Cqap Manual

DIVISION OF CONSTRUCTION
Construction
Quality Assurance
Program Manual
State of California
Department Of Transportation
Quality
Control Acceptance
Contractor
Caltrans
Responsibility Responsibility
AUGUST 2015
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Construction Quality Assurance

Program Manual
Issued by
Division of Construction
EDMUND G. BROWN JR.

Governor
MALCOLM DOUGHERTY
Director, Department of Transportation
KOME AJISE
Chief Deputy Director
KARLA SUTLIFF
Chief Engineer
RACHEL FALSETTI
Chief, Division of Construction
JOHN STAYTON
Assistant Division Chief, Construction
CHUCK SUSZKO
Chief, Office of Construction Engineering
JIM COTEY HANI ROMANI

STEVE HEALOW KEITH HOFFMAN JOHN LAMMERS KENG MUN LOW BRETT SOLDANO
CONSTRUCTION PUBLICATIONS
Technical and editing support

Copyright 2015 California Department of Transportation
All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or mechanical means
including information storage and retrieval systems without the permission in writing from the California Department of
Transportation).
http://www.dot.ca.gov/manuals.htm
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Contents
CONTENTS
Introduction
................................................................................................................................................ 1
Construction Quality Assurance Program Manual Overview.......................................................................2

Purpose ....................................................................................................................................................2
Scope
....................................................................................................................................................2
Organization ...............................................................................................................................................3
Process for Updating ..................................................................................................................................3
Chapter 1
Overview
Construction Quality Assurance Program ................................................................................ 4

................................................................................................................................................ 4
Section 1 Definitions and Abbreviations ................................................................................................. 5

1.1.1 Definitions..........................................................................................................................................5
1.1.2 List of Abbreviations ..........................................................................................................................7
Section 2 Specified Level of QualityMaterials and Workmanship ........................................................ 8
1.2.1 Materials ............................................................................................................................................8
1.2.2 Workmanship ....................................................................................................................................8
Section 3 Document and Record Control ................................................................................................. 9
1.3.1 Document Control .............................................................................................................................9
1.3.2 Records Control ...............................................................................................................................10
Section 4 Management and Staff Responsibilities ................................................................................. 12
1.4.1 Quality Objective .............................................................................................................................12
1.4.2 Quality Commitment .......................................................................................................................12
1.4.3 Responsibility and Authority............................................................................................................12
1.4.3.a Division of Construction ...........................................................................................................12
1.4.3.b District Construction .................................................................................................................12
1.4.3.c Division of Engineering Services ...............................................................................................12
1.4.3.d Other Divisions .........................................................................................................................13
1.4.4 CQAP Process Evaluation .................................................................................................................14
Section 5 Resource Management .......................................................................................................... 15
1.5.1 Competence, Awareness, and Training ...........................................................................................15
Section 6 Process Control ...................................................................................................................... 17
1.6.1 Proposed Source of Materials .........................................................................................................17
1.6.1.a Material Identification and Traceability ...................................................................................17
1.6.1.b Handling, Storing, and Transporting .........................................................................................18
1.6.1.c Control of Special Processes .....................................................................................................18
Section 7 Inspection and Testing ........................................................................................................... 19
1.7.1 Role of Resident Engineer ................................................................................................................19
1.7.2 Quality Control Inspection and Testing ...........................................................................................19
1.7.3 Acceptance Inspection and Testing .................................................................................................20
1.7.3.a Quality Assurance Methods......................................................................................................20
1.7.3.b Acceptance Criteria ..................................................................................................................21
1.7.4 Independent Assurance ...................................................................................................................21
California Department of Transportation Division of Construction
August 2015
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Contents
CONTENTS (continued)
Section 8 Control of Nonconforming Work and Materials..................................................................... 23
1.8.1 Corrective and Preventive Action .................................................................................................... 23
Section 9
Control of Inspection, Measuring, and Testing Equipment .................................................... 25
Section 10 Project Materials Certification ............................................................................................... 26

Chapter 2
Overview
Construction Quality Assurance Roadmap............................................................................. 27

.............................................................................................................................................. 27
Section 1 Quality Assurance Elements .................................................................................................. 28

2.1.1 Contractor Quality Control .............................................................................................................. 28
2.1.2 Department Acceptance Program ................................................................................................... 29
2.1.3 Independent Assurance ................................................................................................................... 29
2.1.4 Dispute Resolution .......................................................................................................................... 30
2.1.5 Authorized Laboratories .................................................................................................................. 30
2.1.6 Personnel Qualifications .................................................................................................................. 30
Section 2 Specifications ........................................................................................................................ 32
2.2.1 Deciding Between Method and Quality Assurance Specifications .................................................. 32
2.2.1.a Advantages and Disadvantages ................................................................................................ 32
2.2.1.b Choosing the Specification Type............................................................................................... 34
2.2.2 Specification Development Process ................................................................................................ 35
2.2.2.a Step 1Identify Tier Level ....................................................................................................... 36
2.2.2.b Step 2Identify Production Mode........................................................................................... 39
2.2.2.c Step 3Define the Quality Characteristics for Quality Control and Acceptance..................... 40
2.2.2.d Step 4Specify the Quality Control and Acceptance Test Methods ....................................... 42
2.2.2.e Step 5Specify the Location and Frequency of Sampling and Testing.................................... 42
2.2.2.f Step 6Define the Acceptance Criteria and Acceptance Limits .............................................. 43
2.2.2.g Step 7Identify the Quality Assurance Methods to be Specified ........................................... 44
Section 3 Quality Assurance Methods................................................................................................... 47
2.3.1 Material Prequalification ................................................................................................................. 47
2.3.1.a Authorized Material List ........................................................................................................... 47
2.3.1.b Authorized Material Source List ............................................................................................... 47
2.3.1.c Authorized to Deliver Materials List ......................................................................................... 48
2.3.1.d Proprietary Product or Process ................................................................................................ 48
2.3.1.e Products Manufactured to National Quality Standard............................................................. 48
2.3.1.f Commercial Quality Products ................................................................................................... 48
2.3.1.g Department-Furnished Materials ............................................................................................. 49
2.3.2 Qualification Requirements for Facilities, Contractors, and Personnel ........................................... 49
2.3.2.a Qualification Requirements for Facilities ................................................................................. 49
2.3.2.b Qualification Requirements for Contractors ............................................................................ 51
2.3.2.c Qualification Requirements for Personnel ............................................................................... 52
2.3.3 Submittal Requirements .................................................................................................................. 53
2.3.3.a Designer Review of Construction and Fabrication Working Drawings/Plans ........................... 53
2.3.3.b Resident Engineer Review of Construction and Fabrication Process Submittals ..................... 53

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Contents
2.3.3.c Resident Engineer Review of Proposed Job Mix Formulas/Mix Designs ..................................53
2.3.3.d Resident Engineer Review of Proposed Quality Control Procedures .......................................54
2.3.3.e Engineer Review of Product Data .............................................................................................54
2.3.3.f Contractor Submittal of Test Samples ......................................................................................54
2.3.4 Material Sampling and Testing ........................................................................................................54
2.3.4.a Pre-Production (Initial or Stockpile) .........................................................................................54
2.3.4.b Quality Control Sampling and Testing ......................................................................................54
2.3.4.c Verification Sampling and Testing ............................................................................................55
2.3.4.d Programmatic Quality Assurance Inspection and Testing at the Jobsite..................................56
2.3.4.e Programmatic Assessment .......................................................................................................56
2.3.4.f Acceptance Sampling and Testing ............................................................................................56
2.3.5 Certificate of Compliance ................................................................................................................57
2.3.5.a Certificate of Compliance from Producer .................................................................................57
2.3.5 b Certificate of Compliance from Producer with Test Results .....................................................57
2.3.6 Material and Engineering Inspection ...............................................................................................58
2.3.6.a Material Inspection...................................................................................................................58
2.3.6.b Engineering Inspection .............................................................................................................59
2.3.7 Warranty Provisions ........................................................................................................................60
2.3.7.a Material and Workmanship Warranty......................................................................................60
2.3.7.b Performance Warranty .............................................................................................................60
2.3.7.c Guarantee .................................................................................................................................60
Chapter 3
Overview
Construction Quality Assurance Long-Range Plan .................................................................. 61

.............................................................................................................................................. 61
Section 1 Long-Range ObjectiveIntegrated Construction Quality Assurance Database ...................... 62

3.1.1 Construction Quality Assurance Database Requirements ...............................................................62
3.1.2 Potential Benefits of Construction Quality Assurance Database .....................................................63
3.1.3 Construction Quality Assurance Database Architecture .................................................................64
3.1.4 Construction Quality Assurance Database Input Software..............................................................65
3.1.5 Implementation of Construction Quality Assurance Database .......................................................67
Section 2 Long-Range ObjectiveSystem-Based Acceptance Process ................................................... 68
3.2.1 Pre-Approved Source .......................................................................................................................68
3.2.2 Unapproved Source .........................................................................................................................68
3.2.3 Laboratory Testing ...........................................................................................................................69
3.2.4 Material Approval and Delivery .......................................................................................................69
3.2.5 Field Release of Manufactured Items ..............................................................................................69
3.2.6 Project-Level Documentation ..........................................................................................................69
3.2.7 Final Materials Certification.............................................................................................................70
Section 3 Long-Range ObjectivePerformance Specifications .............................................................. 71
3.3.1 Performance-Related Specifications................................................................................................71
3.3.1.a Advantages and Requirements of Performance-Related Specifications ..................................72
3.3.1.b Status of Performance-Related Specifications .........................................................................73

