SOURCE INSPECTION QUALITY MANAGEMENT PLAN

SOURCE INSPECTION QUALITY

MANAGEMENT PLAN

FOR CAMPUS PARKWAY / STATE ROUTE 140 PROJECT

Prepared By: NV5

2109 West Bullard Ave #145 Fresno, CA 93711

(559) 661-5220

For: Merced County 11/20/2017

Rev 1: 3/15/2018

SOURCE INSPECTION QUALITY MANAGEMENT PLAN CAMPUS PARKWAY / STATE ROUTE 140 PROJECT- EA 10-3A1304

09/20/17 Rev. 0 Page i

Table of Contents

1 PROJECT GENERAL DESCRIPTION ..................................................................... 1

1.1 Project Planned Dates .............................................................................................. 1

1.2 Project Specifications Edition .................................................................................... 2

1.3 Federal Funding Status ............................................................................................ 2

1.4 Project Documents ................................................................................................... 2

1.5 Scope of Work .......................................................................................................... 2

1.5.1 Description of Bridge Work .......................................................................... 2

1.6 Project Phasing ........................................................................................................ 3

1.7 Additional Project Information ................................................................................... 3

2 MATERIALS MANAGEMENT .................................................................................. 3

2.1 Roles and Responsibilities ........................................................................................ 3

2.1.1 Agency Roles and Responsibilities .............................................................. 4

2.1.2 Contractor Information ................................................................................. 6

2.2 Verification Source Inspection and Documentation ................................................... 7

2.2.1 Procedure to Identify Materials for Source Inspection .................................. 7

2.2.2 Authorized Materials and Audited Facilities List ........................................... 8

2.2.3 List of Materials in the State Highway System Right-of-Way (ROW) ............ 8

2.2.4 Table of Items to be Source Inspection ........................................................ 8

2.2.4.1 Frequency of Source Inspection .................................................. 8

2.2.5 Specialty Materials – Proprietary Systems ..................................................13

2.2.6 Project Materials Distinction ........................................................................13

2.2.7 Project Materials Management ...................................................................13

2.2.8 Documentation ...........................................................................................13

2.2.8.1 Quality Assurance Inspection Forms ...........................................13

2.2.8.2 Review and Distribution of QA Source Inspection Forms ............14

2.2.8.3 Material Acceptance ...................................................................15

2.2.8.4 Inspection Report Filing ..............................................................16

2.3 Verification Lab Testing and Documentation ............................................................16

2.3.1 Qualification of the Verification Testing Laboratory .....................................16

2.3.2 List of Verification Tests and Frequencies ..................................................16

2.3.3 Verification Material Filing System ..............................................................16


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2.3.4 Example Forms for Sampling and Testing ..................................................17

2.3.5 Verification/QC Testing Laboratory Conflict of Interest ................................17

2.4 Contractor Quality Control Plans ..............................................................................17

2.4.1 Review of QC Plans ....................................................................................17

2.4.1.1 Hot Mix Asphalt ...........................................................................17

2.4.1.2 Sign Panels ................................................................................17

2.4.2 Pre-operation Meetings ..............................................................................18

2.5 Issue Resolution ......................................................................................................18

2.5.1 CCOs, RFIs and NCRs ...............................................................................18

2.5.2 Instances Requiring NCRs Materials ..........................................................19

2.5.2.1 NCR on Product ..........................................................................19

2.5.2.2 NCR on Personnel/Product .........................................................19

2.5.2.3 NCR Procedure Details ...............................................................20

2.5.2.4 NCR Resolutions ........................................................................20

2.5.2.4.1 Fit-for-Purpose Evaluation (Blue Tag Release) .......20

2.5.3 Procedures for Handling Disagreements ....................................................21

3 REPORTING QA VERIFICATION DOCUMENTATION TO CALTRANS IQA ........ 21

3.1 Monthly Summary Report ........................................................................................21

3.2 Final Acceptance Letter ...........................................................................................22


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List of Appendices

A Engineers Estimate

B Cooperative Agreement

C Material Inspection Forms

D Contractors Quality Control Plan

E Verification Tests and Frequencies

F Signs and Markers

G Structural Fasteners

H Joint Seal

I Bar Reinforcement

K Steel Pipe Piling

L Bridge Bearing

M Prestressing Strand

N Electrical Devices

O Lab and Tester Certifications


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1 Project General Description

The current scope is limited to improvements related to the construction of the Campus Parkway and SR 140 intersection. This work includes structure work and improvements to SR 140 including widening and signalization.

Widen SR 140 mainline lanes to 3 total (two through and one turn), install drainage facilities and signalization of intersection of SR 140 and connector road.

Construct portion of new connector road, four lanes (two in each direction) and construct two bridge structures of Campus Parkway to cross over State Route 140.

These improvements result in one new public road connection.

A Cooperative Agreement for design and right of way acquisition between the State and Merced County has been executed. Please see Table 1 below for the project general description.

Table 1: Project General Description

Project Description SR 140 and Campus Parkway Improvements

Implementing Agency Name Merced County

Implementing Agency Project Manager Joe Giulian

Implementing Agency Project Number 37115-11

Caltrans Project Number 10-3A1304

County-Route-Post Mile Mer – 140 – 38.1/38.7

Figure 1: Project Limits

1.1 Project Planned Dates

Table 2 presents the project planned dates.

