EXHIBIT 5
City of Santa Ana Quality Assurance Program 2020 Page 2 TABLE OF CONTENTSI. INTRODUCTION ....................................................................................................................3 II. PURPOSE .................................................................................................................................3 III. DEFINITION OF TERMS .......................................................................................................3 IV. CERTIFICATE OF PERSONNEL ...........................................................................................4 V. MANUFACTURED AND ASSEMBLED MATERIALS .......................................................5 VI. ACCEPTANCE TESTING AND SAMPLING ........................................................................5 VII. SOURCE INSPECTION ..........................................................................................................5 VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER ................................................6 IX. INDEPENDENT ASSURANCE PROGRAM ..........................................................................6 X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS ..............7 XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING .........7 XII. ASPHALT CONCRETE PAVEMENT .....................................................................................8 XIII. LIST OF EXHIBITS .................................................................................................................9 City of Santa Ana Quality Assurance Program 2020 Page 3 I. INTRODUCTION A Quality Assurance Program (QAP) consists of an Acceptance Program and an Independent Assurance (IA) Program that will provide assurance that the materials and workmanship incorporated into a construction project are in conformance with the contract specifications. A QAP should be updated as needed, and at least once every five years. There are no federal QAP regulations for local agency administered Federal-aid projects off the National Highway System (NHS). However, to ensure that a local agency is a good steward of public funds and to ensure that the materials and workmanship incorporated in a construction project are in conformance with the contract specifications, the use of a QAP is essential. Consequently, Caltrans has included the requirement in the Local Assistance Procedures Manual that every local agency receiving funds for a Federal-aid transportation project must have a QAP. This manual provides guidelines that local agencies can use to develop a QAP for all Federal-aid projects off the State Highway System (SHS) which would include agency transportation projects off the NHS and the essential connecting roads on the NHS that are off the SHS. II. PURPOSE The purpose of this program is to provide assurance that the materials incorporated into the construction projects are in conformance with the contract specifications. This program should be updated every five years or more frequent if there are changes of the testing frequencies or to the tests themselves. To accomplish this purpose, the following terms and definitions will be used: III. DEFINITION OF TERMS Acceptance Testing (AT) - Sampling and testing, or inspection, to determine the degree of compliance with contract requirements. Independent Assurance Program (IAP) - Verification that AT is being performed correctly by qualified testers and laboratories. Quality Assurance Program (QAP) - A sampling and testing program that will provide assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are the AT, and IAP. Source Inspection - AT of manufactured and prefabricated materials at locations other that the job site, generally at the manufactured location. In order to ensure that the materials and workmanship incorporated in each state and federally-funded project are in conformance with the contract specifications, the City of Santa Ana shall apply the following procedures:
City of Santa Ana Quality Assurance Program 2020 Page 4 IV. CERTIFICATE OF PERSONNEL Acceptance sampling and testing shall be performed by personnel of either the County of Orange's Materials Testing Laboratory or a private testing laboratory selected by the City. The personnel who will conduct the sampling and testing must be certified. They can be certified by Caltrans' District Materials Engineer, The National Institute for Certification in Engineer Technologies, or other authority acceptable by the Resident Engineer of the City of Santa Ana (Resident Engineer) to be proficient in acceptance sampling and testing. The personnel shall possess a current certificate of proficiency. A copy of each person's certificate must be on file in both Caltrans' District Materials Laboratory and in the Resident Engineer's office. The certificate shall list the sampling and testing which the individual is authorized to perform. The laboratory for the project must be under the responsible engineering management of a registered professional engineer with experience in inspection and testing of construction materials. This engineer must certify the results of all tests performed by the lab personnel under his/her supervision. Standard Specifications for Public Works Construction (Green Book) are used for all City projects. According to Section 4-1.3.3, the City shall select a testing laboratory to sample and test materials at locations too distant for the local testing lab to conduct testing and sampling. Depending on terms of the contract, the costs may be borne by the contractor but the contractor shall not select or exercise authority over this testing laboratory. Acceptance testers from either the Orange County Materials Testing Laboratory or a private testing laboratory shall carry adequate identification with them so that the Independent Assurance testing personnel can verify the acceptance testers' certificates. The City will obtain services from the County of Orange's and the private testing laboratories only after they show evidence that they meet the following criteria: 1. Correlation Testing Program: the materials laboratory shall be a participant in one or more of the following testing programs: a. AASHTO Materials Reference Laboratory (ARML) b. Cement and Concrete Reference Laboratory (CCRL) c. Caltrans' Reference Samples Program (RSP) 2. These testing laboratories are to maintain laboratory testing equipment in accordance with recognized national standards. 3. All their sampling and testing personnel used on the City projects are certified as described above. 4. They have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling or by another quality assurance organization.
City of Santa Ana Quality Assurance Program 2020 Page 5 V. MANUFACTURED AND ASSEMBLED MATERIALS The City shall accept manufactured or prefabricated structural materials based on either a Certificate of Compliance or/and source inspection by the City, Caltrans or a qualified private testing laboratory. Guidelines from Caltrans shall be used to determine which materials can be accepted based on certificates of compliance. The Resident Engineer shall ensure that a Certificate of Compliance is furnished with each lot of materials to be delivered to the site and that lot numbers and the project number be clearly identified on the certificate and on lot tags affixed or stenciled to the released materials. The certificates shall be signed by the manufacturer to certify that the materials and workmanship are in compliance with the project specifications. The project inspector's daily report shall make reference for all materials accepted on the basis of a signed Certificate of Compliance. Materials accepted on the basis of a Certificate of Compliance may be tested later. Items found not in compliance with contract requirements may be subject to rejection. A Certificate of Compliance for each item shall be kept in the Resident Engineer's file. Exhibits 16-T1 and 16-T2, attached, list materials requiring a Certificate of Compliance. VI. ACCEPTANCE TESTING AND SAMPLING The City, through its selected testing laboratory, shall conduct acceptance sampling and testing of materials and work on the first day such work is performed and continues daily until the work is completed. The Resident Engineer or the designated construction inspector shall maintain a material and testing "Summary Log", which shall include location and depth of samples, quantity of sample material, name of the tester, test results and retest result of the previously failed samples with cross reference numbers. The Frequency Tables can be used as guidelines for these tests. The selected testing laboratory which will conduct Acceptance Testing (AT) shall have and maintain current Caltrans Accreditation throughout the duration of contract. VII. SOURCE INSPECTION When the County of Orange and the private laboratories can't provide source inspection for the City, the City may request the assistance from Caltrans Office of Materials Engineering and Testing Services to provide the above mentioned inspections. The request shall be made sufficiently in advance and shall comply with the following: 1. Submit Request for Source Inspection (Exhibit 16-W) to Caltrans' District Local Assistance Engineer (DLAE) 30 days prior to submitting the "Request for Authorization to Proceed with Construction." City of Santa Ana Quality Assurance Program 2020 Page 6
2. DLAE notifies the City of the status of the above mentioned request and gives the City the EA (Expenditure Authorization) number and the estimated costs, if the City's request is accepted. 3. The City sends in the "Request for Authorization to Proceed with Construction," "Local Program Agreement Checklist" and "Finance Letter" to DLAE. 4. The City shall pay advance deposit to cover the estimated costs of the source inspection. 5. EA number will be shown on the bill. 6. Upon receiving them, the City shall execute the Program Supplement (PS) agreement and (LPA). 7. After award of the construction contract, the Resident Engineer is to complete the top portion of Form CEM-3101, Notice of Materials to be Used, and have the contractor complete the bottom portion of the form. The Resident Engineer shall send a cover memo (Exhibit 16-W), the Form CEM-3101, and one set of PS&E to Caltrans' District Materials Engineer. VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER When aggregate is sampled in the material source, results of sand equivalent, cleanness value and sieve analysis should be submitted within 24 hours. When soils and aggregate are sampled at the job site, results of these tests should be submitted within 72 hours. Compaction and density tests taken at the job site should be submitted within 24 hours. When soils and asphalt concrete are sampled at the job site, R value and asphalt extraction should be submitted in 96 hours. IX. INDEPENDENT ASSURANCE PROGRAM The Independent Assurance Program (IAP) includes, but is not limited to: a. Verifying the equipment used for acceptance testing is properly calibrated and in good working condition. Records of equipment calibrations should be kept with the equipment. b. Witnessing sampling and testing by the acceptance tester. c. Performing corroboration testing by the acceptance tester and impendent assurance personnel. d. A written procedure for dispute resolution. IAP services shall be provided by Caltrans.