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Contents
3.3.2 Performance-Based Specifications .................................................................................................. 73
3.3.2.a Distinguishing Features of Performance-Based Specifications ................................................ 73
3.3.2.b Status of Performance-Based Specifications ............................................................................ 73
3.3.3 Quality Assurance Program Changes ............................................................................................... 74
Section 4 Long-Range ObjectiveRisk-Based Acceptance Criteria ........................................................ 75
3.4.1 Analysis Acceptance Limits .............................................................................................................. 75
3.4.2 Analysis to Confirm Acceptance Plan Risks ..................................................................................... 76
Appendices
Appendix A, Caltrans Quality Assurance Documents .................................................................. A-1
Appendix B, Caltrans Quality Assurance Program Bulletin ......................................................... B-1
Appendix C, Caltrans Deputy Directives ...................................................................................... C-1
Appendix D, Contract Administration Process Evaluation (CAPE)............................................... D-1
Appendix E, IT Concept Statement Form .................................................................................... E-1
Appendix F, Features of Performance-Related Specifications ................................................... F-1

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Introduction
Introduction
For many years, state departments of transportation (state DOTs) performed testing and inspection to verify
the quality of materials used in highway construction. During those years, state DOTs were the sole testing
and inspection authority. Later, as some of the testing duties were shifted to the contractor, state DOTs
continued performing tests for acceptance or verification. The contractor testing was then referred to as
quality control, while the state DOTs testing and inspection were termed quality assurance.
In the past two decades, the use of alternative project delivery methods challenged the traditional quality
management approach where the contractor performed quality control while the owner conducted quality
assurance. This caused a shift in perspective about quality assurance. As Figure 1 illustrates, in todays work
environment quality assurance is viewed as an umbrella under which quality management activities take
place and the owners primary quality assurance role is one of acceptance. Use of the term quality assurance
is now favored over the previously used abbreviation QAQC or QCQA.
Figure 1. FHWA Concept of Quality Assurance
Quality construction is fundamental to meeting the mission of the California Department of Transportation
(Caltrans), and quality assurance is the primary means by which Caltrans ensures the quality of constructed
highway projects.
Quality assurance encompasses all materials and construction activities on a project and directly impacts the
service life of a transportation facility. The elements of an acceptable quality assurance program include
quality control by the contractor, acceptance sampling and testing and inspection by Caltrans, independent
assurance, qualified personnel, accredited laboratories, and a dispute resolution process. These elements
work together to ensure an effective quality assurance program. Any elements missing from the program
increase the risk of a reduced service life.

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Page 1
Introduction
The Construction Quality Assurance Program (CQAP), developed by Caltrans for highway construction
projects, adheres to the quality assurance requirements outlined by the Federal Highway Administration
(FHWA) in 23 CFR 637, Construction Inspection and Approval, Subpart B Quality Assurance Procedures
for Construction, Section 637.205, Policy, and Section 637.207, Quality Assurance Program.
The role of the CQAP is to provide confidence that the quality of the materials and workmanship
incorporated into highway construction projects conforms to the requirements of the plans and
specifications.
Construction Quality Assurance Program Manual Overview
Purpose
Completed projects are tangible products by which Caltrans is measured

in the delivery of its programs. The public ultimately defines the success
of Caltrans performance based on these projects.
The role of the CQAP is to

provide confidence that
the quality of the materials
and workmanship
incorporated into highway
construction projects
conforms to the
requirements of the plans
and specifications.
Caltrans makes every effort to achieve quality construction in its

projects. As a result, over the years, Caltrans has developed many
procedures and methods to ensure that every construction project
achieves the desired level of quality for both materials and
workmanship. The responsibility for ensuring quality construction has
been shared by various functional groups, resulting in the distribution of quality-related policies, procedures,
and guidelines throughout Caltrans, without a manual that documents quality-related construction
requirements.
Scope
This manual documents the CQAP by identifying existing requirements from applicable Caltrans policies,
procedures, and guidance documents related to construction (see Appendix A, Caltrans Quality Assurance
Documents) and references them in this document. This manual also demonstrates compliance with 23 CFR
637 referenced above.
The provisions of this manual apply to design-bid-build projects and projects under a construction
manager/general contractor agreement. The provisions do not apply to projects for which Caltrans has
entered into a public-private partnership or a design-build agreement. The Caltrans document, DesignBuild Demonstration Program Quality Manual Outline, provides guidance to designers-builders regarding
quality assurance. For alternate project delivery methods, Caltrans retains responsibility for acceptance. The
implementing agency may use its own program when authorized by Caltrans; however, Caltrans retains
authority for the project and performs independent quality assurance to ensure that the implementing
agencys quality assurance activities result in projects being developed in accordance with Caltrans
standards, policies, practices, and the quality control plan provided by the project sponsor. For local agency
projects, the local agency does construction contract acceptance. Caltrans then accepts the project from the
local agency.
The manual does not repeat information contained in other manuals but references where the inspection,
acceptance sampling and testing, and independent assurance requirements are found for materials used in
highway construction.

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August 2015
Introduction
Organization
Chapter 1, Construction Quality Assurance Program, describes the CQAP activities Caltrans performs
to achieve the specified quality for constructed highway facilities. These activities include control of
documents and records, management responsibilities, resource management, process control,
inspection and testing, control of nonconforming work, control of testing and measuring equipment,
and project materials certification.
Chapter 2, Construction Quality Assurance Roadmap, describes the six major components of the
CQAP; presents the route to developing quality assurance specifications for materials, workmanship,
products, and services; summarizes the various quality assurance methods Caltrans uses and provides
guidance to determine which quality assurance methods are needed to achieve a level of quality
assurance appropriate to the application of a contract item of work and severity of the consequences of
its failure.
Chapter 3, Construction Quality Assurance Long-Range Plan, recommends and describes a potential
long-range plan for improvements to the CQAP. The long-range plan includes establishing a
construction quality assurance database, adopting a system-based acceptance process, implementing
performance specifications, and adopting risk-based acceptance criteria based on use of performancerelated specifications, risk-based acceptance, and system-based acceptance. Development and
implementation of a materials management system construction quality assurance database is the
primary recommendation to improve the efficiency and quality of the CQAP.
Process for Updating
The Division of Construction issues Construction Quality Assurance Program Bulletins (CQAPBs)
(Appendix B) to improve this manual and to respond to procedure and policy changes. As needed,
subsequent revisions will be made to the manual to incorporate CQAPBs. CQAPBs supersede any
conflicting information, guideline, or instruction in the manual. If a policy contained in this manual is unclear
or has been superseded and a CQAPB has not been issued covering the changed policy, notify the Division
of Construction chief.

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Chapter 1Construction Quality Assurance Program
Chapter 1
Construction Quality Assurance Program
Overview
The CQAP includes an acceptance program for materials and workmanship, an independent assurance
program, and preparation of a project materials certification. Consistent with the Code of Federal
Regulations Title 23, Section 637 (23 CFR 637), the CQAP ensures that the materials and workmanship
incorporated into each federal-aid highway construction project on the National Highway System are in
conformity with the requirements of the approved plans and specifications, including approved changes.
The CQAP is also applicable to projects on the state highway system that have Caltrans involvement..
Chapter 1 describes CQAP-related organizational roles and responsibilities and the policies and procedures
designed to ensure that specified construction materials and workmanship incorporated into each project are
acceptable and in conformance with the contract documents. The chapter is organized into 10 sections as
follows:
1. Definitions and Abbreviations
2. Specified Level of QualityMaterials and Workmanship
3. Document and Record Control
4. Management and Staff Responsibilities
5. Resource Management
6. Process Control
7. Inspection and Testing
8. Control of Nonconforming Work and Materials
9. Control of Inspection, Measuring and Testing Equipment
10. Project Materials Certification
Section 1 addresses the definitions and abbreviations associated with the specialized vocabulary in quality
assurance programs.
Sections 2 through 10 are based in part on the International Organization for Standardization (ISO) 9001,
Quality Management Systems. The ISO 9001 standard lists 20 quality management elements that must be
addressed in developing and operating a quality assurance program. These sections demonstrate the CQAPs
conformance with the ISO 9001 elements applicable to transportation construction. Some ISO 9001
elements are not addressed in the CQAP because they reflect the manufacturing-related origins of the ISO
9000 series and a literal application to transportation construction is not appropriate.