Table 2: Project Planned Dates

Project Advertised Date 4/2/18

Project Award Date 5/1/18


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Project Notice to Proceed 5/15/18

Project Completion Date 5/15/20

*The dates in Table 2 will be updated by addendum when determined necessary.

1.2 Project Specifications Edition

Table 3 presents the edition of project Standard Specifications and Plans.

Table 3: Project Specifications Edition

Caltrans Standard Specifications 2015 with Amendments Dated 05-15-15

Caltrans Standard Plans 2015 and Revisions

1.3 Project Federal Funding Status

Table 4 presents project federal funding status.

Table 4: Project Federal Funding Status

Federal Funding (Buy America Requirements)

America requirements will be enforced per Standard Specification Section 6-1.04

1.4 Project Documents

Table 5 lists the project documents.

Table 5: Project Documents

Copy of Cooperative Agreement See Appendix B

Project Bid Item List See Appendix A

1.5 Scope of Work

Table 6 presents project scope of work.

Table 6: Project Scope of Work

Number and Type of Structures 2

Engineer’s Estimate $6,587,000.00

Project Limits In Merced County on State Route 140 and the future connector road.

1.5.1 Description of Bridge Work

Construction of 2 new cast in place post tensioned bridges over SR140.


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1.6 Project Phasing

It is anticipated that this project will be completed in 1 phase. See the project general description for details.

1.7 Additional Project Information

Table 7 presents additional project information.

Table 7: Additional Project Information

Name and Address of CM Firm NV5

2109 West Bullard Ave #145

Fresno, CA 93711

Name and Address of Verification Firm for Construction

NV5

2109 West Bullard Ave #145

Fresno, CA 93711

Name and Address of Verification Labs for QA Inspection

NV5 West (Formerly Holdredge and Kull)

792, Searls Ave

Nevada City, CA 95959

Name and Address of Verification Firms for Source Inspection

NV5 West (Formerly Holdredge and Kull)

792, Searls Ave

Nevada City, CA 95959

And TBD

Name and Address of Contractor TBD

2 Materials Management

In accordance with FHWA Title 23 requirements, the Prime Contractor will perform Quality Control (QC) as outlined in the project specifications and the Merced County will implement a Quality Assurance (QA) acceptance program consisting of verification activities that are independent of the Prime Contractor. Merced County has created a comprehensive material priority list that is based upon the consequence of failure of materials. This priority list helps the project’s Structural Material Representatives (SMRs) to determine the level of source inspection required. The priority list is described under Section 2.2.1 of this document.

2.1 Roles and Responsibilities

A project organizational chart specific to the construction phase quality management responsibilities for Source Inspection is provided in Figure 1.


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2.1.1 Agency Roles and Responsibilities

To supplement Figure 2, Table 8 below presents a list of Merced County personnel and qualifications. Copies of qualifications are included in Appendix C.

Table 8: Roles and Responsibilities

Title Responsibilities Name s Qualification Company Phone Email

Resident

Engineer (RE)

• Management of the

NV5 team

• Technical and

administrative oversight

• Coordinate technical

support

• Interface with County

of Merced, contractor,

designer, Caltrans,

utilities, other agencies

• Contract administration

• Contract change order

management

• As‐built coordination

• Management of

construction inspectors

• Safety oversight

• Coordinate survey and

materials testing

consultants

• Submittal review,

processing

• Schedule management

Bryan

Kroeger

PE Civil CA NV5 559-367-

6262

Bryan.Kroeg

[email protected]

Structure

Representative

(SR)

• Review falsework,

shoring

• Substructure elements

• Superstructure

elements

• Review Contractor

structural submittals

• Quality acceptance of

structures work

Leland

Mason

PE Civil CA Quincy

Engineeri

ng

916-600-

0452

LelandM@q

uincyeng.co

m


11/20/15 Rev. 0 Page 5

Assistant

Resident

Engineer

(ARE)

• Control material

inspection

documentation

• Produce SIQMP

Monthly Summary

Reports

• Keep construction files

updated and available for

audit

• Submittal Review

Kramer

Walker

PE Civil CA

NV5 559-240-

5494

Kramer.Wal

[email protected]

m

Structural

Materials

Representative

(SMR)

• Review Contractor

Quality Control Plans

• Coordinate all

materials source

inspections

Kramer

Walker

PE Civil CA NV5 559-240-

5494

Kramer.Wal

[email protected]

m

Construction

Inspector

•Field inspection

services

• Quality acceptance

• Daily diaries,

inspection reports

• Monitor contractor

safety plan

• Materials sampling

• Quantity verification

• Equipment utilization

monitoring

• Roadway operations,

structures and utilities

installations and

relocations

• Traffic control

monitoring

John Galli,

Others TBD

NV5 916-790-

4570

John.Galli@

NV5.com

Tester/Source

Inspector

• Materials sampling

• Source Inspections

• Materials testing

John H.

Atkinson

See project

files for tester

certifications

NV5 530-478-

1305

[email protected]

mailto:[email protected]

mailto:[email protected]


11/20/15 Rev. 0 Page 6

Additional names and qualifications of inspection and testing staff will be appended after award of

construction contract depending on location and type of source inspected materials.

