICATION: VULNERABILITIES

• Chain of custody

20

VERIFICATION: VULNERABILITIES

• Chain of custody

• Individual test results for calculations

• Limiting testing options

VALIDATION

Definition

The mathematical comparison of two independently obtained sets of data.

VALIDATION: EXAMPLE

24

Independent Sample

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

• Required when validating contractor test results

DOT QC

QC QC DOT

VALIDATION: VULNERABILITIES

• Independent samples

VALIDATION: 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 power

RISK

Definition

Risk

(1) Also called sta tistica l risk. The probability of suffering harm or loss.

(2) Also called en gineering risk. A function that represents the expected cost associated with a risk event.

RISK MANAGEMENT AND ALLOCATION

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 project

RISK MANAGEMENT AND ALLOCATION CONSIDERATIONS

• Agency must perform risk analyses/assessments when developing acceptance 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)

Age

ncy

or C

ontr

acto

r Ris

k

Dire

ct C

ost (

$)

BALANCING RISK AND COST

1 2 3 4 5 6 7 Number of Test Samples (n)

Independent Assurance (IA) Fundamentals


Agency Acceptance


Resolution

QA Program

Lab Qualification


Contractor QC

3

INDEPENDENT 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 of the State acceptance of materials 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.

FHWA‐HIF‐12‐001

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 procedures used in a materials and quality acceptance program. Introduction 23 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 agency personnel 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 State’s 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.

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.pdf

IA Main componentsQualification of PersonnelLaboratory AccreditationEquipment CalibrationProficiency TestingCorroboration TestingDispute Resolution

Types of IA Programs 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

INDEPENDENT ASSURANCE: EXAMPLES

• Split Samples

IA Sample

Agency Split

IA Split Contractor Split

Project Based

Split Sample

• Sample divided into two or more portions • Used to verify an operator’s equipment and procedures –

eliminates sampling variability • Used in IA testing and Dispute Resolution

Acc. IA

Examples and Frequencies of “Witness Testing”

CALIFORNIA TEST

DESCRIPTION OF TEST PROCEDURE

FREQUENCY OF WITNESS TESTING

205 PERCENT CRUSHED PARTICLES ONCE EVERY TWELVE MONTHS206*, 207*,

208*SPECIFIC GRAVITY AND

ABSORPTIONONCE EVERY TWELVE MONTHS

211* LA RATTLER ONCE EVERY TWELVE MONTHS213 ORGANIC IMPURITIES ONCE EVERY TWELVE MONTHS

223, 226 MOISTURE ONCE EVERY TWELVE MONTHS229* DURABILITY INDEX ONCE EVERY TWELVE MONTHS301* R-VALUE ONCE EVERY TWELVE MONTHS302 FILM STRIPPING ONCE EVERY TWELVE MONTHS303* CENTRIFUGE KEROSENE

EQUIVALENTONCE EVERY TWELVE MONTHS

205 SWELL AND PERMEABILITY ONCE EVERY TWELVE MONTHS307 VAPOR SUSCEPTIBILITY ONCE EVERY TWELVE MONTHS338 TITRATION (CEMENT/LIME) ONCE EVERY TWELVE MONTHS366* STABILOMETER VALUE ONCE EVERY TWELVE MONTHS529 PROPORTIONING OF ROCK ONCE 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

IA Program Alternatives

AASHTO Certificate of Accreditation

AASHTOAccreditatio

nDetails

Look for:1. Location2. Test

Methods3. Expiration

date 2 years after accredited.

Army Corps of Engineers

Look for:1. Location2. Test

Methods3. Expiration

date

QAP Section 5.0If 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

AASHTO MaterialsReference Laboratory

http://amrl.net

Cement and ConcreteReference Laboratory

http://www.ccrl.us/

DISPUTE RESOLUTION

Definition

An agreed-upon procedure to resolve conflicts resulting 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

QAP and Lessons Learned

QAP – Appendix YSample of QAP that has been usedby 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

Objectives

Bomasur Banzon, Lead IA Eng (HQ)(916) 227-7234

Ignocencio Herrera, Dist. 1, 2, &3(916) 227-7192

David Small, Dist. 4, 5, & 6 (northern)(916) 247-7923

Seree Yenjai, Dist. 6 (southern), 7, 8, &9

(916) 247-1911Afsaneh Ostovar, Dist. 11 & 12

(916) 247-6311

Caltrans L.A. I.A. Engineer