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Section 1
Definitions and Abbreviations
The terms related to the Caltrans quality assurance program are defined below.
1.1.1
Definitions
acceptance: The process of deciding if the material and workmanship meet contract requirements.
acceptance program: All factors that comprise Caltrans determination of the products quality as specified
in the contract requirements. These factors include verification sampling, testing, and inspection, and
may include results of quality control sampling and testing. (Refer to 23 CFR 637B.)
acceptance sampling and testing: Defined in Chapter 6-102, Types of Sampling and Testing, of the
Construction Manual, as tests performed on samples from the materials that will be incorporated into
the work. They are used to determine whether the quality of produced material or construction is
acceptable in terms of the specifications.
accredited laboratories: Laboratories that are accredited by Caltrans in accordance with the requirements
of the Caltrans Independent Assurance Manual (IAM), Section 2.4, Laboratory Accreditation, for
performing tests on aggregates, asphalt concrete materials, embankment and soils, and cementitious
concrete materials.
authorized laboratories: Independent testing laboratory: (1) not employed or compensated by any
subcontractor or subcontractors affiliate providing other services for the contract, and (2) authorized
by Caltrans. (Refer to the Standard Specifications.) This includes laboratories accredited in accordance
with Section 2.4 of the IAM, as well as laboratories authorized using other methods.
construction manager/general contractor: A project delivery method where the contractor is selected
during the design process and makes input to the design via constructability, cost engineering, and
value analysis reviews. Once the design is complete, the same entity may build the project as the general
contractor. The construction manager/general contractor delivery method assumes the contractor will
self-perform a significant amount of the construction work.
construction manager-at-risk: A project delivery method similar to the construction manager/general
contractor method, except the construction manager does not self-perform any of the construction
work.
design-bid-build: A project delivery method where a project is designed by Caltrans or a design consultant
on a negotiated-price basis and is constructed by a construction contractor selected on a lowestresponsible-bid price basis.
design-build: A project delivery method where the design phase and construction phase of the project are
both simultaneously awarded to a single entity.
documentation: Proof in the form of detailed records or charts supporting the effectiveness of a quality
control system.
fabricated: Custom made under controlled conditions to Caltrans specifications.
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implementing agency: The entity charged with the successful completion of each project component as
defined in California Government Code Section 14529 (b). (Refer to Deputy Directive 90, Funding
of Quality Management Work on State Highway Projects, December 2006. Included in Appendix C.)
independent assurance program: Activities that are an unbiased and independent evaluation of the
sampling and testing procedures used in the acceptance program. (Refer to 23 CFR 637.)
independent quality assurance: The activities performed by Caltrans at a project level to ensure that the
implementing agencys quality assurance activities result in projects being delivered in accordance with
Caltrans standards, policies and practices, and the quality control plan provided by the project sponsor.
(Refer to Deputy Directive 90, Funding of Quality Management Work on State Highway Projects,
December 2006. Included in Appendix C.)
manufactured: Mass produced under controlled conditions to standard industry specifications.
process control: The method for keeping a process within boundaries; the act of minimizing the variation
of a process. (Refer to American Society for Quality, Quality Glossary.)
public-private partnership: Comprehensive lease agreement between Caltrans, or regional transportation
agencies, and public or private entities for transportation projects.
qualified laboratories: This term is used in 23 CFR 637. Caltrans uses accredited laboratories as an
equivalent to this term. Refer to the definition for accredited laboratories.
qualified sampling and testing personnel: Personnel qualified by appropriate programs established by
Caltrans or as defined in the plans and specifications.
quality: (1) the degree or grade of excellence of a product or service, (2) the degree to which a product or
service satisfies the needs of a specific customer, and (3) the degree to which a product or service
conforms to a given requirement.
quality assurance: The planned and systematic actions necessary to provide confidence that a product,
facility, or service will satisfy given quality requirements. (Refer to 23 CFR 637.)
quality control: Contractor's considerations and actions done to assess and adjust production and
construction processes to control the level of quality produced in the end product or facility, and to
fulfill specified requirements.
quality control plan: The plan provided by the construction contractor or project sponsor to ensure quality
control. (Refer to Caltrans Standard Specifications glossary and Deputy Directive 90.)
specifications: Standard Specifications, revised Standard Specifications, and special provisions.
verification: The process of determining or testing the truth or accuracy of a test result by examining the
data. Caltrans applies this process as part of the acceptance program by inspection, sampling, and
testing to determine the accuracy of the contractors test results.
verification sampling and testing: Sampling and testing performed to validate the quality of the product.
(Refer to 23 CFR 637.)

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1.1.2
List of Abbreviations
The following abbreviations and their definitions are used in this manual.
Abbreviation
Description
AASHTO
American Association of State Highway and Transportation Officials
AFAL
Authorized Facility Audit List
AISC
American Institute of Steel Construction
ASTM
American Society for Testing and Materials
BCRP
Bridge Construction Records and Procedures Manual (Caltrans)
CAPE
Contract Administration Process Evaluation
CFR
Code of Federal Regulations
CTM
California Test Method
DES-SC
Division of Engineering Services, Structure Construction
DOT
Department of Transportation
FSR
Feasibility Study Report
FHWA
Federal Highway Administration
HMA
hot mix asphalt
IAM
Independent Assurance Manual (Caltrans)
METS
Division of Engineering Services Materials Engineering and Testing

Services/Geotechnical Services
MPQP
Material Plant Quality Program
OSM
Division of Engineering Services Materials Engineering and Testing Services/Office of

Structural Materials
OSMPP
Office of Structural Materials Practices and Procedures Manual
PaveM
Pavement Management System (Caltrans)
PBS
performance-based specifications
PRS
performance-related specifications
QAD
Quality Assurance Database
CQAP
Construction Quality Assurance Program (Caltrans)
QASI
Quality Assurance and Source Inspection

August 2015
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Section 2
Specified Level of QualityMaterials and Workmanship
The CQAP describes the quality requirements for material and workmanship to be incorporated into a
construction project and the acceptance criteria by which Caltrans will verify conformance with the plans
and specifications.
1.2.1
Materials
The quality requirements for materials are contained in the: (1) specifications for submittals, quality
assurance, and materials; (2) contract plans; and (3) change orders. These documents include or reference
the acceptance criteria for determining if the prescribed quality for materials has been met. For example,
Standard Specifications Section 19-3.02B, Structure Backfill, requires that structure backfill complies
with the grading requirement of 100 percent passing the 3-inch sieve.
1.2.2
Workmanship
The quality requirements for workmanship are contained in the specification sections for quality control and
assurance and construction and also in the plans or change orders. For example, Standard Specifications
Section 73-3, Sidewalks, Gutter Depressions, Island Paving, Curb Ramps and Driveways, requires that
The finished surface must not vary more than 0.02 foot from a 10-foot straightedge

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Section 3
Document and Record Control
Activities affecting quality are prescribed by and accomplished in accordance with documented instructions,
procedures, and drawings. These documents also include appropriate quantitative or qualitative acceptance
criteria for determining that the activities have been satisfactorily accomplished.
The following types of documents are used in the CQAP:
Documents that provide consistent information, both internally and externally, about the CQAP. Such
documents are referred to as quality manuals.
Documents that describe how the CQAP is applied to a specific product, project, or contract. Such
documents are referred to as quality plans.
Documents stating requirements. Such documents are referred to as specifications.
Documents stating recommendations or suggestions. Such documents are referred to as guidelines.
Documents that provide information about how to perform activities and processes consistently. Such
documents include documented procedures, work instructions, and drawings.
Documents that provide objective evidence of activities performed or results achieved. Such
documents are referred to as records.
1.3.1
Document Control
The CQAP includes procedures to control the issuance of documents, including changes, which prescribe
the activities affecting quality. These procedures ensure that documents, including changes, are: (1)
reviewed for adequacy, (2) approved for release by authorized personnel, and (3) distributed for use where
the prescribed activity is performed.
The process of preparing, issuing, and updating or revising those documents that specify quality
requirements or prescribe activities affecting quality is controlled to ensure that correct, up-to-date
documents are being used. The document control system ensures distribution and availability of the latest
authorized documents to required users prior to the start of work.
Program level documents, such as the Construction Manual and changes to it, are reviewed for
adequacy and authorized for release by appropriate division personnel. For example, the Division of
Construction uses Construction Policy Bulletins to make immediate changes in policy to the
Construction Manual. These policy changes are incorporated into the Construction Manual by the
Manual Change Transmittal process which the Division of Construction reviews and controls. Another
useful guide is the Office of Structural Materials Practices and Procedures (OSMPP) manual, which
is controlled by the Office of Structural Materials (OSM).
Project level documents such as plans and specifications are controlled and issued by district office
engineers as part of the construction contract for a project. Changes to these documents after project
award are controlled by a change order process.

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Table 1.3.1 lists supporting documentation to assist with document control.