Figure 2: Construction Phase Quality Management Responsibilities for Source Inspection

2.1.2 Contractor Information

Table 9 summarizes minimum Quality Control qualifications for Contractor personnel as required by the project Special Provisions.

Table 9: Minimum Qualification for Contractor’s Quality Control

Quality Control Manager (QCM) – Precast Experienced in Quality Control and Concrete

Quality Control Manager (QCM) – Steel AWS CWI or PE Civil CA

Joe Giulian, PE

Bryan Kroeger, PE

Bryan Kroeger, PE

Leland Mason, PE

Source Inspection (Agency SMR) Kramer Walker, PE


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Concrete QC Inspector PCI Level II or PE Civil CA

Steel QC Inspector AWS CWI

NDT QC Inspectors ASNT TC-1A Level II

Coating QC Inspectors NACE Level II

2.2 Verification Source Inspection and Documentation

2.2.1 Procedure to Identify Materials for Source Inspection

Merced County will follow a similar system to the Caltrans procedure for identifying items that will require Source Inspection. Merced County has generated a Materials Priority List as described previously in Section 2. Each material bid item has been categorized in Table 10 and is supplemented by Section 2.2.4.1 which details the frequency of verification inspection for source inspection items.

Priority 1 materials are items with significant safety concern or high maintenance cost

associated with a failure. These items normally have a QA inspector at the facility

throughout the fabrication time period and a tag issued at completion along with a final

inspection report. When multi-shift operations occur, either a single inspection will cover

both shifts, or multiple inspectors are assigned to ensure adequate quality assurance

checks. Such inspection is considered “extensive” but inspectors are performing quality

assurance checks only and are not required to be at the shop continuously. Priority 1

items are broken into Priority 1a, 1b, and 1c in Section 2.2.4.1 where the source

inspection process is more fully described.

Priority 2 materials are items with moderate safety concern or moderate maintenance

cost. Normally part time QA inspection is conducted. Part time inspection consists of

either spot checks of the work during the fabrication time period, or inspection of the item

by qualified QA personnel after all work is complete. A tag is issued at completion of

work along with a final inspection report.

Priority 3 materials are items with low safety concern or low maintenance cost and are

normally released in the field with receipt of a Certification of Compliance (COC) and/or

other material documentation. Source inspection of these items is not required.


normally released in the field upon visual inspection by the field engineer for compliance

with the Contract specifications. COCs and other material documentation are not

required.

In addition to the material property list and the “priority” definitions, the following additional criteria are used to determine the frequency and extent of Source Inspection by the SMR:

Past performance of the fabricator (confidence in the QC process).

Special circumstances, such as emergency or change order work that may require

additional tracking and/or inspection.

Past issues with the product performance.

Unique or unusual characteristics or expectations.


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2.2.2 Authorized Materials and Audited Facilities List

For some materials, the project Special Provisions will require that the Contractor use Authorized Materials that are prequalified by Caltrans. Merced County will conduct Source Inspection for each of these items as classified in Table 10. The list of Caltrans prequalified materials is accessible at the following link:

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

Where the Special Provisions require Caltrans audited facilities to be used, Merced County will require the Contractor to use such facilities for any materials provided on the project. Merced County will conduct Source Inspection for each of these items as classified in Table 10. The list of Caltrans audited facilities list is accessible at the following link:

http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Internet_auditlisting.pdf

2.2.3 List of Materials in the State Highway System Right-of-Way (ROW)

All materials listed in Table 10 are within the Caltrans ROW. Estimated quantities and location of inspection to be performed are included.

2.2.4 Table of Items to be Source Inspection

Frequency of source inspection is dependent upon the priority of each item. Table 10 indicates the priority of each item listed. Table 10 is supplemented by Section 2.2.4.1, which further describes the frequency of inspection.

2.2.4.1 Frequency of Source Inspection

This section further defines the inspection frequency for Priority 1, 2, 3 and 4 items.

Priority 1 materials are items with significant safety concern or high maintenance costs

associated with a failure. As stated previously, Priority 1 items are broken into Priority

1a, 1b, and 1c as described below. Specific Source Inspection procedures and

requirements for Priority 1 items are outlined in the referenced appendix noted in Table

10.

o Priority 1a items are those that have fabrication processes that are deemed as a

high priority to see on an ongoing basis. For these items, a QA Inspector will be

assigned to the fabrication facility on a full time basis to provide extensive QA

coverage.

o Priority 1b items are those that require inspection only during important points in

the fabrication process. For these items, the SMR will assign a QA inspector to

the fabrication facility on a part-time basis. A final inspection and release of the

product after all work and testing is complete will be performed at the source.

o Priority 1c items are those that require QA source sampling but not QA

inspection. As outlined in the appendices, the SMR will send a QA inspector to

the facility to sample these items, or the Contractor will provide a sample to the

SMR. A final release of the product will occur after all testing is complete.