City of Santa Ana Quality Assurance Program 2020 Page 7 X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS All material records of samples, tests, material releases and certificate of compliance for the project shall be part of the project file to be kept in one location. These records shall be kept in the City's central file office at least for three years and shall be available to be reviewed by Caltrans FHWA personnel at any time. Upon completion of the project, the Resident Engineer shall complete a Materials Certificate, Exhibit 17-G, incorporate this Certificate in the Report of Expenditure and send both to Caltrans District Director, Attention: District Local Assistant Engineer. A copy of this Certificate shall be included in the construction records. All materials used in the project which did not conform to the specifications must be justified and explained on the Materials Certificate, including the contract change order(s) that has been executed to reconcile the non-compliance. XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING The Resident Engineer may accept minor quantities of construction materials without testing, provided the following conditions are met: 1. The supplier has recently furnished similar materials found to be satisfactory using normal testing and sampling. Visual examination indicates the material is acceptable. 2. A certification is by the manufacturer indicating the material is in compliance with the specifications. To accept minor quantities of materials as described above, the project inspector shall submit a report indicating conditions under which the materials are accepted, including quantity, location where placed, certification number, visual inspection record and other relevant data. This report shall be filed with other project documents. The following list suggests maximum quantities of materials may be accepted without testing: 1. Aggregate - other than for use in Portland Cement Concrete, not to exceed 100 tons per day nor more than 500 tons per project. 2. Bituminous Mixtures - not to exceed 50 tons per day except in major street intersections, quantity shall be increased to 300 tons. Sampled at Resident Engineer's discretion if project total is less than 500 tons. 3. Bituminous Materials - not to exceed 100 gallons per day. 4. Paint - not to exceed 20 gallons per project. 5. Masonry Items - check dimensions of products and uniformity of manufacture. 6. Non-Reinforced or Clay Pipes - no more than 100 linear feet.
City of Santa Ana Quality Assurance Program 2020 Page 8 For typical projects, of size and quantities, in the City of Santa Ana the following "Frequency Table" shall be the material sampling and testing minimum standards. A final, bound/stamped, laboratory report is to be supplies to the Resident Engineer and retained in the project records. XII. ASPHALT CONCRETE PAVEMENT Plant inspection for daily quantities of 500 tons or more. o One per project minimum. Test Required: o Aggregate prior to mixing, per 1000 tons % crushed particles Sieve analysis Sand equivalent o Combined Mixture, per 1000 tons Stabilometer Asphalt oil content Maximum density In-place density o Liquid Asphalt Certificate of Compliance Field Compaction: o Tests shall be at 200' to 400' intervals in each lane paved. Tests shall be taken in each layer placed.
City of Santa Ana Quality Assurance Program 2020 Page 9 XIII. LIST OF EXHIBITS Exhibit 16-D (Certificate of Proficiency) Exhibit 16-G (Form MR-0104, Corroboration Report) Exhibit 16-H (Form MR-0110, Independent Assurance Sampling and Testing Log Summary) Exhibit 16-I (Form CEM-3101, Notice of Materials to be Used) Exhibit 16-K (Form MR-0029, Report of Inspection of Material) Exhibit 16-R (Size, Frequency and Location of Sampling and Testing Tables) Exhibit 16-S (Caltrans Test Method - ASTM Test method Conversion Chart) Exhibit 16-T1 (Materials Requiring a Certificate of Compliance per Caltrans Standard Specs) Exhibit 16-T2 (Materials Requiring a Certificate of Compliance per the Greenbook) Exhibit 16-W (Source Inspection Request to TransLab) Exhibit 16-Z2 (Acceptance Testing Results Summary Log) Exhibit 17-G (Materials Certificate) Exhibit W (Organization of Project Files) Orange County Public Works Quality Assurance Plan Local Assistance Procedure Manual Exhibit 16-D Certidicate of Proficiency January 2018 Page 1 of 1
CALIFORNIA DEPARTMENT OF TRANSPORTATIONCERTIFICATE OF PROFICIENCYIn the Sampling and Testing of Construction MaterialsThis certifies that is qualified to perform the following tests: CALIFORNIA TEST DATE CERTIFIED BY DATE RENEWED BY 202 Sieve Analysis 217 Sand Equivalent 226 Moisture Content 227 Cleanness Value 229 Durability Index 231 Relative Compaction-Nuclear 375 Relative Compaction of AC 379 Asphalt Content-Nuclear 504 Air entertainment in PCC 518 Unit Weight-PCC 523 Flexural Strength of PCC-Beams 533 Kelly Ball penetration-PCC 539 Sampling Fresh Concrete 540 Fabricating PCC Cylinders District Materials Engineer IAST Certificate # Certification expires three years from above dates. Note: This certificate is valid as long as the Acceptance Tester complies with the applicable requirements of the Caltrans Quality Assurance Program Manual for use by Local Agencies, December 2008 THIS FORM IS TO BE ON FILE AT THE DISTRICT MATERIALS LAB AND CONSTRUCTION OFFICES. A COPY OF THE MASTER LIST SHALL BE KEPT IN THE RESIDENT ENGINEERS PROJECT FILE. MR - 0111 (1/93) (Old HC-1)
Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency Exhibit 16-R Sampling and Testing Frequency Table for projects OFF the SHS Sample for Local Agency QAPs Sampling and Testing Frequency Table for projects OFF the SHS. HOT MIX ASPHALT (HMA) / ASPHALT CONCRETE (AC) Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Aggregate Gradation (Sieve) CT 202 1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during At Plant Per CT 125 (a) Sand Equivalent CT 217 Asphalt Binder Content CT 382 production/placement of at least 300 tons per day. Loose Mix Behind Paver Per CT 125 In-Place Density and Relative Nuclear (b) 1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during production/placement of at least 300 tons per day. (b) Random Locations Per CT 375 (c Compaction (Nuclear ) CT 375 or ASTM D2950 (c Theoretical Maximum Specific Gravity and Density (Rice) CT 309 1 Per Day During Production/Placement of At Least 300 Tons Per Day Loose Mix Behind Paver Per CT 125 HMA Moisture Content CT 226 or CT 370 Stabilometer Value (d) CT 366 Asphalt Binder Sample per Section 92 Sample 1 min. per day for production over 300 tons per day; See (f) regarding testing. At Plant Per CT 125 Smoothness 12-foot Straightedge As necessary to confirm contract compliance. Final Pavement Surface (a) Exact tonnage of sample location to be determined by Random Sampling Plans (b) Compaction determined by Neclear Density Device. Core testing required if compaction fails the neclear test (c) Correlation between core densities and nuclear device required only if compaction fails the nuclear test (d) Report the average of 3 tested briquettes from a single split source (e) Use CT 309 to determine maximum theoretical density in lieu of CT 367 calculated maximum theoretical density (f) No testing required unless warranted by concern ; sample and store until completion of project January 2018 Page 1 of 3 Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency SUBGRADE (DISTURBED BASEMENT SOIL) OR EMBANKMENT Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft under vehicle traveled way and shoulder 1 Min. Test Per 300 linear foot under sidewalk Random locations as determined by the Engineer in place after compaction. AGGREGATE BASES AND SUBBASES, IMPORTED BORROW Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sample from site stockpile/plant prior to placement. Sieve Analysis CT 202 1 Min. Test Per Material Source R-Value CT 301 Sand Equivalent CT 217 Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft Random locations as determined by the Engineer in place after compaction. STRUCTURE BACKFILL, SELECT BACKFILL Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sieve Analysis CT 202 1 Min. Test Per Material Source Sample from site stockpile/plant prior to placement R-Value CT 301 Sand Equivalent CT 217 Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test Per 2 Vertical Lifts of Placement Random locations as determined by the Engineer in place after compaction. January 2018 Page 2 of 3 Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency Quality Characteristic Minimum Sampling and Testing Frequency Quality Characteristic Minimum Sampling and Testing Frequency Test Method Location/Time of Sampling Test Method Location/Time of Sampling Quality Characteristic Minimum Sampling and Testing Frequency PORTLAND CEMENT CONCRETE (PCC) - STRUCTURAL AND SIGNAL/LIGHTING FOUNDATIONS COARSE AGGREGATE Sieve Analysis CT 202 Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Cleanness Value CT 227 abutment/pier/deck. FINE AGGREGATE Sieve Analysis CT 202 Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Sand Equivalent CT 217 abutment/pier/deck. WET MIX Test Method Location/Time of Sampling Slump/Penetration CT 533 2 per day Sample from truck/work site 1 min. set of 3 per day; If bridge, 1 min. set per separate pour of Cylinders CT 539/540 abutment/pier/deck. January 2018 Page 3 of 3