Table 1.3.1. Document Control References
Title
Chapter/Section
Description
Construction Manual
Construction Manual
Chapter 1, Section 0
Construction Manual Overview

Project Records and Reports
Construction Manual
Change Orders
Construction Manual
Chapter 9
Projects Funded by Others
OSMPP, 3/2012
Section 1-10
Quality Control Plan Review
OSMPP, 3/2012
Section 1-11
Shop Plan Review
BCRP, Vol. I, 6/30/2015

BCRP, Vol. 1, 6/30/2015
Section 9
Section 16
Final Records and Reports

Bridge Construction Forms
1.3.2
Records Control
The CQAP includes procedures that ensure sufficient records are maintained to furnish evidence of activities
affecting quality. At a minimum, inspection and test records must identify the inspector, tester, or data
recorder, the type of observation, the results, the acceptability, and the action taken in connection with any
deficiencies noted. Records must be identifiable and retrievable. Records retention requirements, such as
duration, location, and assigned responsibility, are established.
Quality records describe the work involved and contain evidence that work items met the requirements of
the plans and specifications; sampling and testing personnel, procedures and equipment were properly
certified or accredited; and corrective action was taken for any nonconforming conditions. Records
generated for the project by Caltrans, consultants, contractors, subcontractors, and suppliers represent an
important and integral part of each construction project. Contractors are required to maintain quality records
as evidence of their activities and those of their subcontractors and suppliers.
Resident engineers and structure representatives maintain records at the projects during the construction
phase. After project closeout, those records are transferred to district archives and retained in accordance
with record retention schedules. As-built plans for all projects on the state highway system are submitted to
the document retrieval system unit at the Headquarters Office of Computer Aided Drafting Design and
Engineering, Global Information System Support. The official as-built plans are the microfilm copies stored
with the headquarters microfilm unit. Structure-related documents are submitted to headquarters Office of
Structure Construction for distribution to other pertinent units for record keeping. Refer to BCRP, Vol I,
Section 9.
Required quality records are indexed, filed, readily retrievable for authorized personnel, maintained, stored
to minimize deterioration and prevent damage or loss, and archived according to applicable written
procedures. Table 1.3.2 shows file categories that are used for records control.

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Table 1.3.2. Records Control File Categories

File
Category
9
11
29
File
Category
File Description
Welding
39
Information Furnished at Start of

Project
Materials Information and
Preliminary Tests
40
File Description
Materials Testing Qualification of
Employees
Field Laboratory Assistant Reports to
Resident Engineer
41
Report of Inspection of Material
30
Basement Soil Test Results
42
Material Plants
31
Notice of Materials to Be Used
43
Concrete and Reinforcing Steel

(Structures)
32
Notice of Materials to be Inspected

at the Jobsite
45
Resident Engineers Daily Reports
34
Treated Base
46
Assistant Resident Engineers Daily

Reports
35
Hot Mix Asphalt (HMA)
47
Drainage Systems
36
Concrete (other than structure

items
49
Change Orders
37
Initial Tests and Acceptance Tests
63
Project Completion Documents
38
Quality Control and Quality

Assurance
Most project records are paper documents and are located either at the project field office for current projects,
or the district archives for completed projects. An example of a document review would be to determine if
qualified sampling and testing personnel were used to perform tests. The first step would be to sample
records from Category 37, Initial Tests and Acceptance Tests, to obtain the names of testers. Then review
records from Category 39, Materials Testing Qualification of Employees, to determine that testers are
qualified. For more information, refer to the Construction Manual.
Table 1.3.3 lists supporting documentation to assist with records control.
Table 1.3.3. Records Control References
Title
Chapter/Section
Description
Construction Manual
Project Records and Reports
BCRP, Vol. I, 6/30/2015
Section 9
Final Records and Reports
OSMPP, 3/2012
Section 1.17
Uniform Filing System for Project

Specific Documents

August 2015
Page 11
Section 4
Management and Staff Responsibilities
1.4.1
Quality Objective
Caltrans strategic goals include efficient delivery of quality transportation projects and services, and
promotion of quality service through a skilled workforce.
1.4.2
Quality Commitment
Caltrans is committed to providing adequate technical, administrative, and managerial services to ensure
that each construction project is completed to the specified level of quality, and when placed in operation,
provides a safe, reliable, easily maintained facility that fulfills the intended function and meets applicable
statutory and regulatory requirements.
1.4.3
Responsibility and Authority
Caltrans key organizations and management positions responsible for managing, performing, and verifying
work affecting quality are described in Chapter 1, Caltrans Construction Organization, of the Construction
Manual.
1.4.3.a
Division of Construction
The Division of Construction chief leads the CQAP to deliver quality transportation projects and
services.
The Construction Division office chiefs and staff, and construction field coordinators, assist with
contract administration processes and reviews.
1.4.3.b
District Construction
The district construction division chief or district construction deputy director is responsible for
implementing the CQAP in their respective region or district.
District construction engineers are responsible for ensuring adequately trained resident engineers,
ensuring that materials and work comply with plans and specifications, and maintaining project quality
records.
District materials engineers are responsible for district and field materials laboratories and the
independent assurance program in their respective region or district.
The resident engineer assigned to each project is the onsite construction representative and is
responsible for contract administration, construction engineering, and the acceptance of materials and
workmanship on each assigned project.
1.4.3.c
Division of Engineering Services
The Division of Engineering Services, Structure Construction (DES-SC) is responsible for technical
control of structure work and has ultimate responsibility and authority for decisions relating to the
structural adequacy of contract work on structures. DES-SC engineers are assigned to all districts to
provide field engineering for structures.
Division of Engineering ServicesMaterials Engineering and Testing Services (METS) conducts

specialized laboratory and field testing, provides source inspections, and gives expert advice on all
Page 12
August 2015
phases of transportation engineering involving materials and manufactured products. METS also
provides technical expertise for the development of statewide standards, procedural guidelines, and
manuals.
1.4.3.d
Other Divisions
The Divisions of Maintenance and Design are available to support the resident engineer in implementing
the CQAP. Figure 1.4.1 reflects the many support services available to the resident engineer.
Aggregate Lab
Cement Lab
Concrete Lab
Concrete Materials
Testing
Asphalt Binder &

Hot Mix Asphalt
Lab
Chemical
Testing Branch
Corrosion and Field

Investigations
Quality Assurance &

Source Inspection
Electrical Testing
Branch
Instrumentation
Services Branch
Testing
Quality Assessment
& Management
Independent
Assurance &
Reference Sample
Program
District/Region
Construction Engineer
Structural Material
Representative
Office of Roadway
Materials Testing
Structure Policy
& Innovation
Field Materials
Laboratory
District/Region
Materials Engineer
District/Region
Construction
District/Region
Design
Geotechnical
Services
Office of Structural
Materials
Pavement
Program
District/Region
Environmental
District/Region
Right of Way
METS/GS
Structures
Construction
Office of Structure
Maintenance and
Investigations
District/Region
Maintenance
District/Region
Surveys
Structures
Design
Division of
Construction
District/Region
Materials Laboratory
Division of
Engineering
Services
Division of
Maintenance
District/Region
Office
District Support
Other Support
RESIDENT
ENGINEER/STRUCTURE
REPRESENTATIVE
Roadway Materials
Support Structure Construction Only
Indicates Materials Engineering may
report to District Construction or District
Design dependent on the District.
Figure 1.4.1. Support Services Available to Resident Engineer
Individuals responsible for implementing the CQAP and for verifying that activities affecting quality are
properly performed have sufficient authority, access to work areas, and organizational freedom to:
1. Identify quality problems.
2. Initiate, recommend, and provide solutions to quality problems through designated channels.
3. Verify implementation of solutions.
4. Ensure that further processing, delivery, construction, and use are controlled until proper resolution of a
nonconformance, deficiency, or unsatisfactory condition has occurred.

August 2015
Page 13
These individuals have direct access to the management level where appropriate action can be taken, with
sufficient independence from cost and schedule considerations unduly influencing those decisions. Refer to
Construction Manual, Section 1-1, Construction Organization, for supporting documentation.
1.4.4
CQAP Process Evaluation
Evaluations are conducted routinely to determine the effectiveness of the various CQAP processes. When
deficiencies are found, corrective actions are taken by the appropriate division. The following are examples
of Caltrans annual CQAP process evaluations.
The Division of Construction conducts an annual Contract Administration Process Evaluation (CAPE). The
CAPE typically reviews four to six different elements of the contract administration process. (Refer to
Appendix D.)
OSM performs annual audits of each Quality Assurance and Source Inspection (QASI) Branch to ensure
that the branches are using consistent practices and procedures.
DES-SC management conducts an annual project record review on projects that have structures work. If
inadequacies are found, the reviewer informs the structure representative and conducts another review
within 1 month to verify that the noted problems have been corrected.
Table 1.4.2 lists supporting documentation to assist with process evaluation.
Table 1.4.2. Process Evaluation References
Title
Chapter/Section
Description
OSMPP, 3/2012
Section 1.6
Quality Assurance and Source

Inspection (QASI) Branch Audits
BCRP, Vol. I, 6/30/2015
Section 3, Bridge Construction