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

http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Internet_auditlisting.pdf


11/20/15 Rev. 0 Page 9

Priority 2 materials are items with moderate safety concern or moderate maintenance

costs. Normally part time QA inspection is conducted. Part time inspection consists of

either spot checks of the work during the fabrication time period, or inspection of the item

by qualified QA personnel after all work is complete. Specific Source Inspection

procedures and requirements for Priority 2 items are outlined in the referenced appendix

noted in Table 10. A tag is issued at completion of work along with a final inspection

report.


normally released in the field. These items are released in the field following visual

inspection and upon receipt of Certificates of Compliance (COC) and/or any other

required material documentation. The documentation required to be submitted with

these items is outlined in the Standard Specifications and project Special Provisions.


normally released in the field upon visual inspection by the field engineer for compliance

with the Contract specifications. COCs and other material documentation are not

required.

Table 10: Items to be used in the Caltrans Right of Way

PART A BID ITEMS

Bid No.

Bid Item Description

Quantity

Material

Inspection Location

Priority

Reference Appendix

6 Construction Area Signs 1 LS All Components Field 4

8 Type III Barricade 4 EA All Components Field 4

10 Temporary Pavement Marking (Paint)

50 SQFT All Components Field 3

11 Temporary Traffic Stripe (Paint)

43,200 LF All Components Field 3

12 Channelizer (Surface Mounted)

16 EA All Components Field 4

13 Traffic Plastic Drum 170 EA All Components Field 3

14 Portable Changeable Message Sign

1 LS All Components Field 3

15 Temporary Railing (Type K) 4,110 LF All Components Field 3

16 Temporary Alternative Crash Cushion


20 Temporary Drainage Inlet Protection


21 Temporary Fiber Roll 6,320 All Components Field 3

22 Temporary Gravel Bag Berm 80 LF All Components Field 4

23 Temporary Construction Entrance


25 Temporary Concrete Washout

1 EA Gravel Filled Bag Field 3

Plastic Liner Field 3

All Other Components

Field 4


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32 Hydro Mulch 432,000 SQ FT

All Components Field 3

33 Fiber Roll 16,200 LF All Components Field 3

34 Straw 432,00 SQ FT


35 Hydroseed (Type 1) 432,000 SQ FT


36 Hydroseed (Type 2) 40,600 SQ FT


37 Compost 1,070 CY All Components Field 4

38 Class 3 Aggregate Subbase 5,420 CY All Components Field 4

39 Class 4 Aggregate Subbase 7,410 CY All Components Field 4

40 Class 2 Aggregate Base 6470 CY All Components Field 4

41 Hot Mix Asphalt (Type A) 12,200 TON All Components Field 4

42 Place Hot Mix Asphalt Dike (Type E)

2050 LF All Components Field 4

43 Place Hot Mix Asphalt (Miscellaneous Areas)

680 SY All Components Field 4

44 Tack Coat 11 TON All Components Field 3

46 Structural Concrete, Drainage Inlet

77 CY All Components Field 4

47

Utility Pole Protection 3 EA All Components Field 4

48 Minor Concrete (CAP) 3 CY All Components Field 3

49 18” Reinforced Concrete Pipe 2380 LF All Components Field 4



52

18” Concrete Flared End Section


53

36” Concrete Flared End Section


54

Modified Manhole (Type 1) 3 EA


57

Culvert Slurry – Cement Backfill

72 CY


58

Rock Slope Protection (60LB, Class II, Method B)

39 CY


59 Rock Slope Protection Fabric (Class 8)

110 SQ YD All Components Field 3

60 Concrete (Concrete Apron) 1 CY All Components Field 3

61 Minor Concrete (Curb) 12 CY All Components Field 3

62 Minor Concrete (Curb) 220 CY All Components Field 3

63 Minor Concrete (Driveway) 150 CY All Components Field 3

64 Minor Concrete (Sidewalk) 23 CY All Components Field 3

65 Minor Concrete (Textured Paving)


66 Minor Concrete (Curb Ramp) 2 CY All Components Field 3

67 Miscellaneous Iron and Steel 7,280 LB All Components Field 3


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71 Emergency Vehicle Detection System

1 LS All Components Field 3

77 Chain Link Fence (Type CL-4)


80 Pavement Marker (Retroreflective)

540 EA All Components Field 3 F

81 Object Marker (Type N) 2 EA All Components Field 3 F

82 Object Marker (Type P) 4 EA All Components Field 3 F

83 Object Marker (Type K-1) 2 EA All Components Field 3 F

85 Furnish Single Sheet Aluminum Sign (0.063-

Unframed)