CALTRANS TEST METHOD - ASTM TEST METHOD CONVERSION CHARTTesting Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of StandarTEST PROCEDURE NOTE S 105 Calculations Pertaining to Gradings and Specific Gravities 2 125 Sampling Highway Materials (when approved) D75 4.02 Standard Practice for Sampling Aggregates 3 D979 4.03 Practice for Sampling Bituminous Paving Mixtures 3 201 Soil & Aggregate Sample Preparation C702 4.02 Reducing Field Samples of Aggregate to Testing Size 13 202 Sieve Analysis of Fine and Coarse Aggregate C136 4.02 Sieve Analysis of Fine and Coarse Aggregate C117 4.03 Material Finer Than 75-um (#200) Sieve in Mineral Aggregates by Washing 205 Percentage of Crushed Particles 1 206 Specific Gravity and Absorption of Coarse Aggregate C127 4.02 Specific Gravity and Absorption of Coarse Aggregate 207 Specific Gravity and Absorption, Fine Aggregate C128 4.02 Specific Gravity and Absorption, Fine Aggregate 208 Apparent Specific Gravity of Fine Aggregate 1 211 Abrasion of Coarse Aggregate by Use of the Los Angeles Rattler Machine C131 4.02 Resistance to Degradation , Small-Size Coarse Agg. by Abrasion & Impact, L.A. Machine 213 Organic Impurities in Concrete Sand C40 4.02 Organic Impurities in Fine Aggregate for Concrete 214 Soundness of Aggregates by Use of Sodium Sulfate 1 C88 4.02 Soundness of Aggregates by Use of Sodium Sulfate or Magnesium Sulfate 216 Relative Compaction of Untreated and Treated, Soils & Aggregates D1556 4.08 Density of Soil In-place by the Sand Cone Method D1557 4.08 Moisture-Density Relations of Soils & Soil-Agg. Mixtures, 10-lb. Rammer, 18-in 11 217 Sand Equivalent (only authorized method per Caltrans 07, District Materials 1,9 223 Surface Moisture in Concrete Aggregate 1 226 Moisture Content in Soils by Oven Drying C566 4.02 Total Moisture Content of Aggregate by Drying 227 Evaluating Cleanness of Coarse Aggregate 1 229 Durability Index 1 D3744 4.03 Aggregate Durability Index 231 Relative Compaction of Soils by the Area Concept Utilizing Nuclear Gages 4 D2922 4.08 Density of Soil & Soil-Aggregate In-place by the Nuclear Method 4
CTM - ASTM Testing Procedures - for local agency use onlyUse this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of Standards TEST PROCEDURE NOTES 301 R-Value of Treated & Untreated, Bases, Subbases & Basement Soils 1 D2844 4.08 R-Value and Expansion Pressure of Compacted Soils 302 Film Stripping D1664 4.03 Coating and Stripping of Bitumen-Aggregate Mixtures 303 Centrifuge Kerosene Equivalent 1 304 Preparation of Bituminous Mixtures for Testing 1 D1561 4.03 Prep. of Bituminous Mixture Test Specimens by Means of Calif. Kneading Compactor 305 Swell of Bituminous Mixtures 1 307 Moisture Vapor Susceptibility of Bituminous Mixtures 1 308 Bulk Specific Gravity and Weight Per Cubic Foot of Bituminous Mixtures D1188 4.03 Bulk Sp.G. and Density of Compacted Bituminous Mixtures, Paraffin-Coated Specimens 310 Asphalt and Moisture Contents of Bituminous Mixtures by Hot Solvent 5 D2172 4.03 Extraction of Bitumen from Bituminous Paving Mixtures (Method A, B, or C) 6,10 312 Design and Testing of Class and Cement Treated Base 1 338 Cement or Lime Content in Treated Aggregate by the Titration Method 1 339 Determination of Distributor Spread Rate D2995 4.03 Determining Application Rate of Bituminous Distributors 362 Asphalt Content of Bituminous Mixtures by Vacuum Extraction 5 D2172 4.03 Quantitative Extraction of Bitumen from Bituminous Paving Mixtures 6 366 Stabilometer Value 1 367 Recommending Optimum Bitumen Content (OBC.) 1 370 Determining Moisture Content of Asphalt Mixtures or Mineral Agg., Microwave Ovens D4643 4.08 Determination of Water (Moisture) Content of Soil by the Microwave Oven 375 In-place Density & Relative Compaction of AC Pavement (nuclear) 5,7,12 D2950 4.03 Density of Bituminous Concrete In-place by the Nuclear Method 6,7 379 Asphalt Content of Bituminous Mixtures by use of the Troxler Nuclear Gage 5,8 D4125 4.03 Asphalt Content of Bituminous Mixtures by the Nuclear Method 6,8 405 Chemical Analysis of Water 1 415 Chloride Content in Organic Additives for Portland Cement Concrete 1
CTM - ASTM Testing Procedures - for local agency use onlyUse this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of Standards TEST PROCEDURE NOTES 504 Air Content of Freshly Mixed Concrete by the Pressure Method C231 4.02 Air Content of Freshly Mixed Concrete by the Pressure Method 515 Relative Mortar Strength of Portland Cement Concrete Sand 1 518 Unit Weight of Fresh Concrete C138 4.02 Unit Weight, Yield, and Air Content (Gravimetric) of Concrete 521 Compressive Strength of Molded Concrete Cylinders C39 4.02 Compressive Strength of Cylindrical Concrete Specimens 523 Flexural Strength of Concrete (using simple beam with center-point loading) 1 C293 4.02 Flexural Strength of Concrete (using simple beam with center-point loading) C78 4.02 Flexural Strength of Concrete (using simple beam with third-point loading) 528 Freeze Thaw Resistance of Aggregates in Air-Entrained Concrete 1 529 Proportions of Coarse Aggregate in Fresh Concrete 1 530 Determining the Effect of H2O-Reducing and Set-Retard. Admix. Drying Shrinkage PCC 1 533 Ball Penetration in Fresh Portland Cement Concrete C360 4.03 Ball Penetration in Fresh Portland Cement Concrete C143 4.02 Slump of Freshly Mixed PCC 539 Sampling Fresh Concrete C172 4.02 Sampling Freshly Mixed Concrete 540 Making, Handling, & Storing Concrete Compressive. Test Specimens in the Field C31 4.02 Making & Curing Concrete Test Specimens in the Field 541 Flow of Grout Mixtures (flow cone method) 1 543 Air Content of Freshly Mixed Concrete by the Volumetric Method C173 4.02 Air Content of Freshly Mixed Concrete by the Volumetric Method 548 Evaluation of Aggregate for Lean Concrete Base (LCB.) 1
Notes Use the CALTRANS Method. Use the methods of calculation within the applicable test method first. Refer to CTM 105 as necessary. Use the Caltrans Construction Manual procedures as necessary when ASTM D75 or D979 do not adequately cover the item to be sampled. Use the direct transmission method only, the air gap method shall not be used. All nuclear gages must have local Caltrans District calibration within the last year. The data sheets provided by the local Caltrans District shall be used when determining the in-place density. Sample from the job site, across the mat, immediately behind the paving machine (Caltrans Construction Manual). Sample per ASTM D 979 paragraph 4.2.3., sample from the job site, across the mat, immediately behind the paving machine. All nuclear gages used for this test must be calibrated on the six (6) DNTM&R AC Standard Blocks. The Data sheets provided by the local Caltrans District shall be used when determining the in-place density. Recommended Percent (%) AC method for Rubberized Bituminous Paving mixtures. The hand method of shaking is not authorized and shall not be used. An electro-mechanical or hand- operated mechanical. Sand Equivalent shaker must be utilized for this test. This Method covers hot solvent, centrifuge, and vacuum extraction. Compaction Apparatus shall be calibrated in accordance with ASTM D 2168, Method B (ASTM Book 4.08). Test Maximum Density (TMD) shall be performed by Caltrans Test Method 375, Section F. Test Max. Density. Splitters must be of the fixed riffle type (no adjustable splitters).
Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (1 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Asphalt Asphaltic emulsion Certificate of compliance must include the following: 1. Shipment number and shipment date. 2. Source refinery, consignee, and destination. 3. Type and description of material with specific gravity and quantity. 4. Contract or purchase order number. 5. Signature by the manufacturer of the material and a statement that the material complies with the contract. Asbestos cement pipe Asbestos sheet packing Asphalt modifier Test results required with each truck load. Asphalt rubber joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Backer rods Must include manufacturer’s statement of compatibility with the joint sealant to be used. Barbed Wire Blast cleaning material Bonding Material Brick Cable-type restrainers Lock nuts Certificate of compliance must be submitted with a copy of each required test report. Cast iron pipe Cast iron manhole rings and covers Chemical adhesive for bonding tie bars and dowel bars in concrete pavement Chemical adhesive for structures Certificate of compliance must state compliance with ICBO AC 58 and Caltrans. Augmentation/Revisions to ICBO AC 58. Concrete Admixture Certificate of compliance from the manufacturer must certify that the admixture furnished is the same as that previously authorized or the authorized materials list. Concrete Cementitious material Certificate of compliance must include the source name and location. If the cementitious material is delivered directly to the job site, the certificate of compliance must be signed by the cementitious material supplier. If the cementitious material is used in ready-mixed concrete, the certificate of compliance must be signed by the concrete manufacturer. If blended cement is used, the certificate of compliance must include a statement signed by the blended cement supplier that shows the actual percentage of SCM, by weight, in the blend. Concrete Curing compound Certificate of compliance must include: 1. Test results for the tests specified in Section 90-1.01D(6) [90-7.01B] of the Standard Specifications. 2. Certification that the material was tested within 12 months before use. Concrete Minor concrete Before placing minor concrete from a source not previously used on the contract, a certificate of compliance stating that the minor concrete to be furnished complies with the contract requirements, including the specified minimum cementitious material content. Ceramic tile Chain link fencing and railing Certificate required for protective coating system. Concrete anchorage devices Page 1 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (2 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Concrete pipe Circular reinforced direct design method Certificate of compliance must: 1. Be signed by the manufacturer's quality control representative. 2. State that all materials and workmanship comply with the specifications and authorized shop drawings. Copper pipe Corrugated metal pipe Crack sealant Certificate of compliance must include: 1. Manufacturer's name 2. Production location 3. Product brand or trade name 4. Product designation 5. Batch or lot number 6. Crack treatment material type 7. Contractor or subcontractor name 8. Contract number 9. Lot size 10. Shipment date 11. Manufacturer's signature Crash cushions Crumb rubber modifier Test results required with each truck load. Culvert markers Delineators Certificate of compliance required for: 1. Metal target plates 2. Enamel coating 3. Retroreflective sheeting Dowel bar baskets Drop inlet grates and frames Drain tile Drip irrigation line Elastomeric Bearing Pads Plain Certified test results for the elastomer. Elastomeric Bearing Pads Steel-reinforced Certified test results. Electrical Battery back-up system Certificates of compliance is required for: External cabinet Batteries Electrical Conductor Electrical Conduit (galvanized and plastic) Electrical Equipment Electrical Pull boxes (concrete and plastic) Electrical Service cabinets Page 2 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (3 of 7) Material/Product Remarks (Including Requirements for Additional Back-UpInformation Required with Certificate of Compliance) Erosion control Certificate of compliance is required for: Straw Fiber RECP Fasteners Certificate of compliance with attachments are required for: Tackifier Bonded fiber matrix Polymer-stabilized fiber matrix Certificates of compliance attachments include: 1. Material Safety Data Sheet. 2. Product label. 3. List of applicable nonvisible pollutant indicators for soil amendment and stabilization products as shown in the table titled "Pollutant Testing Guidance Table" in the Caltrans Construction Site Monitoring Program Guidance Manual. 4. Report of acute and chronic toxicity tests on aquatic organisms conforming to EPA methods. 5. List of ingredients, including chemical formulation. 6. Properties of polyacrylamide in tackifier including (1) percent purity by weight, (2) percent active content, (3) average molecular weight, and (4) charge density. Epoxy Epoxy powder coating for dowel bars and tie bars Expansion joint filler Fiberglass pipe Certificate of compliance must be submitted with laboratory test results. Gabions If PVC coating is shown, a suitable UV resistance additive must be blended with the PVC and the additive must be shown on the certificate of compliance. Geocomposite drain Certificate of compliance must certify that the drain produces the specified flow rate. The certificate must be accompanied by a flow capability graph for the geocomposite drain showing flow rates and the externally applied pressures and hydraulic gradients. Verification must be by an authorized laboratory for the flow capability graph. Geosynthetics Test sample representing each lot and minimum average roll value. Glass beads Glue laminated timbers and decking Guide markers Irrigation hose Irrigation pipe Certificate of compliance required for: Polyethylene pipe. Plastic pipe supply line for pipe with wall thickness of the bell less than the specified minimum wall thickness of the pipe. Joint filler material Joint seals (Type A and AL) Certified test report for each batch of sealant. Page 3 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (4 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Joint seal (Type B) Certificate of compliance required for: Elastomeric joint seal Lubricant-adhesive Certificate of compliance must be submitted with certified test report for each lot of elastomeric joint seal and lubricant-adhesive. Test reports must include the seal movement rating, the manufacturer's minimum uncompressed width, and test results. Joint seal assemblies with a movement rating of 4 inches or less For alternative joint seal assemblies, a certificate of compliance must be submitted for each shipment of joint seal materials. The certificate must state that the materials and fabrication involved comply with the specifications and the data submitted in obtaining the authorization for the alternative joint seal assembly. Joint seal assemblies with a movement rating over 4 inches Lime Certificate of compliance must include a statement certifying the lime furnished is the same as on the authorized material source list. Machine spiral wound PVC pipeliners Certificate of compliance for each reel of PVC strip must include: 1. Name of manufacturer 2. Plant location 3. Date of manufacture and shift 4. Cell classification 5. Unit mass 6. Average pipeliner stiffness and profile type Markers Certificate of compliance required for: 1. Metal target plates 2. Enamel coating 3. Retroreflective sheeting Masonry block Certificate of compliance required for: 1. Concrete masonry units 2. Aggregate for grout 3. Grout Micro surfacing emulsion Mulch Open steel flooring and grating Overside drains Certificate of compliance based on steel materials, aluminum materials or plastic materials. Parking area seal material Pavement markers Pavement marking Paint or thermoplastic Plastic lumber Laboratory test report. Plastic traffic drums Plastic pipe for drainage Certificate of compliance must include average pipe stiffness, resin material cell classification, and date of manufacture. For corrugated polyethylene pipe, manufacturer’s copy of plant audits and test results from the National Transportation Products Evaluation Program for the current cycle of testing for each pipe diameter furnished. Portable changeable message sign Precast concrete Cementitious material used in precast concrete products Certificate of compliance must be signed by the precast concrete product manufacturer. Page 4 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (5 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Precast concrete Box culverts Certificate of compliance must be signed by the manufacturer's QC representative for each shipment. Precast raised traffic bars Preformed compression seal for concrete pavement Preformed membrane sheet Must include type of sheet and the conditioner or primer application rates. Rapid strength concrete Certificate of compliance is required for each delivery of aggregate, cementitious material, and admixtures used for calibration tests. The certificate of compliance must state that the source of the materials used for the calibration tests is the same source as to be used for the planned work. Reinforcement You may request that the contractor submits with certificate of compliance: 1. Copy of the certified mill test report for each heat and size of reinforcing steel showing physical and chemical analysis. 