Memo 3-3.0
Project Record Review

Page 14
August 2015
Section 5
Resource Management
The CQAP includes guidance for Caltrans to provide necessary resources to implement, maintain, and
continually improve the programs effectiveness. Adequate personnel and technological and environmental
resources are provided to support project delivery in conformance with regulatory requirements. These
provisions are consistent with 23 CFR 637.205B requirements that adequate, qualified staff be maintained
to administer the CQAP. Caltrans also maintains the Transportation Laboratory, a central transportation
laboratory in Sacramento, California which is accredited by the American Association of State Highway
and Transportation Officials (AASHTO) Accreditation Program for the testing of aggregate, asphalt binder,
asphalt concrete, cement, concrete, and soils.
1.5.1
Competence, Awareness, and Training
The CQAP includes procedures to ensure the training of personnel performing activities affecting quality
and to ensure that suitable proficiency is achieved and maintained. Managers of activities affecting quality
are responsible for determining required personnel competencies and assessing needs; ensuring that actions
such as training are taken to satisfy those needs; and evaluating the actions to confirm that personnel are
adequately trained and qualified to manage and perform assigned work activities.
Quality assurance training ensures that Caltrans project personnel are knowledgeable regarding the CQAP,
procedures and guidelines, specific contractual requirements, specialized technical training, and employee
development. Managers review the education and experience of employees to determine whether additional
training is required. Managers are periodically requested to select personnel for scheduled safety training
and other employee development training such as project management and field inspection. Such training
could include:
American Welding Society Welding
Basic Surveying for Construction
Concrete Paving Inspection
Concrete Technology
Contract Administration and Inspection of Field Clean and Paint Steel
Deck Construction
Drainage Inspection
Electrical Systems Inspection
Foundations
Grading (Earthwork) Inspection
Hot Mix Asphalt (HMA) Basics
Landscape Inspection
Prestressed Concrete
Profilograph Training
Resident Engineer Academy

August 2015
Page 15
Resident Engineer Certification Program-Structure Inspection Class
Structure Construction Field Engineer Training
Refer to Appendix C, Deputy Directive 75-R1, Training, effective May 27, 2015, for supporting
documentation.

Page 16
August 2015
Section 6
Process Control
The CQAP includes process control procedures, based on specifications, plans, process parameters and
approvals, and other appropriate methods, to control contractor construction processes that affect material
and workmanship quality. Typical elements of construction process control addressed throughout this
manual include, but are not limited to:
Approved material sources
Quality workmanship standards
Quality control requirements
Acceptance criteria
Inspection and testing
1.6.1
Proposed Source of Materials
The contractor must notify the resident engineer of the sources of materials obtained for incorporation into
the work. Such notification is required prior to the preconstruction conference. The contractor must use
Form CEM-3101, Notice of Materials to Be Used, to list all materials to be used on the contract.
1.6.1.a
Material Identification and Traceability
The CQAP includes procedures to ensure that contractors maintain identification, control, and traceability
of materials and components, from point of production through material incorporation into the project. These
procedures specify the methods and extent of material identification and traceability to ensure that only
correct and acceptable items are incorporated into the project. The procedures ensure that item identification
is maintained by heat number, part number, serial number, or other appropriate means either on the item or
on records traceable to the item throughout fabrication, erection, delivery, installation, and use of the item.
The Standard Specifications specify the identification requirements for different materials. For example,
Section 49-2.02B(1)(e), Markings, requires the contractor to provide steel pipe piling with markings
showing the heat number. Commercial-quality items are not required to be traceable.
The following methods are applicable:
Contractor quality control plan. When applicable, the contractor is required to maintain the traceability
of materials.
Certificate of Compliance. These certificates are required to show a unique shipment number or a serial
number traceable to a specific silo, bin, lot, or heat number.
Source inspection. Inspected materials meeting specifications are identified by lot numbers. The METS
inspector enters the lot number, a description, and the quantities of materials inspected on Form TL0029, Report of Inspection of Material.

August 2015
Page 17
Table 1.6.1 lists supporting documentation to assist with control of work and materials.
Table 1.6.1. Control of Work and Materials References
Title
Chapter/Section
Standard Specifications, 2010
Construction Manual
Description
6, 19, 20, 21, 37, 39, 40, 41, 47, 49,

50, 51, 52, 55, 57, 59, 74, 75, 80,
82, 85, 86
Quality Control, Materials
Control of the Work
Construction Manual
Control of Materials
Construction Manual
Acceptance of Manufactured or
Fabricated Materials and Products
BCRP, Vol. I, 6/30/2015
Section 4
OSMPP, 3/2012
Section 1.9.5.2
Lot Numbers
OSMPP, 3/2012
Section 1.14.5
Documentation Guidelines
1.6.1.b
Handling, Storing, and Transporting
The CQAP includes procedures to ensure the contractors control of handling, storage, shipping, cleaning,
and preservation of material and equipment to prevent damage or deterioration. When necessary for special
products, protective environments such as specific temperature levels are required. Examples of materials
requiring such measures include hot mix asphalt, cement, asphalt emulsions, and prestressing steel. When
no requirements are specified, manufacturers requirements are followed. Refer to OSMPP, March 2012,
Section 3.13, Storing, Handling and Transporting, for supporting documentation.
1.6.1.c
Control of Special Processes
The CQAP includes procedures to ensure that special processes such as

welding, non-destructive testing, structural steel coating, and masonry
construction are controlled and performed by qualified personnel using
procedures stated in applicable codes, standards, specification criteria,
and other special requirements. For example, Standard Specifications
Section 11-3, Welding, states the personnel requirements and
procedures required by applicable codes.
A special process is any

production process that
generates outputs that
cannot be measured,
monitored, or verified until
after the resulting products
have been used.
Table 1.6.2 lists supporting documentation to assist with special

processes.
Table 1.6.2. Special Processes References
Title
Chapter/Section
Description
Section 11-3
Welding
BCRP, Vol. II, 3/30/2015
Section 170
Structural Steel
BCRP, Vol. II, 3/30/2015
Section 180
Welding
OSMPP, 3/2012
Section 1.9
QA Inspector Responsibilities
OSMPP, 3/2012
Section 3.6
Prestressing Procedures

Page 18
August 2015
Section 7
Inspection and Testing
The CQAP includes procedures for inspecting activities that affect quality to verify conformance with the
documented instructions, procedures, and plans for accomplishing the work. Examinations and
measurements are required for each work operation to ensure quality. Procedures also ensure that all
required material or product testing is identified and performed in accordance with written test procedures
that incorporate the requirements and acceptance limits in applicable
construction documents.
Inspection is an activity,
1.7.1
Role of Resident Engineer
Caltrans resident engineers must review and monitor the technical

inspection activities performed by the contractor and Caltrans personnel to
ensure: (1) necessary inspections and testing are performed in a proper
manner; (2) proper inspection techniques are used; and (3) contract
requirements for quality control and acceptance of material and
workmanship are enforced.
using observation,
measurement, testing,
and judgment, that
compares one or more
characteristics of a
product with specified
requirements to
determine if the product
meets the requirements.
Procedures and guidelines prescribe source and field inspection activities that collectively provide for the
desired level of quality. Written inspection procedures provide guidance on: (1) characteristics to be
inspected; (2) inspection methods; (3) acceptance and rejection criteria; and (4) methods for documenting
inspection results.
Table 1.7.1 lists supporting documentation for engineering duties.
Table 1.7.1. Engineer Duties References
Title
Chapter/Section
Description
Construction Manual
Construction Manual
Chapter 4
Control of Work
Construction Details
OSMPP, 3/2012
Section 1.8
QASI Branch Duties and
BCRP, Vol. I, 6/30/2015
Section 4
1.7.2
Quality Control Inspection and Testing
The quality control function is the responsibility of the contractor. The contractor is responsible for
establishing, implementing, and maintaining a quality control system to manage, control, document, and
ensure that work complies with the requirements of the plans and specifications. The quality control system
must ensure the adequate control and assurance of quality for materials, equipment, workmanship,
fabrication, and construction by the contractor and its subcontractors, suppliers, authorized laboratories, and
consultants.
The purpose of quality control activities is to measure the quality characteristics and inspect the activities
that impact production when corrective action can be taken to prevent appreciable nonconforming material
from being incorporated into the project. Effective quality control tests are those whose results can be
obtained during the process to allow adjustments to be made to ensure items will meet acceptance criteria.
For example, revised Standard Specifications Section 39, Hot Mix Asphalt, contains a Quality Control
section for each type of hot mix asphalt.
August 2015
Page 19
Caltrans may use results from contractor quality control testing for acceptance. For acceptance of results,
the following Caltrans activities must occur:
Authorization of the contractors quality control plan.
Accreditation of the contractors laboratory.
Authorization of qualifications of contractors testing personnel.
Evaluation of quality control sampling and testing.
Verification that validates the quality of sampling and testing.
Details for the production and placement of hot mix asphalt are provided in the Caltrans Division of
Construction Quality Control Manual for Hot Mix Asphalt.
Table 1.7.2 lists supporting documentation for quality control inspection and testing.
Table 1.7.2. Quality Control References
Title
Chapter/Section
Description

Construction Manual
Various
Quality Control
Construction Manual
Chapter 6, Section 6-107
Materials Acceptance Sampling and Testing
BCRP, Vol. I, 6/30/2015
Section 4
1.7.3
Acceptance Inspection and Testing
Caltrans typically uses the design-bid-build method of project development, but sometimes also uses
alternative contracting methods such as design-build (California Streets and Highway Code, Section 143).
Caltrans is responsible for the acceptance function on its construction projects regardless of the contracting
method used.
Acceptance includes inspecting the component materials upon delivery, placement or installation, and
inspecting the workmanship and quality of the finished product. The Construction Manual and the BCRP
include guidance for activities to be conducted by the resident engineer or structures representative in the
workmanship and materials acceptance process. For example, Section 4-1903B (2), Structure Backfill, of
the Construction Manual requires the resident engineer to inspect the backfill to ensure it is brought up
uniformly and in the specified layer thickness. Records of this inspection would be filed in Category 45,
Resident Engineers Daily Reports; and Category 46, Assistant Resident Engineers Daily Reports of the
project files.
1.7.3.a
Quality Assurance Methods
Chapter 2, Section 3 of this manual details the categories of quality assurance methods Caltrans uses to
ensure the quality of material and workmanship. The listed methods can be used singularly but are generally
used in combination or series to achieve the level of quality assurance desired. Decisions on the level of
quality assurance required are based on the use or application of the item and the severity of the
consequences of its failure. Table 2-2.8, Quality Assurance Method Application Matrix, of this manual
illustrates the use of each quality assurance method.