80 SQ FT All Components Field 3 F

86 Roadside Sign – One Post 6 EA All Components Field 4

87 Install Sign (Strap and Saddle Bracket Method)


88 Thermoplastic Traffic Stripe 18,500 LF All Components Field 3

89 Thermoplastic Pavement Marking

1,140 SQFT All Components Field 3

92 Signal and Lighting System 1 LS * * * N

PART B BID ITEMS

28 Structural Excavation (Bridge)


29 Structural Backfill (Bridge) 634 CY All Components Field 4

31 Settlement Platform 12 EA All Components Field 3

74 Furnish Piling (Class 200) (Alternate W)

9,084 LF All Components Field 3 K

75 Drive Pile (Class 200) (Alternate W)


76 Prestressing Cast-in-Place Concrete

1 LS Tendons Source 1c M

All Other Components

Field 3 M

77 Structural Concrete, Bridge Footing


78 Structural Concrete, Bridge 1,669 CY All Components Field 3

79 Structural Concrete, Bridge (Polymer Fiber)


80 Structural Concrete, Approach Slab (Type EQ)


82 Architectural Treatment (Cobblestone Texture)

1,891 SQ FT All Components Field 4

83 Architectural Treatment (Exposed Aggregate Finish)

10,359 SQ FT


84 Joint Seal Assembly (MR 2-1/2”)

153 LF Assembly Field 3 H

85 Bar Reinforcing Steel (Bridge)

641,663 LB All Components Field 3 I

Epoxy Pile A Bars, Galvanized

Pin Bars

Source or Field

2 I

86 Headed Bar Reinforcement 148 EA All Components Source 1c I


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91 Welded Steel Pipe Casing (Bridge)


100 Slope Paving (Concrete) 130 CY All Components Field 3

112 Miscellaneous Metal (Bridge) 507 LB All Components Field 3

138 Tubular Bicycle Railing 329 LF Railing Field 3

Anchorage Field 2 G

145 Concrete Barrier (Type 732 MOD)

1,730 LF All Components Field 3 I

146 Concrete Barrier (Type 732 B MOD)

570 LF All Components Field 3 I

*For all Electrical items, see Appendix N for material management requirements.


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2.2.5 Specialty Materials – Proprietary Systems

At this time the project does not include specialty materials and proprietary systems, if such systems are deemed necessary they will be added here by amendment.

2.2.6 Project Materials Distinction

Merced County will apply the same priority system and inspection process to all materials.

2.2.7 Project Materials Management

Merced County will utilize the similar nomenclature as Caltrans for material management. The RE will ensure that the Contractor will submit a CEM-3101 “Notice of Materials to be Used” form for all materials to be incorporated into the project. The form lists the vendors and fabricators providing materials for this project. Upon receipt of each CEM-3101 form, the RE will determine, based on the Merced County’s prioritization procedure as described earlier, whether the material listed requires inspection at: 1) the source by QA personnel or 2) field by construction personnel.

1. Source Inspection: The Contractor submits Form CEM-3101 to the RE, who

determines if the material listed requires source inspection. If material listed on Form

CEM-3101 requires source inspection (Priority 1 or 2), the RE will send to the SMR, who

will complete form TL-0608 “Notice of Materials to be Furnished for Inspection” and

provide back to the RE. The RE will transmit to the Contractor for distribution to the

vendor or fabricator. This document informs all parties that Merced County will perform

inspection and release of material prior to being sent to the jobsite. A TL-0038

“Inspection Request” will be included with the TL-0608 to be sent to the vendor or

fabricator. The vendor or fabricator will return the TL-0038 back to the Contractor to

request an inspection date. The Contractor will forward to the Resident Engineer and

SMR. When the SMR receives the TL-0038, the SMR will schedule and assign QA

inspectors to carry out the source inspection activities as outlined in this SIQMP.

2. Field Inspection: If the material listed on the CEM-3101 form does not require source

inspection (Priority 3 or 4), the inspection is assigned to the Resident Engineer at the job

site through the use of TL-0028 “Notice of Materials to be Inspected at Jobsite”. The

Prime Contractor and the vendor or fabricator are also sent a copy of the TL-0028 in

order to inform them that Source Inspection is not required prior to shipment to the

jobsite. If the material is listed in Table 10 as Priority 3, the field personnel will collect

the required COCs and/or any other required documentation upon delivery of the

material to the jobsite.

2.2.8 Documentation

2.2.8.1 Quality Assurance Inspection Forms

Merced County will document the daily QA inspection activities for the project. Sample QA inspection forms to be used are included in Appendix D and listed below:


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Material Management

o CEM-3101 “Notice of Materials to be Used”

o TL-0028 “Notice of Materials to be Inspected at Jobsite”

o TL-0608 “Notice of Materials to be Furnished for Inspection”

o TL0038 “Inspection Request”

Field Inspection

o CEM‐4102 “Materials Inspected and Released on Job”

Source Inspection/Material Verification

o TL-0029 “Report of Inspection of Material”

o TL-0624 “Inspection Release Tag” (Orange Tag)

o TL-0625 “Material Suitability Tag” (Blue Tag)

o TL-0101 “Sample Identification Card”

o TL-0102 “Field Inspectors Fastener Assembly Sampling Sheet”

o TL-6011 “Component Material Inspection Report” (Green Tag)

o TL-6012 “Report of Inspection of Stock Material”

o TL-6013 “Materials Suitability Documentation Report”

o TL-6014 “Material Suitability Report”

o TL-6034 “Source Inspection Report”

Electrical Reports

o ECR-0001 “Electrical Test Report”

Welding Reports

o TL‐6031 “Welding Inspection Report”

Non-Destructive Testing Reports

o TL‐6026 “Penetrant Test Report”

o TL‐6027 “Ultrasonic Test Report”

o TL‐6028 “Magnetic Particle Test”

o TL‐6029 “Radiographic Film Review Summary”

Issue/Non-conformance Reports

o TL‐0015 “Quality Assurance ‐ Nonconformance Report”