2. Two copies of a list of all reinforcement before starting reinforcement placement. Reinforcement Epoxy-coated Certificate of compliance for each shipment of epoxy-coated reinforcement must be submitted with: 1. Certification that the coated reinforcement complies with ASTM A 775/A 775M for bar reinforcement or ASTM A 884/A 884M, Class A, Type 1, for wire reinforcement 2. All certifications specified in ASTM A 775/A 775M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement. Reinforcement Epoxy-coated prefabricated reinforcement Certificate of compliance for each shipment of epoxy-coated prefabricated reinforcement must be submitted with: 1. Certification that the coated reinforcement complies with ASTM A 934/A 934M for bar reinforcement or ASTM A 884/A 884M Class A, Type 2 for wire reinforcement. 2. All certifications specified in ASTM A 934/A 934M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement. Reinforcement Epoxy-coating patching materials Certificate of compliance for the patching material must include certification that the patching material is compatible with the epoxy powder to be used. Reinforcement Headed bar Certificate of compliance for each shipment of headed bar reinforcement must be submitted with: 1. Mill test reports for the: 1.1. Bar reinforcement 1.2. Head material 2. Production test reports 3. Daily production logs Reinforcement Splicing Certificate of compliance for each shipment of splice material must be submitted with: 1. Type or series identification of the splice material, including tracking information for traceability. 2. Grade and size number of reinforcement to be spliced. 3. Statement that the splice material complies with the type of mechanical splice on the authorized material list. 4. For resistance-butt-welded material: 4.1. Heat number 4.2. Lot number 4.3. Mill certificates Page 5 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (6 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Sheet metal Sign panels Certificates of compliance required for: 1. Aluminum sheeting 2. Retroreflective sheeting 3. Screened-process colors 4. Nonreflective, opaque, black film 5. Protective-overlay film Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Slotted edge drain Snow poles Snow plow deflectors polyethylene material Soil amendment Steel crib wall Sheet metal Sign panels Certificates of compliance required for: 1. Aluminum sheeting 2. Retroreflective sheeting 3. Screened-process colors 4. Nonreflective, opaque, black film 5. Protective-overlay film Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Slotted edge drain Snow poles Snow plow deflectors polyethylene material Soil amendment Steel crib wall Steel pipe piles The certificate of compliance must be signed by the plant's QC representative. The QC representative must be on record with the Department's Office of Structural Materials. certificate of compliance must include: 1. Statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described. 2. Certified mill test reports for each heat number of steel pipe piles being furnished. 3, Test reports for tensile, chemical, and any specified non-destructive test (NDT). 4. Test reports must be based on test samples taken from the base metal, steel, coil or from the manufactured or fabricated piles. 5. Calculated carbon equivalent. The carbon equivalent may be shown on the mill test report. Steel sheet piling Structural plate culverts Certificate of compliance required for: 1. Structural metal plate pipe 2. Arches 3. Pipe arches 4. Metal liner plate pipe Page 6 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (7 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance) Structural shape steel piles Certificate of compliance must include: 1. Test reports for tensile, chemical, and any specified NDT. Test samples must be taken from the base metal, steel, or from the manufactured or fabricated pile. 2. A statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described. Structural composite lumber used in falsework Structural steel thermal spray coat Wire feedstock Styrofoam filler Subsurface drain Temporary concrete washout Certificate of compliance required for: Gravel-filled bag Plastic liner Temporary fence (Type ESA) Certificate of compliance required for: High visibility fabric Safety caps for metal posts Temporary linear sediment barrier Certificate of compliance required for: Fiber roll Safety cap for metal posts Silt fence fabric Sediment filter bag Foam barrier Gravel-filled bag fabric Temporary railing (Type K) Thermoplastic Tie bars Tie bar baskets Timber products (treated and untreated) Certificate of compliance for timber and lumber must state the species of the material to be shipped and include a certified grading report. If treated, certified treating report. Threaded tie bar splice couplers Traffic stripe Paint or thermoplastic Turf sod Underdrains Certificate of compliance required for: Type of pipe Tubing Fitting Waterproofing fabric Waterstop Certificate of compliance for waterstop material must state compliance with paragraph 6 of Army Corps of Engineers CRD-C 572. Welded wire fabric Wire mesh fencing Page 7 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T2 Materials Requiring a Certificate of Compliance per the Greenbook Greenbook 2018 Materials Requiring a Certificate of Compliance or Certified Test Reports Material Section # Section Title Additional Comments 1 4-5 Certificate of Compliance General Requirements 2 Weighing and Metering Equip. 4-7 Weighing and Metering Equipment Engineer to "approve" prior to operation. 3 Cement 201-1.21 Cement 4 Fly Ash 201-1.2.5.3 Fly Ash Specific language/info required on the COC. Must also submit test data upon request. 5 Pozzolans 201-1.2.5.4 Class N Pozzolans Specific language/info required on the COC. Must also submit test data upon request. 6 Joint Sealant , Type E 201-3.9 Test Report and Certification Specific language/info required on certified test reports. 7 Curing Compound 201--4.3 Test Report and Certification Must submit certified test report upon request. 8 Paving Asphalt 203-1.3 Test Report and Certification Specific language/info required on certified test reports. 9 Liquid Asphalt 203-2.2 Test Report and Certification Specific language/info required on certified test reports. 10 Microsurfacing Emulsion (MSE) 203-3.5 Certificate of Compliance With each load. Must also submit test data upon request. 11 Latex 203-10.2.2 Latex Specific language/info required on the COC. 12 Asphalt Rubber Hot Mix (ARHM) 203-11.2 Materials Must also submit test reports with the COC. 13 Crumb Rubber Modifier (CRM) 203-11.2.3.1 General (Crumb Rubber Modifier) Specific language/info required on the COC. 14 Treated Wood 204-2.4 Quality Control Specific language/info required on the COC. 15 Structural Steel , Rivets, Bolts, Pins 206-1.1.2 Certification Specific language/info required on certified test reports. 16 Gray Iron and Ductile Iron Castings 206-3.4.2.1 General (Tensile Testing) Must also submit test reports with the COC. 17 Gray Cast Iron Castings 206-3.4.2.2 Gray Cast Iron Castings Specific language/info required on the COC and must submit certified test results. 18 Ductile Iron Castings 206-3.4.2.3 Ductile Iron Castings Specific language/info required on the COC and must submit certified test results. 19 Corrugated Steel Pipe, pipe arches. 207-11.2.1 General (Materials) Page 1 of 2 January 2020 Local Assistance Procedures Manual Exhibit 16-T2 Materials Requiring a Certificate of Compliance per the Greenbook 20 Structural Steel Products 207-12.2.1 General (Materials) Specific language/info required on the COC. 21 Structural Aluminum Products 207-14.2.1 General (Materials) Specific language/info required on the COC. 22 PVC Pipe 207-17.4.1 General (Test Requirements) 23 PolyPropylene Pipe 207-25.6.1 General (Man. Facility Testing) 24 Materials used in Sewers 211-2 Chemical Resistance (Pickle Jar) Test Specific language/info required on the COC. 25 Viscometer Calibration 211-4.2 Calibration 26 Engineering Geosynthetics 213-1 General (Engineering Geosynthetics) Specific language/info required on the COC. 27 Traffic Paint, Thermo and Markers 214-2 Test Reports And Cert. of Compliance Specific language/info required on certified test reports OR COC 28 Precast Reinforced Concrete Box 216-8 Basis of Acceptance 29 Fiberglass Standards 700-3.3.4 Fiberglass Standards Specific language/info required on the COC and test reports. 30 Conductors for Series Circuits, 5000V 700-4.2.2 Conductors for Series Circuits 31 Conductors and Cable 700-5.3.1 General (Conductors and Cable) 32 Lamp Receptable Conductors 700-5.5.7 Electrical Components COC Required if required information is not marked on the insulation. 33 LED Signal Modules 700-5.5.11.8 Certificate of Compliance 34 LED Pedestrian Signal Module 700-5.6.6.7 Certificate of Compliance Page 2 of 2 January 2020 ________________________________________