Page 20
August 2015
1.7.3.b
Acceptance Criteria
The Standard Specifications and Standard Special Provisions provide acceptance criteria for all materials.
Caltrans meets the 23 CFR 637.205(d) verification requirements by performing acceptance inspection,
sampling, testing, and measurement activities to ensure the products quality. When specified, the
contractors quality control sampling and testing may be used in the acceptance decision in accordance with
23 CFR 637.207.
1.7.3.b (1)
Manufactured and Fabricated Materials
For manufactured and fabricated materials incorporated into the project, the acceptance program provides
for:
Acceptance sampling and testing of the materials at the site of manufacture or fabrication.
Acceptance by the resident engineer upon delivery of the materials at the jobsite on the basis of a
manufacturer-provided Certificate of Compliance.
Acceptance based upon these materials or the source of these materials having been previously
authorized and listed on the Caltrans authorized materials list.
1.7.3.b (2)
Jobsite Produced Materials
For job-site-produced materials incorporated into the work, the acceptance program contains:
Frequency schedules for acceptance sampling and testing which give general guidance to personnel
responsible for the program and allow adaptation to specific project conditions and needs.
Identification of the specific location in the construction or production operation where random
acceptance sampling and testing is to be accomplished.
Identification of the specific attributes to be inspected which reflect the quality of the finished product.
Incoming material or equipment items require documentary evidence that they conform to specified quality
and contractual requirements before use, processing, or installation. This documentary evidence is retained
at the jobsite or central file (upon project completion) and is sufficient to identify specific requirements, such
as codes, standards, or specifications, that the material or equipment meet.
Table 1.7.3 lists supporting documentation for acceptance criteria.
Table 1.7.3. Materials Acceptance References
Title
Chapter/Section
Description

Construction Manual
Various
Chapter 4
Quality Control and Assurance, Materials

Construction Manual
Chapter 6
Sampling and Testing
BCRP, Vol. I, 6/30/2015
Section 4
1.7.4
http://www.dot.ca.gov/hq/esc/ctms/index.html
Independent Assurance
The Caltrans Independent Assurance Program, documented in the IAM, is a system-based process that
ensures that the laboratories, testers, and equipment used to provide test results for material acceptance
decisions on construction projects are capable of performing tests and producing test results consistent with
Caltrans standards. In the system-based process, written and practical examinations ascertain a testers
August 2015
Page 21
qualifications. Also, Caltrans independent assurance staff annually review equipment calibrations and
laboratories. This approach removes the need for project-specific independent assurance samples. The
Independent Assurance Program is applied to testing on aggregates, asphalt concrete materials, embankment
and soils, and cementitious concrete materials based on Federal Highway Administration (FHWA)
Questions and Answers on the Quality Assurance Regulation (23 CFR 637).
The Caltrans Independent Assurance Program includes:
Evaluation of testing equipment.
Evaluation of testing personnel.
Prompt comparison and documentation of test results obtained by the tester being evaluated and the
independent assurance tester.
Annual reporting to FHWA.
Table 1.7.4 lists supporting documentation for independent assurance.

Table 1.7.4. Independent Assurance References
Title
Chapter/Section
Description
IAM, 7/2005
Section 2.1.
IA Program Overview
IAM, 7/2005
Section 2.2.
IA Staff Certification
IAM, 7/2005
Section 2.3.
Tester Qualifications
IAM, 7/2005
Section 2.4.
Laboratory Accreditation
IAM, 7/2005
Section 2.4.2.2.
Calibration of Test Equipment
IAM, 7/2005
Section 2.4.3.
Proficiency Testing
IAM, 7/2005
Section 2.5.
Dispute Resolution

Page 22
August 2015
Section 8
Control of Nonconforming Work and Materials
The CQAP includes procedures to control nonconforming work and materials. Nonconformance is a
deficiency that may render work and materials unacceptable, including failures, malfunctions, deviations,
and defective material and equipment. CQAP procedures identify, segregate, and track nonconforming work
and materials until a resolution is made to prevent their inadvertent use or installation. Nonconformances
are reviewed and rejected, reworked, or accepted in accordance with change order or other documented
procedures. An example of a nonconforming item that would be rejected is a pre-cast girder with a missing
strand. An example of a nonconformance that could be accepted based on repair would be damaged castin-place concrete pipe. Nonconforming materials may also be accepted by applying a specified pay factor
adjustment, such as for hot mix asphalt pavement when compaction test results indicate that the density is
outside the specified limit, but is suitable for the intended purpose. Any nonconforming condition that results
in a change to the technical requirements of the original contract or previously authorized shop drawing
requires documented engineering review and acceptance.
Table 1.8.1 lists supporting documentation for noncomforming work and materials.
Table 1.8.1. Nonconforming Work and Materials References
Title
Chapter/Section
Description
Noncompliant and Unauthorized
Work
Noncompliant and Unauthorized
Work
Section 5-1.30
Construction Manual
Construction Manual
Acceptance of Manufactured or
Fabricated Materials and Products
OSMPP, 3/2012
Section 1.4.2
NCR Summary Report
OSMPP, 3/2012
Section 1.19
Blue Tag Material Release
TL-0015
METS Form
TL-0016
METS Form
Quality Assurance Nonconformance

Report
Resolution
1.8.1
Corrective and Preventive Action
Corrective action is defined as action to eliminate the cause of a detected nonconformity or other undesirable
situation. Preventive action is defined as action taken to eliminate the cause of a potential nonconformity or
other undesirable potential situation. Corrective action is taken to prevent recurrence whereas preventive
action is taken to prevent occurrence.
The CQAP includes requirements for corrective and preventive action by the contractor to ensure that
conditions adverse to the quality of materials and workmanship are identified, analyzed, and documented,
and that corrective action is implemented when warranted to prevent recurrence. The processes outlined in
these procedures include:
Investigating the cause of nonconformance and the corrective actions needed to prevent recurrence.
Analyzing processes to detect and eliminate potential causes of nonconformance.
Initiating remedial actions to address problems to a level appropriate with the risks encountered.

August 2015
Page 23
Ensuring that corrective actions are taken and are effective, and implementing and recording changes
resulting from the corrective action.
According to these procedures, the contractor is required to investigate the cause of the nonconformance
and immediately take corrective action, including retesting repaired and reworked items. Items that require
repair, replacement, or repeated testing are re-inspected for compliance with contract requirements only
when the agreed upon corrective actions have been implemented. For example, in accordance with the
Quality Control Manual for Hot Mix Asphalt Production and Placement, the contractors quality control
plan must include a daily inspection provision requiring that, if a single quality characteristic has two
consecutive acceptance or quality control test results not in compliance with the specification, the contractor
must stop production, notify the engineer, take corrective action, and demonstrate compliance with the
specification before resuming production.
Table 1.8.2 lists supporting documentation for corrective and preventive action.
Table 1.8.2. Corrective Work References
Title
Chapter/Section
Description
Construction Manual
Suspected Fraudulent Test and

Inspection Reports
Construction Manual
Chapter 4
Construction Manual
OSMPP, 3/2012
OSMPP, 3/2012

Section 1.4.2
Section 1.19
Acceptance Records
NCR Summary Report
Blue Tag Material Release
TL-0015
METS Form
TL-0016
METS Form

Page 24
August 2015
Section 9
Control of Inspection, Measuring, and Testing Equipment
The CQAP includes procedures to ensure that inspection, measuring, and testing equipment used for
contract acceptance are properly identified, controlled, and calibrated by qualified technicians at specific
frequencies to maintain accuracy within required tolerances. Records of calibration activity are maintained
in sufficient detail to provide objective evidence of planned frequency of calibration, actual calibration,
repair, or removal from service. In addition, Caltrans re-evaluates the validity of previous inspection and test
results when equipment used previously for inspecting, measuring, and testing is found to be defective.
When contractor quality control tests are used for acceptance, the contractor is required to have a calibration
program for applicable test and inspection equipment.
Table 1.9.1 lists supporting documentation for inspection and testing.
Table 1.9.1. Inspection and Testing References
Title
Chapter/Section
Description
IAM, 7/2005
MPQP, 7/2008
Appendix H
Appendix
Calibration of Materials Testing Equipment

Calibration and Production Error Limits
Construction Manual
Field Testing Equipment
13, 15, 20, 37, 40, 41, 46,

50, 55, 59, 61, 84, 90, 92,
Various

August 2015
Page 25
Section 10
Project Materials Certification
The CQAP includes procedures to ensure the resident engineer prepares and submits a project final materials
certification. Upon project completion, the resident engineer must prepare Form CEM-6302, Final
Materials Certification. The resident engineer must certify that, other than for the exceptions listed on the
form, the results of tests performed on acceptance samples indicate the materials incorporated in the
construction work and the construction operations controlled by sampling and testing were in conformity
with the authorized plans and specifications. This certification is consistent with 23 CFR 637.207(a) (3)
requirements that each acceptance program include the preparation and submission of a project materials
certification.
Examples of exceptions to be listed on the certification form include:
Materials accepted by applying specified pay factor.
Materials out of operating range but within contract compliance for which a specified payment
deduction was made.
Materials not in compliance with the plans or specification for which a change order was authorized to
accept the material.
Materials that require certificates of compliance but one or more have not been submitted.
Refer to Construction Manual, Section 6-106, Project Materials Certification, for supporting documentation.