Issue/Non-conformance Resolution Reports

o TL‐0016 “Quality Assurance ‐ Nonconformance Resolution”

Other

o CEM-3701 “Test Result Summary”

o CEM‐4101 “Materials Release Summary”

o TL-6045 “Inspection Checklist for Overhead Sign Structures”

o “Inspection Checklist for Signal and Lighting Support Structures”

o CEM-6302 “Final Materials Certification”

2.2.8.2 Review and Distribution of QA Source Inspection Forms

Upon completion of each report, the inspector will send the inspection report(s) to a reviewer. The reviewer will transmit the reviewed inspection reports to the SMR. The SMR will distribute


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to the Resident Engineer and Structure’s Representative. All reports will be filed and available to the Caltrans OSMR upon request or during an audit.

2.2.8.3 Material Acceptance

Material acceptance depends on: 1) material release from the point of source inspection, 2) obtaining proper certifications from the Contractor, and 3) performing field inspection. All inspection and material acceptance shall follow this SIQMP and the project specifications.

For items to be source inspected (Priority 1 and 2), the specific inspection processes for each item are based on the Office of Structural Materials Quality Assurance and Source Inspection QASI Manual dated November 10th, 2017and are outlined in their corresponding appendices. The following generally describes the Source Inspection material release process:

If the material conforms to the project specifications and is intended to be shipped to the

jobsite, the QA inspector will release the material with an Orange Tag (TL-0624

“Inspection Release Tag”), and will issue a TL-0029 “Report of Inspection of Materials”.

If the material has been inspected at one fabricator and is intended to go to another

fabricator for further fabrication, the QA inspector will release the material with a Green

Tag and will issue a TL-6011 “Component Material Inspection Report”.

If the material does not meet all the contract requirements, but the Resident Engineer

and SMR determine the material is suitable for its intended purpose on the project, the

QA inspector will release the material with a Blue Tag (TL-0625 “Material Suitability

Tag”). The SMR will issue a TL-6014 “Material Suitability Report”. See Section

2.5.2.4.1 of this SIQMP for details regarding material non-conformance blue tag release

procedure.

For items to be field inspected (Priority 3 or 4), the following generally describes the Source Inspection material release process:

It the material is Priority 3, a COC and/or other material documentation is required per

the Standard Specification and project Special Provisions. Upon delivery of these

materials to the jobsite, the field inspector will collect required documentation. The field

inspector will visually inspect the materials for compliance with the contract

requirements. If the material meets all contract requirements, form CEM-4102 “Materials

Inspected and Released on the Job” will be completed and provided to the Resident

Engineer along with required material documentation, and the material will be allowed to

be incorporated into the work. If the material fails to meet the contract requirements, the

material will be rejected.

If the material is Priority 4, material documentation is not required. The field inspector

will visually inspect the materials for compliance with the contract requirements. If the

material meets all contract requirements, form CEM-4102 “Materials Inspected and

Released on the Job” will be completed and provided to the Resident Engineer, and the

material will be allowed to be incorporated into the work. If the material fails to meet the

contract requirements, the material will be rejected.


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Note the above general acceptance procedures are for the Source Inspection process only. Field acceptance tests, prequalification, test strips, etc. will also be conducted in accordance with the frequencies specified in the Caltrans Construction Manual and the project specifications.

2.2.8.4 Inspection Report Filing

All Merced County inspection report forms and documents will be distributed to the Resident Engineer, who will be responsible for filing such documents. Completed forms will be filed in the following Caltrans Construction filing categories:

31 – Notice of Materials to Be Used

32 – Notice of Materials to Be Inspected

33 – Notice of Materials to be Furnished for Inspection

41.0 – Report of Inspection of Material

41.1 – Materials Inspected and Released on Job

Categories 31, 32 and 33 will be subcategorized by Notice of Material (NOM) number. Categories 41.0 and 41.1 will be subcategorized by bid item number.

The reports will be available to the OSMR at any time. Storage of the hard copy reports will be kept at the NV5 construction office at the following address:

NV5 Campus Parkway Project Trailer

Address TBD

2.3 Verification Lab Testing and Documentation

2.3.1 Qualification of the Verification Testing Laboratory

Qualified private laboratories shall perform only one of the following types of testing on the same project: Verification testing, QC testing, or Dispute Resolution testing.

Laboratories are required to have the appropriate lab qualifications for the applicable materials on this project (e.g., ISO 17025 for steel and AASHTO Accreditation Program (AAP) for concrete). QA testing required by the project specifications and this SIQMP will be performed by one of the following certified laboratories that are on contract: Blackburn or NV5. Appropriate certifications for the laboratories and testers will be on file in Category 39.

2.3.2 List of Verification Tests and Frequencies

A list of verification tests and testing frequencies that will be implemented on this project when applicable has been provided as Appendix E.

2.3.3 Verification Material Filing System

The material verification test reports and documentation will be filed following the procedures described for material acceptance documentation in Section 2.2.8.4.