Source Inspection for Project Name, County(phone #)
Exhibit 16-Z2 Acceptance Testing Results Summary Log Project Name: __________________________________________________________ Test Method Name: ___________________ Test Method Number: ___________________ Contract Number: _______________________________________________________ Test Number Date Sampled Name of Sampler or Tester Production Test Results Remarks Tester Certification on file? Location (Stations, depths, etc) Production Quantity Represented Required Result Actual Result Pass/Fail Include action taken for any failing test result; note test number of any retest. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Page 1 of 1 January 2018
DAVID D IXON MEMORIAL MATERIA LS LABORATO RY QUALITY ASSURANCE PLAN AUGUST 2019
1 1 5 2 E . F R U I T S T R E E T S A N T A A N A , C A 9 2 7 0 1
TABL E O F CONTENTS TABLE OF CONTENTS .................................................................................................................................. 3MISSION STATEMENT .................................................................................................................................. 4LAB SERVICES .................................................................................................................................................. 5DEFINITION OF TERMS .............................................................................................................................. 6QUALITY ASSURANCE REQUIREMENTS ............................................................................................. 7Laboratory Accreditation .................................................................................................................................... 7Laboratory Personnel Certification ................................................................................................................... 7Correlation Testing Program .............................................................................................................................. 8Maintenance of Laboratory and Testing Equipment ..................................................................................... 8TESTING GUIDELINES ................................................................................................................................ 9Acceptance Testing (AT) .................................................................................................................................... 9Independent Assurance Program (IAP) ........................................................................................................... 9Acceptance of Minor Quantities of Materials Without Testing ................................................................. 10REPORTING ACCEPTANCE TESTING RESULTS ............................................................................. 11CONSTRUCTION MATERIALS DISPUTE RESOLUTION ............................................................... 12TESTING OF MANUFACTURED MATERIALS ................................................................................... 13Certificate of Compliance ................................................................................................................................. 13Source Inspection ............................................................................................................................................... 13PROJECT CERTIFICATION ........................................................................................................................ 14RECORDS .......................................................................................................................................................... 15APPENDIX I MATERIALS LAB CONTACTS ........................................................................................ 16APPENDIX II LIST OF TESTS PERFORMED ....................................................................................... 17APPENDIX III EXAMPLE OF TEST RESULT ...................................................................................... 19APPENDIX IV ACCEPTANCE TESTING FREQUENCIES .............................................................. 20APPENDIX V SAMPLE MATERIALS CERTIFICATION ................................................................... 21APPENDIX VI CONTRACTS FILE ORGANIZATION SYSTEM .................................................... 22
MIS S IO N STA TEM ENT The mission of the David Dixon Memorial Materials Laboratory (LAB) is to provide the public with safe and efficient infrastructure through geotechnical and materials testing services. The LAB accomplishes this mission through geotechnical engineering, acceptance testing, and quality assurance testing of construction materials for capital improvement programs, maintenance programs, and development activities for OC Public Works, Orange County Flood Control District, OC Community Resources, and OC Dana Point Harbor (hereinafter collectively referred to as COUNTY) and outside partnering agencies.
LAB SERV IC ES The David Dixon Memorial Materials Laboratory (LAB) provides the following services: 1. Geotechnical engineering, engineering geology, pavement analysis, and foundation investigations for COUNTY facilities 2. Evaluation and acceptance of mix designs including asphalt concrete (AC) mix design, portland cement concrete (PCC) mix design, cement treated soils, and soil stabilization mix designs, for all COUNTY projects, subdivision infrastructure and COUNTY property encroachment permits 3. Quality assurance testing on construction materials including aggregates, AC, PCC, and soils for all COUNTY projects, subdivision infrastructure, and COUNTY property encroachment permits 4. Acceptance and quality assurance testing as described above for Cities under contract with the County through OC Public Works
DE FINITIO N OF TERMS American Association of State Highway and Transportation Officials (AASHTO) A standards setting body which publishes specifications, test protocols and guidelines which are used in highway design and construction throughout the United States. Acceptance Testing (AT) Sampling and testing, or inspection, to determine the degree of compliance with contract requirements. AASHTO re:source Part of the Engineering and Technical Services division of AASHTO that implements the Laboratory Assessment Program, Proficiency Sample Program, and AASHTO Accreditation program for soils, aggregate, and bituminous materials. Independent Assurance Program (IAP) A program to verify that AT is being performed correctly by qualified technicians and laboratories. Quality Assurance Program (QAP) A sampling and testing program that provides assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are AT and IAP. Source Inspection AT of manufactured and prefabricated materials at locations other than the job site, generally at the manufactured location.
Q UALITY ASSURA NC E REQU IR EMENTS The David Dixon Memorial Materials Laboratory (LAB) will perform Acceptance Testing (AT) on all COUNTY projects, including federal and state grant funded projects. The LAB is under the responsible management of a California Registered Engineer with experience in sampling, inspection, and testing of construction materials. The engineer shall certify the results of all tests performed by laboratory personnel under their supervision. The LAB shall maintain certified testing equipment capable of performing the tests listed in Appendix II of this QAP. The LAB reserves the option to use a private consultant materials laboratory to perform Acceptance Testing on certain projects. Private consultant materials laboratories under contract with the LAB shall be required to comply with the provisions of this QAP. LABORATORY ACCREDITATION The LAB is Caltrans certified for testing aggregates, asphalt concrete, soils, and portland cement concrete materials. Caltrans verifies the LABs ability to perform quality materials testing though site inspection, approval of the LABs accreditation manual, equipment calibration check, and successful completion of proficiency sample testing through Caltrans Reference Sample Program. Caltrans evaluates the LABs certification on an annual basis. The LAB is AASHTO accredited for its Quality Management System and for testing aggregates, asphalt concrete, and soils. AASHTO re:source evaluates the LABs accreditation status on an annual basis and confirms the LAB has received all applicable on-site assessments and quality management system evaluations. The review includes an evaluation of updated personnel information. The LAB is also required to participate in the AASHTO re:source Proficiency Sample Program. LABORATORY PERSONNEL CERTIFICATION All Caltrans Tests listed in Appendix II.C of this QAP shall be performed by LAB personnel certified by Caltrans in accordance with the current edition of the Caltrans Independent Assurance Manual. Caltrans certifications shall be renewed every 3 years. LAB personnel shall have thorough knowledge of: Responsibilities of sampling and testing Test methods, calculations, and related paperwork Safety guidelines used in the test methods, and Maintenance/operation of the equipment used in the test procedures.
