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
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
Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011)
Caltrans requires that local agencies receiving funds for a Federal-aid transportation project must have a QAP
Updated as needed, at least every 5 years
QAP shall be approved by the Public Works Director (Section 3.2)
QAP Manual Requirements
Quality Assurance Program (QAP) Manual for Use by Local Agencies (January 20, 2011)
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
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
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
R-Value
California Test 301
50 lb
Materials site or stockpile
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
Materials site or stockpile
1 per project; see Remarks
Durability test not required for Class 3 aggregate base
Moisture
California Test 226
25 lb
Materials site or stockpile
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) a re a pp 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 p er form any Acceptance (Verif ica 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
CORE ELEMENTS OF A QA PROGRAM
Agency Acceptance
Personnel Qualification
Dispute Resolution
QA Program
Lab Qualification
Independent Assurance
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
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
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
R-Value
California Test 301
50 lb
Materials site or stockpile
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
Materials site or stockpile
1 per project; see Remarks
Durability test not required for Class 3 aggregate base
Moisture
California Test 226
25 lb
Materials site or stockpile
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
Fresh
Concrete
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
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 gineerin g 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)
Ag
ency
or
Co
ntr
acto
r R
isk
Dir
ec
t C
os
t ($
)
BALANCING RISK AND COST
1 2 3 4 5 6 7 Number of Test Samples (n)
Independent Assurance (IA) Fundamentals
CORE ELEMENTS OF A QA PROGRAM
Agency Acceptance
Personnel Qualification
Dispute Resolution
QA Program
Lab Qualification
Independent Assurance
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 components
Qualification 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 MONTHS
206*, 207*, 208*
SPECIFIC GRAVITY AND ABSORPTION
ONCE EVERY TWELVE MONTHS
211* LA RATTLER ONCE EVERY TWELVE MONTHS
213 ORGANIC IMPURITIES ONCE EVERY TWELVE MONTHS
223, 226 MOISTURE ONCE EVERY TWELVE MONTHS
229* DURABILITY INDEX ONCE EVERY TWELVE MONTHS
301* R-VALUE ONCE EVERY TWELVE MONTHS
302 FILM STRIPPING ONCE EVERY TWELVE MONTHS
303* CENTRIFUGE KEROSENE EQUIVALENT
ONCE EVERY TWELVE MONTHS
205 SWELL AND PERMEABILITY ONCE EVERY TWELVE MONTHS
307 VAPOR SUSCEPTIBILITY ONCE EVERY TWELVE MONTHS
338 TITRATION (CEMENT/LIME) ONCE EVERY TWELVE MONTHS
366* STABILOMETER VALUE ONCE EVERY TWELVE MONTHS
529 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 5.0
If the local agency has an in-house IA Program IA person should have familiarity with materials
testing IA staff must remain INDEPENDENT from acceptance
testing◦ Main function is to “test the acceptance tester”
Certify personnel within organization Not valid for project outside IA’s agency jurisdiction IA person should be first certified in the test method
used in certification; e.g. if ASTMs are used, IA person must be certified in ASTMs by recognized entity.
Participate in a proficiency testing program
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 Y
Sample 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