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2.3.4 Example Forms for Sampling and Testing

A TL-0101 “Sample Identification Card” is used for samples collected at the source. Test reports are developed for all samples sent for testing. A tracking number is assigned and a receiving date is recorded when the sample is collected. The format for the tracking number is XX-TTT-YY, where:

XX is the last 2 digits of Inspector Employee Number

TTT is the sequential number (001 -999)

YY is the 2 digit year

Testing results are reviewed by a lab representative, and then transmitted to the Resident Engineer and SMR.

2.3.5 Verification/QC Testing Laboratory Conflict of Interest

The Merced County’s verification and testing facilities are independent testing laboratories that are contracted by Merced County which only perform verification testing on this project.

2.4 Contractor Quality Control Plans

Merced Count will receive and review Quality Control Plans as required by the project specifications. If Caltrans audited facilities are used on this project their QC plans will be submitted and filled. All QC plans will be reviewed and filed in accordance with NV5’s project filing system, which mirrors the Caltrans uniform filing system. Plans are required for the following items of work:

Hot Mix Asphalt

Sign Panels

2.4.1 Review of QC Plans

2.4.1.1 Hot Mix Asphalt

A Hot Mix Asphalt (HMA) Quality Control Plan will be submitted to Merced County with the Contractor’s proposed Job Mix Formula (JMF). The quality control plan shall comply with Section 39-2.01A(3)(c) of the 2015 Standard Specifications.

After receiving the HMA quality control plan from the Contractor, the Resident Engineer will begin review. The Resident Engineer has 5 days to review the plan. Upon completion of the review, the Engineer will respond accordingly to the Contractor.

2.4.1.2 Sign Panels

A Sign Panel Quality Control Plan will be submitted to Merced County at least 15 days prior to starting sign fabrication. The quality control plan shall comply with Section 82-2.01Cof the 2015 Standard Specifications.


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After receiving the Sign Panel Quality Control Plan from the Contractor, the Resident Engineer will begin review. The Resident Engineer has 15 days to review the plan. Upon completion of the review, the Engineer will respond accordingly to the Contractor.

2.4.2 Pre-operation Meetings

Pre-operation meetings will be held for the following items of work:

Hot Mix Asphalt

The attendees of pre-operation meetings and the items discussed will be in accordance with the requirements of the applicable project specifications. Meeting minutes will be completed and available for review by the OSMR at any time.

For each activity/process identified for the Project, the Contractor and subcontractors involved in construction operations of the activity/process shall meet with the Engineer at a pre-operation conference, at a mutually agreed time, to discuss methods of accomplishing all phases of the construction operation, contingency planning, and standards of workmanship for the completed item of work. The RE shall record minutes of the meeting and include them in the Materials Filing System.

The Contractor shall provide the facility for the pre-operation conference. The Contractor's superintendent, foremen, subcontractors, field staff, plant personnel including plant supervisors, manager, and operator involved with the activity/process shall attend the pre-operation conference. The Contractor shall submit a list of participants to the Engineer for approval. The complete listing shall identify each participant's name, employer, title and role in construction of the activity/process. Construction operations of the activity/process shall not begin until the specified personnel have completed the mandatory pre-operation conference and the Engineer has approved of the construction operation, contingency planning, and standards of workmanship for the completed item of work.

2.5 Issue Resolution

Issues that arise during the QA inspection will be handled at the lowest possible level and elevated according to the organizational chart. Formal documentation for issue resolution including Requests for Information (RFIs) and Non-Conformance Reports (NCRs) will be handled through the following procedures:

2.5.1 CCOs, RFIs and NCRs

RFIs are formal requests for additional information or clarification regarding the design and construction of the project which may be initiated by anyone associated with the project. An RFI is not a request to change the design; it is only to clarify features or the intentions of the existing design. A response to an RFI that changes the design may require the issuance of a Contract Change Order (CCO). The SMR will be made aware of these items in order to properly manage the materials on the project. The SMR is also responsible for distributing such information to the QA source inspectors, as needed.

The SMR will be informed of approved CCOs, RFIs, or other revisions to the project plans and specifications that may affect Source Inspection procedures. As such, for Materials related


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CCOs, RFIs, and changes to the plans or specifications, the SMR will be copied on correspondence and in attendance at meetings related to materials. The SMR will be copied on any materials related items at the same time or prior to issuance to the Contractor.

Nonconforming conditions identified on material, equipment, or product of in-process or completed work will be documented and tracked on a TL-0015 “Quality Assurance – Nonconformance Report”. The tracking of NCRs will ensure the nonconforming conditions are resolved and will prevent the incorporation of nonconforming items into the completed work. This control provides for the identification, documentation, segregation, evaluation, and disposition of the condition. It also provides notification to those concerned, and who is accountable for each nonconformance condition.

2.5.2 Instances Requiring NCRs Materials

2.5.2.1 NCR on Product

QA inspectors will write an NCR on the product under the following circumstances:

A QA inspector identifies materials that do not meet contract requirements, and the

Contractor’s quality control (QC) personnel have already accepted the material.

A QA inspector will write an NCR for material if the Contractor cannot correct the

deficiency within a work shift.

o Note: A QA inspection will typically not write a NCR on a material that will be

corrected within a work shift and the nonconformance is not repeated.

QA inspection reveals obvious attempts to hide processes or products that do not meet

the Contract requirements.

Contractor ships material without a release tag.