Private consultant materials laboratories under contract with the LAB shall use staff certified by one or more of the following: Caltrans, American Concrete Institute (ACI), National Institute of Certification of Engineering Technologies (NICET), or other organization approved by the State of California. CORRELATION TESTING PROGRAM The LAB participates in the Caltrans Reference Sample Program for aggregates, asphalt concrete, soils, and portland cement concrete. The LAB also participates in the AASHTO re:source Proficiency Sample Program for aggregates, asphalt concrete, and soil. Private consultant materials laboratories under contract with the LAB shall be required to provide documentation of participation in a correlation testing program through AASHTO re:source, Cement and Concrete Reference Laboratory (CCRL), and/or Caltrans. MAINTENANCE OF LABORATORY AND TESTING EQUIPMENT The LAB shall only use laboratory and testing equipment that is in good working order. All equipment shall be calibrated at least once each year. All testing equipment must be calibrated by impartial means using devices of accuracy traceable to the National Institute of Standards and Technology. A decal shall be firmly affixed to each piece of equipment showing the date of the last calibration. All testing equipment calibration decals shall be checked as part of the IAP. Private consultant materials laboratories under contract with the LAB shall be required to provide documentation to confirm that all laboratory and testing equipment is maintained as stipulated above.
TES T ING GUIDE LIN ES ACCEPTANCE TESTING (AT) AT shall be performed by LAB personnel who are certified to perform the required tests. Test results shall be used to ensure that all materials incorporated into the project are in compliance with the contract specifications. Testing methods will be in accordance with the Caltrans, AASHTO, or ASTM test methods, as specified in the contract specifications. Sample locations and frequencies shall be in accordance with the contract specifications. If not specified in the contract specifications, samples shall be taken at the locations and frequencies as shown in Appendix IV, Acceptance Sampling and Testing Frequencies. INDEPENDENT ASSURANCE PROGRAM (IAP) IAP will be used to verify that acceptance testing is being performed correctly by qualified testers and laboratories. These include, but are not limited to: 1. Verifying that equipment used for acceptance testing is properly calibrated and in good working condition. Records of equipment calibrations should be kept with the equipment. 2. Certifying acceptance testers by administering written and practical/witness exams for the acceptance tester. 3. Performing corroboration testing between the acceptance tester and independent assurance personnel on Sieve Analysis, Sand Equivalent, and Cleanness Value tests. 4. A written procedure for dispute resolution IAP shall be provided by personnel from Caltrans, the Agencys certified materials laboratory, or consultants certified materials laboratory. For Federal-aid projects off the NHS, the agency may choose to: 1. Hire an outside qualified consultant to perform IA services, or 2. Have a qualified employee from within the local agency to perform IA services, or 3. Request Caltrans provide IA services if California Test Methods are used. IAP personnel shall be certified in all required testing procedures, as part of IAP. Poor correlation between acceptance testers results and other test results may indicate probable deficiencies with the acceptance sampling and testing procedures. In cases of unresolved
discrepancies, a complete review of AT shall be performed by IAP personnel, or an independent materials laboratory chosen by the Agency. IAP samples and tests are not to be used for determining compliance with contract requirements. Compliance with contract requirements is determined only by AT. ACCEPTANCE OF MINOR QUANTITIES OF MATERIALS WITHOUT TESTING Relatively minor quantities of construction materials may be accepted without testing provided acceptance conforms to the conditions stated below in paragraphs one and two. Generally, this provides for accepting minor quantities of materials from a commercial source that is known to supply material conforming to the specifications. Documentation for acceptance of material as described in paragraphs one and two above must be provided and included in the project records. Documentation should include statements in the project inspectors reports that clearly indicate conditions under which the material was accepted (e.g., description, quantity, location, where placed, certification numbers and/or other accompanying data). The following list suggests approximate maximum quantities of materials that may be accepted under the conditions indicated above: Aggregates other than for use in Portland Cement Concrete; not to exceed 100 tons per day nor more than 500 tons per project Bituminous mixtures (includes HMA); not to exceed 50 tons per day (sample at Engineers discretion if project total is less than 500 tons) Bituminous material (includes Asphalt); not to exceed 100 gallons per project
RE PO RTING ACC EPTANC E TESTING RESU LTS The following are the schedules for reporting material test results to the Resident Engineer: When the aggregate is sampled at material plants, test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within two (2) working days1 after sampling. When materials are sampled at the job site, test results for compaction and maximum density should be submitted to the Resident Engineer within one (1) working day after sampling. When soils and aggregates are sampled at the job site: 1. Test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within three (3) working days after sampling. 2.Test results for R Value and asphalt concrete extraction should be submitted to the Resident Engineer within four (4) working days after sampling. When sampling products such as portland cement concrete (PCC), cement-treated base (CTB), hot mix asphalt (HMA), and other such materials, the time of sampling shall be varied as much as possible in order to avoid a predictable sampling routine. 1 For aggregate containing asphalt, test results will be submitted to the Resident Engineer within three (3) working days
CONS TRUCTION MATE RIALS DISPUTE RESOLUTION For all test result disputes, the LAB shall follow the 2012 Edition, The Greenbook, Section 4-1.9 Construction Materials Dispute Resolution (Soils, Rock Materials, Concrete, Mortar and Related Materials, Masonry Materials, Asphalt Materials, Rock Products, and Modified Asphalts), inclusive.
TE STING OF MANUFACTURE D MA TERIALS The LAB may permit the use of certain manufactured products, materials, or assemblies accompanied by a certificate of compliance in lieu of pre-shipment sampling and testing, provided these items are non-structural. These items must have a history of having met specifications based upon previous sampling and testing by County, other local agencies, or other certified private laboratories on a case-by-case basis. The manufacturer of the item shall sign the certificate of compliance and state that the included materials and workmanship conform to the project specifications in all aspects. Manufactured products, materials, or assemblies used on the basis of a certificate of compliance may be sampled and tested at the job site at any time, and at any frequency, during the life of the contract. Items determined to be not in conformance with contract requirements are subject to rejection even after they are in-place. CERTIFICATE OF COMPLIANCE Contract documents may also specify that a certificate of compliance is required for a product, material, or assembly used on a project. The Resident Engineer is responsible for ensuring that a certificate of compliance is furnished when the item or material is delivered to the worksite. All materials accepted on the basis of a certificate of compliance shall be identified in the project inspectors daily inspection reports. The Resident Engineer and/or project inspector shall keep copies of all certificates of compliance in their file. Even if a certificate of compliance is provided, materials such as portland cement and asphalt products shall be sampled for testing in accordance with size, frequency, and testing tables, better known as Frequency Tables (see Appendix IV). SOURCE INSPECTION A certified LAB technician or qualified consultant will conduct the acceptance sampling and testing at the site of the materials source. A certified LAB technician or qualified consultant will inspect asphalt, concrete, and pipe manufacturing plants during product fabrication
PRO JECT CE RTIF IC ATION Upon completion of a federal grant funded project, the Resident Engineer shall prepare and sign a Materials Certificate" as part of the Report of Expenditures submitted to Caltrans. A copy of the Materials Certificate shall also be retained in the Agencys construction file for record. Any materials incorporated into the work that did conform to specifications must be explained and justified on the Materials Certification, including changes by made by contract change orders. A sample Materials Certification is included in Appendix V.