Page 26
August 2015
Chapter 2Construction Quality Assurance Roadmap
Chapter 2
Construction Quality Assurance Roadmap
Overview
This chapter provides guidance to Division of Construction and Materials Engineering and Testing
Services/Geotechnical Services (METS) staff, specification owners, and others involved in determining
quality assurance requirements for materials and workmanship in highway construction contracts.
The chapter discusses the primary elements of the quality assurance program, provides a guide for
developing quality assurance specifications, and discusses methods to ensure the quality assurance standards
in the plans and specifications are met.
The specification owner has the primary responsibility for the specification content, including the quality
control requirements and acceptance criteria. This document provides guidance for selecting quality
assurance requirements and methods, but specification owners must apply engineering experience and
judgment when making the final selection.

August 2015
Page 27
Section 1
Quality Assurance Elements
The essential elements of an acceptable quality assurance program are quality control by the contractor,
acceptance inspection and testing by Caltrans, independent assurance, a dispute resolution process, use of
authorized laboratories, and use of qualified personnel. If any elements are missing, the program as a whole
is significantly weakened and risk is increased. These elements must be
Six Elements of a
included in the specifications for items that use contractor quality control
Quality Assurance
test results in the acceptance decision.
Program
2.1.1
Contractor Quality Control
1. Quality control by
contractor
2. Acceptance by Caltrans
3. Independent assurance
4. Dispute resolution
process
5. Authorized laboratories
6. Qualified personnel
Contractor quality control is designed to monitor, assess, and adjust the

production or placement processes of specific materials to ensure that the
final product will meet the specified quality level. Quality control testing
is different from acceptance sampling and testing discussed in Section
2.1.2. Quality control testing measures quality characteristics and inspects
activities that impact the quality of the finished product at a time when
corrective action can be taken, if needed. The efforts and testing defined and performed by the contractor
should be able to identify nonconforming material and prevent its incorporation into the final product. It also
identifies proper control and provides a level of confidence that the work is being completed according to
the specifications.
Assigning this function to the contractor evolved primarily for two reasons. First, if Caltrans controls the
contractors process, then Caltrans implicitly accepts responsibility for the product and must accept it,
regardless of the quality. Secondly, because the contractors production equipment and personnel are used
to produce the material and construction, the contractor is the best entity to control these items.
The contractor is responsible for establishing, implementing, and maintaining a quality control plan to
manage, control, document, and ensure that work complies with the requirements of the contract documents.
The minimum contractor quality control activities are defined in the construction contract. The contractors
quality control plan should address the following elements for each contract item:
Managing the work to ensure that both onsite and offsite work complies with the contract requirements,
including the work of subcontractors, suppliers, and testing laboratories.
Managing submittals, including but not limited to, supplemental quality control plans, qualification and
certification documents for laboratories and testing personnel, certificates of compliance, shop
drawings and proposed methods for fabrication and construction activities, mix designs, inspection
reports, and test results.
Providing the necessary inspection to ensure effective quality control and assurance of quality for
acceptance of materials and workmanship. This includes but is not limited to fabrication, sampling and
testing, production, storage, delivery, construction, and placement.
Identifying, controlling, and documenting materials and workmanship that do not meet the specified
level of quality. Documentation should include the nature of the non-conformance, location, extent,
and disposition (such as removed and replaced, reworked, accepted based on engineering judgment).
The final disposition of non-conforming materials or workmanship must be authorized by Caltrans.

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Training to ensure that proficiency is achieved and maintained by personnel performing activities that
affect quality.
Ensuring that the equipment used in the production and testing of the materials provides accurate and
precise measurements in accordance with the applicable specifications.
Maintaining a record of inspections, including but not limited to, date of inspection, results of
inspection, and any subsequent corrective actions taken.
While the primary purpose of quality control activities is to provide timely information for the contractor to
monitor and guide each production or placement process, quality control data for certain quality
characteristics may also be used in the final acceptance decision. If the data is used in the acceptance
decision, it must be validated by independently obtained verification data. Caltrans is responsible for
conducting verification sampling and testing to provide an assessment of product quality that is completely
independent of the contractors quality control process. Not all characteristics that are monitored by quality
control are required to be verified, such as those used for process control. Contractors will often perform
more than the minimum level of quality control, including testing of material properties beyond those critical
quality characteristics that will be used in Caltrans acceptance decision.
2.1.2
Department Acceptance Program
The Non-Regulatory Supplement for 23 CFR 637.207 requires that, The States acceptance program
should provide a reasonable level of inspection to adequately assess the specific attributes which reflect the
quality of the finished product. Verification inspection should include inspection of the component materials
at the time of placement or installation, as well as the workmanship and quality of the finished product.
The department acceptance program activities of verification sampling, testing, and inspection provide a
product quality assessment completely independent of the contractors quality control process. These
activities enable Caltrans to verify that the product meets the quality specified in the contract requirements.
In some instances, determining a quality-based pay factor for a given finished item is also involved. The
acceptance program includes inspection schedules, lot sizes, sample sizes, testing frequency, quality
measure, pay factors, and acceptance limits. When contractor data is used in the acceptance decision, the
program also includes verification sampling and testing and risk evaluations. Not all characteristics
monitored by quality control are required to be verified, such as those used for process control.
2.1.3
Independent Assurance
According to 23 CFR 637, independent assurance activities provide an unbiased and independent evaluation
of the sampling and testing procedures used in the acceptance decision. Independent assurance provides a
mechanism for formally evaluating the competency of sampling and testing personnel and testing
laboratories to perform specific tests on construction materials. This process is designed to verify the quality
of the data, not the quality of the material, which is being obtained during the course of highway
construction.
An overview of the independent assurance process, including detailed procedures and requirements, is
included in the Independent Assurance Manual available at:
www.dot.ca.gov/dist1/d1lab/forms/2005_IA_Maunal.pdf

August 2015
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2.1.4
Dispute Resolution
In accordance with 23 CFR 637.207, Caltrans dispute resolution is a documented process used to resolve
conflicts resulting from discrepancies between the Caltrans verification test results and the contractors
quality control test results when the contractors results are used in the acceptance program. This type of
resolution addresses test results used in the acceptance decision and must not be confused with contract
administration dispute resolution processes outlined in Section 5-1.09, Partnering, of the Standard
Specifications.
An overview of the dispute resolution process, including detailed procedures and reporting requirements, is
presented in Section 2.5, Dispute Resolution, of the Independent Assurance Manual. Additional details
are presented in Chapter 6, Sampling and Testing, of the Construction Manual.
2.1.5
Authorized Laboratories
In accordance with 23 CFR 637, each state must have a central laboratory accredited by the AASHTO
Accreditation Program or a comparable laboratory accreditation program approved by the FHWA. In
addition, any laboratory used by Caltrans to provide acceptance, verification, or independent assurance test
results and contractor and vendor laboratories that perform quality control testing included in the acceptance
decision must be authorized by Caltrans. The primary objective in establishing laboratory accreditation,
qualification, and authorization requirements is to ensure the capabilities of the laboratories that provide test
results and information used in the acceptance decision.
Authorization is granted on a test-by-test basis and is a means of formally recognizing the competence of
testing laboratories to perform specific tests on construction materials. An authorized laboratory must also
have a current accreditation for those test methods applicable to any test for which the laboratory will be
providing test results for acceptance consideration on Caltrans projects.
Laboratories that conduct quality control testing for process control purposes only are not subject to these
authorization requirements.
2.1.6
Personnel Qualifications
Qualifications for production personnel at production facilities and for construction personnel at the jobsite
are specified for certain critical fabricated and manufactured products, items having a prior history of quality
or workmanship issues, and items having a personnel qualification requirement mandated by building codes
or state statutes. Qualification requirements of this type ensure that work performed by contractors and
fabricators is executed by qualified personnel. Required qualification examples include American Welding
Society certification for construction and inspection personnel, and American Society for Nondestructive
Testing certification for nondestructive testing personnel.
In accordance with 23 CFR 637, sampling and testing data to be used in the acceptance decision must be
performed by qualified sampling and testing personnel. Caltrans personnel performing acceptance,
verification, or independent assurance sampling and testing and contractor personnel who perform quality
control testing included in the acceptance decision are required to be qualified, as outlined in 23 CFR
637.209 (b). Personnel who perform contractor quality control sampling and testing for process control
purposes only are not covered by the regulation.
The primary objective in establishing technician qualification programs is to ensure that the technician is
capable of correctly performing the appropriate sampling and testing procedures. The qualification criteria
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August 2015
include formal training, hands-on demonstration, written examination, proficiency testing, and periodic requalification.
An overview of the Caltrans tester qualification process, including procedures for written and practical
examinations plus proficiency testing and re-qualification requirements, is presented in Section 2.3 of the
Independent Assurance Manual.