QA inspectors will typically not write an NCR on Material under the following circumstances:

Material that has not been inspected and accepted by the Contractor’s QC personnel.

Material that can be repaired or fixed within a work shift of when the deficiency is

discovered, unless inspection reveals obvious attempts to hide the nonconformance as

noted above.

Material that has been identified by QC that does not meet the Contract requirements

and be repaired during production.

Rejectable discontinuities found through nondestructive test by QA inspector in areas

not tested by QC and repairs are commenced promptly.

Note: When an NCR is not issued for the circumstances above, the conversations and actions will be noted in the inspection report by the QA inspector.

2.5.2.2 NCR on Personnel/Product

QA inspectors will write an NCR on the Quality Control personnel under the following circumstances:


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A QA inspector identifies material that does not meet the Contract requirements, and the

Contractor’s QC personnel have already accepted the material.

The third occurrence of the same deficiency regardless of the Contractor’s ability to

correct the problem within a work shift as stated in Section 2.5.2.1.

o Note: An NCR is not required on the first or second occurrence of a deficiency

only if QC personnel acknowledge the problem and ensure it is corrected within a

work shift.

Any nonconforming item that is a repeat of a previous item that results in an NCR.

Any action taken by QC that is not in conformance with the Contract requirements or any

attempts to hide nonconforming items.

2.5.2.3 NCR Procedure Details

QA inspectors will ensure the following procedures are met when dealing with NCRs:

The QA inspector discovers a problem or deficiency and informs QC and/or a

responsible representative from the Contractor of the issue. QA inspectors are not

authorized to stop work. QA inspectors will identify the Contractor’s areas of

nonconformance. However, NCRs will not be provided to the Contractor or QA

personnel by the QA inspector.

The QA inspector contacts the SMR to discuss the issue:

o The SMR makes the final decision if an NCR is required.

o The SMR will notify the Resident Engineer of the NCR.

o The SMR will review the NCR and forward to the Resident Engineer.

2.5.2.4 NCR Resolutions

Once nonconformance situations are identified and reported, the disposition and corrective action to bring the condition back into conformance will be evaluated by the Resident Engineer. Potential resolutions to non-conformances include:

Rework to meet the originally specified requirements.

Repair to achieve fitness for use

Accept the conditions as is (requires a CCO).

Reject the condition by removing it and replacing with material meeting the specified

requirements.

Fit for purpose evaluation, blue tag, as described in 2.5.2.4.1 below.

A QA inspector or the SMR will complete a TL-0016 “Quality Assurance – Nonconformance Resolution” when the issues is resolved.

2.5.2.4.1 Fit-for-Purpose Evaluation (Blue Tag Release)

The alternative fit-for-purpose evaluation and blue tag release procedure will allow the QA inspector to release the material when the Resident Engineer determines the material is suitable for its intended purpose on the project but does not meet all the Contract requirements. The fit-


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for-purpose procedure may be initiated by NCR, RFI, submittals, shop drawings, Contractor requests, observations, meetings, or other forms or revisions.

For fit-for-purpose releases, the Resident Engineer will complete a TL-6013 “Materials Suitability Documentation Report” and will provide written notification to the SMR. The SMR will then notify the QA inspector. In such cases, the QA inspector will release the material with a blue tag and will issue a TL-6014 “Material Suitability Report”. The TL-6014 will contain the SMR’s written recommendation as a supporting document.

2.5.3 Procedures for Handling Disagreements

Every effort will be made to resolve disputes between the Owner’s and Contractor’s inspection staff at the lowest level, and will be elevated according to the organization charts and timelines established during the initial project partnering meeting.

3 Reporting QA Verification Documentation to Caltrans IQA

3.1 Monthly Summary Report

On the 1st of each month, the SMR will produce an SIQMP Monthly Summary Report (MSR) that describes the materials acceptance activities performed for that period. The report will include at a minimum the following:

A statement verifying continued compliance with the SIQMP signed by the Resident

Engineer.

Response to Caltrans IQA audit findings.

Summary of verification source inspection work completed over the reporting period and

summary of work anticipated in the next period.

Summary of NCRs issued and status of those outstanding.

Summary of any changes to the plans or specifications.

The MSR will be reviewed and verified by the Resident Engineer before distribution to the Caltrans OSMR.

Merced County understands that individual inspection reports are not required to be submitted with the MSR. Merced County will file the inspection and other reports per Section 2.2.8.4 of this document and will make them available for audits.

During an audit the supporting documentation is to be made available within 10 working days. Examples of supporting documentation include:

Material management documentation

Structural related QC reports

Fabrication related QC reports

QA inspection reports

Material Test Reports by the Contractor

Verification Material Test Reports by QA


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Nonconformance Reports and Nonconformance Resolutions

Certificates of Compliance (COCs) by the Contractor

Submittal review comments for Contractor-submitted Quality Control plans

3.2 Final Acceptance Letter

Upon completion of all work, the Resident Engineer will provide the Caltrans Oversight Resident Engineer and Oversight Structural Materials Representative with a stamped letter stating that these approved SIQMP procedures were following during the lift of the project. In addition, the Resident Engineer will complete and submit form CEM 6302 “Final Materials Certification”.