RE CORD S All material records of samples and tests, material releases and certificates of compliance for the construction project shall be incorporated into the Resident Engineers project file. For federal grant funded projects, project files shall be organized in accordance with the Contracts File Organization System as shown in Appendix VI of this QAP. The complete project file shall be available at a single location for inspection by Caltrans and Federal Highway Administration (FHWA) personnel. Project files shall be available for at least three (3) years following the date of final project voucher. The use of a Log Summary, as shown in Appendix III of this QAP, facilitates reviews of material sampling and testing by Caltrans and FHWA, and assists the Resident Engineer in tracking the frequency of testing. When two or more projects are being furnished identical materials simultaneously from the same plant, it is not necessary for the LAB to take separate samples or perform separate tests for each project. However, copies of the test reports of the projects shall be provided to the Resident Engineer for each project file.
APPE NDIX I MATER IALS LAB CONTA CTS NAME TITLE PHONE NUMBER Vinh Tran Materials Engineer (714) 955-0210 Blaine Thomann Laboratory Manager (714) 667-4996 John Moore Independent Assurance (714) 245-4515 Camille Adler Supervisor, Compaction Unit (714) 245-4536 Doug Wilson Supervisor, Plant Inspection Unit (714) 245-4527 Michael Soler Supervisor, Asphalt Concrete/R-Value Unit (714) 245-4524 Yolanda Varquez Supervisor, Physical and Chemical Testing Unit (714) 667-4997
APPE NDIX II LIS T O F TES TS PERFORMED II.A AASHTO Standards R47 Reducing Samples of HMA to Testing Size R58 Dry Preparation of Disturbed Soil and Aggregate Samples for Test R76 Reducing Samples of Aggregate to Testing Size T11 Method of Test for Materials Finer than 75 -µm (No. 200) Sieve in Mineral Aggregates by Washing T27 Method of Test for Sieve Analysis of fine and Coarse Aggregates T30 Method of Test for Mechanical Analysis of Extracted Aggregates T84 Method of Test for Specific Gravity and Absorption of Fine Aggregates T85 Method of Test for Specific Gravity and Absorption of Coarse Aggregates T88 Method of Test for Particle Size Analysis of Soils T89 Method of Test for Determining the Liquid Limit of Soils T90 Method of Test for Determining the Plastic Limit and Plasticity Index of Soils T96 Method of Test for Resistance to Degradation of Small-Size Coarse Aggregate by Abrasion and Impact in the Los Angeles Machine T100 Method of Test for Specific Gravity of Soils T166 Method of Test for Bulk Specific Gravity of HMA T176 Method of Test for Plastic Fines in Graded Aggregates and Soils by Use of the Sand Equivalent Test T180 Standard Test Methods for Laboratory Compaction Characteristics of Soil Using Modified Effort (56,000 ft-lbf/ft3) T190 Method of Test for Resistance R-Value of Compacted Soil T246 Method of Test for Resistance to Deformation and Cohesion of Hot Mix Asphalt (HMA) by Means of Hveem Apparatus T247 Method of Test for Preparation of Test Specimens of Hot Mix Asphalt (HMA) by Means of California Kneading Compactor T255 Laboratory Determination of Moisture Content of Aggregates T265 Laboratory Determination of Moisture Content of Soils T275 Method of Test for Bulk Specific Gravity of Compacted Hot Mix Asphalt (HMA) Using Paraffin-Coated Specimens T308 Method of Test for Determining the Asphalt Binder Content of Hot Mix Asphalt (HMA) by the Ignition Method II.B ASTM Standards C39 Capping, Storing and Testing PCC Cylinders for Compressive Strength C42 Standard Test Method for Obtaining and Testing Drilled Cores C109 Standard Test Method for Compressive Strength Testing of Mortar Cubes C117 Method of Test for Materials Finer than No. 200 by Washing C127 Method of Test for Specific Gravity and Absorption of Coarse Aggregates C128 Method of Test for Specific Gravity and Absorption of Fine Aggregates C131 Method of Test for Resistance to Degradation of Coarse Aggregate by Abrasion and Impact in the Los Angeles Machine C136 Method of Test for Sieve Analysis of Coarse and Fine Aggregates C1019 Standard Test Method for Sampling and Testing Grout for Compressive Strength
D698 Standard Test Method for Laboratory Compaction Characteristics of Soil using a Modified Effort (56,000 ft-lbf/ft3) D1557 Standard Test Method for Laboratory Compaction Characteristics of Soil using a Modified Effort (56,000 ft-lbf/ft3) D2487 Unified Soil Classification System D2974 Standard Test for Organic Matter of Soils D3080 Standard Test for Direct Shear of Soils D3910 Slurry Wet Track Abrasion Test D4318 Standard Test for Plasticity Index of Soils D4829 Standard Test for Expansion Index of Soils II.C California Test Method (Caltrans) Standards - Certified CTM 105 Calculations Pertaining to Gradings and Specific Gravities CTM 106 Definition of Terms Relating to Specific Gravity CTM 125 Sampling Highway Materials CTM 201 Method of Test for Soil and Aggregate Sample Preparation CTM 202 Method of Test for Sieve Analysis of Coarse and Fine Aggregates CTM 216 Method of Test for Relative Compaction of Soils and Aggregates CTM 217 Method of Test for Sand Equivalent CTM 226 Method of Test for Moisture of Soils and Aggregates CTM 227 Method of Test for Evaluating Cleanness of Coarse Aggregates CTM 231 Method of Test for Relative Compaction of Soils and Aggregates CTM 301 Method of Test for Determining R-Value using the Stabilometer CTM 304 Method of Test for Preparation of HMA using the California Compactor CTM 308 Method of Test for Determining Bulk Specific Gravity of HMA CTM 366 Method of Test for Stabilometer Value CTM 375 Method of Test for Determining In-Place Density and Relative Compaction CTM 382 Method of Test for Determination of Binder Content of HMA CTM 521 Method of Test for Determining Compressive Strength of Concrete Cylinders CTM 539 Method of Sampling Fresh Concrete CTM 540 Method of Fabricating and Storing Concrete Cylinders in the Field CTM 556 Method of Test for Slump of Fresh Portland Cement Concrete CTM 557 Method of Test for Temperature of Fresh Portland Cement Concrete II.D California Test Method (Caltrans) Standards CTM 103 Method of Calibration of Expansion Pressure Devices CTM 110 Method of Calibration of Compaction Test Equipment CTM 203 Method of Test for Mechanical Analysis of Soils CTM 205 Method of Test for Percentage of Crushed Particles CTM 206 Method of Test for Specific Gravity and Absorption of Coarse Aggregates CTM 207 Method of Test for Specific Gravity and Absorption of Fine Aggregates CTM 211 Method of Test for Abrasion of Coarse Aggregate (Los Angeles Rattler Test) CTM 229 Method of Test for Durability Index CTM 417 Method of Test for Determining Sulfate Content of Soils CTM 643 Method of Test for pH and Resistivity of Soils
APPE NDIX III E XAMP LE O F TES T RES ULT
APPE NDIX IV AC CEPTANCE TES TING FRE QU ENC IES
APP ENDIX V S AM PLE MATE RIALS C ERTIFICATI ON
APP ENDIX VI CONTRAC TS FILE ORGANIZA TIO N SY STEM