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Section 2
Specifications
Quality assurance involves everything from project planning and design to construction materials,
workmanship, and durability of the finished product. Highway engineers see quality in a highway that
conforms to certain design and construction standards while providing excellent long-term performance.
The public sees quality in congestion relief, increased mobility, and safety benefits. Quality assurance is not
one definition or a one-step process, but an end result that provides value to all.
Specifications tell the contractor what Caltrans wants. Caltrans must be able to describe the level of quality
construction it desires regardless of the type of specifications it chooses to employmethod or quality
assurance.
Under method specifications, the contractor follows Caltrans-specified methods while using Caltransauthorized materials and equipment. The resulting construction quality depends on the methods, materials,
and equipment described in the specifications. The resulting quality is the minimum quality level described
in those specifications. The low-bid contractor has no incentive to use better methods or materials that will
result in a higher quality than that corresponding to the specified methods and materials.
Conversely, the contractor working under quality assurance specifications typically does have an incentive,
in the form of positive or negative pay adjustment provisions, to provide as high a quality as is profitable.
Thus, assuming use of the same specified minimum level of acceptable quality, properly developed quality
assurance specifications can result in higher quality than method specifications. However, the very nature
of materials and construction may sometimes impede the use of statistical parameters to measure
construction quality. For example, because of the diverse characteristics of in-place soils and embankments,
it is often more difficult to use statistically based specifications for these materials than for plant-produced
materials. Thus, there is typically greater reliance on the use of method specifications for these types of
materials having wide variation in the quality characteristics to be measured.
The best indicator of the quality to be achieved on a project is the quality level being specified, not the type
of specifications.
2.2.1
Deciding Between Method and Quality Assurance Specifications
A specification communicates a projects requirements and the criteria by which Caltrans will verify
conformance with those requirements. In this respect, quality assurance specifications are similar to
conventional method specifications. They differ in how they define and verify the desired quality level and
how much latitude they extend to contractors to meet project requirements.
2.2.1.a
Advantages and Disadvantages
Both method and quality assurance specifications hold unique advantages and disadvantages that should be
carefully weighed when considering how best to specify requirements for a particular project or project
element.
2.2.1.a (1)
Method Specifications
Method specifications require contractors to use specific materials, equipment, and methods to complete the
work. The prescribed requirements are typically based on materials and methods that have historically
produced satisfactory results for Caltrans, thus minimizing risk associated with newer, less proven methods

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August 2015
and risk associated with varying contractor performance. Contractors are provided few, if any, opportunities
to deviate from the specified requirements, allowing Caltrans to retain significant control over the work.
Under this traditional approach, Caltrans bases acceptance on the reasonable conformance or substantial
compliance of the work with the specified requirements. If test results are a component of the acceptance
decision, usually only individual or representative field samples are taken. Those individual results may fail
to recognize the inherent variability in the material itself, potentially leading to disputes between the
contractor and Caltrans over acceptance decisions. Also, because method specifications do not establish a
range of quality levels, they generally do not include procedures for pay adjustments. The contractor,
therefore, typically receives 100 percent payment for the work completed as long as it strictly adheres to the
specified requirements. Table 2.2.1 summarizes the advantages and disadvantages of using method
specifications.
Table 2.2.1. Advantages and Disadvantages of Method Specifications
Advantages
Method specifications are well established,

easily understood, and applicable to a wide
range of topic areas.
Caltrans can exert significant control over the
work (although this may come at the expense
of increased Caltrans inspection efforts).
Requirements are based on materials and
methods that have worked in the past,
minimizing risk associated with newer or less
proven methods or varying contractor
performance.
Disadvantages
2.2.1.a (2)
The contractor has little opportunity to deviate from

the specifications and, provided that the
specifications are met, is not responsible for
performance deficiencies of the end product.
Method specifications lack built-in incentives for
contractors to provide enhanced performance.
The prescribed procedures may prevent or
discourage the contractor from using the most costeffective or innovative procedures and equipment to
perform the work.
Contractor payment is not tied to the performance or
quality of the work.
Acceptance decisions based on test results of
individual field samples can increase the potential for
disputes.
Quality Assurance Specifications
In place of the explicit materials and construction requirements found in traditional method specifications,
quality assurance specifications contain statements of required results that focus on the desired quality level
of the finished product. Quality assurance specifications require contractor quality management and Caltrans
acceptance activities throughout the production and placement of a product. Final acceptance of the product
is usually based on a random, statistical sampling of the measured quality level on a lot-by-lot basis for key
quality characteristics. Price adjustments are generally based on a mathematical assessment of the measured
variability of the product. To the extent that Caltrans is willing to relinquish control over some aspects of
the work, this approach can foster contractor innovation and improve the quality or economy, or both, of the
product. The advantages and disadvantages of quality assurance specifications are identified in Table 2.2.2.

August 2015
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Table 2.2.2. Advantages and Disadvantages of Quality Assurance Specifications

Advantages
Disadvantages
Quality assurance specifications promote

contractor innovation.
The contractor assumes more performance risk.
Contractors have the flexibility to select techniques
and procedures to improve the quality or economy,
or both, of the product.
A quality assurance specification provides a more
rational mechanism for adjusting payment on the
basis of the quality or performance of the
constructed facility.
The potential for disputes is reduced.
Less Caltrans staff.
Caltrans has less control over the work.

Identifying the parameters critical to performance
and establishing related thresholds is
challenging.
Roles and responsibilities of the contractor and
Caltrans often become blurred if not adequately
defined in the specifications or contract
documents.
The motivation for using quality assurance specifications will likely vary from project to project. Past
practitioners have shown that implementing quality assurance specifications has the potential to improve
quality and long-term durability, encourage innovation, accelerate construction, and reduce an owners
quality assurance inspection costs during construction.
2.2.1.b
Choosing the Specification Type
The decision to use method or quality assurance specifications is often a matter of degree. Different
approaches to specifying may be appropriate to particular project elements. The appropriate mix of
requirements is generally driven by a projects scope and objectives, as well as the project delivery approach
and risk allocation strategy. In practice, this means that the decision to use quality assurance specifications
should be supported by evaluating the type and level of quality requirements appropriate for the project
characteristics and delivery approach.
Table 2.2.3 summarizes the typical conditions under which method and quality assurance specifications can
best be applied.

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Table 2.2.3. Appropriate Conditions for Using Method Versus

Method Specifications
End-product quality characteristics cannot be easily

defined.
End-product quality characteristics cannot be easily
or economically measured and verified.
Limited methods exist that would satisfy Caltrans
minimum requirements.
Caltrans must retain performance risk because of
permit requirements, maintenance considerations,
the need to tie into existing or adjacent
construction, and similar issues.
Pre-existing conditions would compromise the
transfer of performance risk to the contractor.
End-product quality characteristics can be defined

in terms of desired outcomes or user needs.
Key quality characteristics can be measured and
tested; the test methods are rapid, reliable, and
economical.
Multiple approaches can achieve the desired
results.
Industry is willing to assume performance risk.
Caltrans is willing to relinquish control over some
aspects of the work.
Quality assurance specifications typically have the advantage when the project provides industry with the
opportunity to innovate and influence performance outcomes. This is often the case on complex projects
involving major reconstruction or new capacity, multi-phased work zone management, major or
nonstandard structures, and high traffic volumes requiring accelerated design and construction.
In contrast, less complex projects involving minor resurfacing or restoration of the pavement surface, or use
of standard structural components to match existing facilities, tend to be the least likely project types to
benefit from a quality assurance specification.
A well-drafted quality assurance specification will not in itself ensure that Caltrans quality requirements
will be met. Cultural and organizational changes will also be necessary to support the implementation of
quality assurance specifications across a wide spectrum of work and projects.
2.2.2
Specification Development Process
Each bid item must be covered by the Standard Specifications or the special provisions. If a work component
is not covered by the Standard Specifications, add the appropriate standard special provision (SSP). If an
appropriate SSP does not exist, create a non-standard special provision (nSSP).
The process for initially drafting a quality assurance specification consists of seven major steps:
1. Identify the tier level.
2. Identify the production mode.
3. Define the quality characteristics for quality control and acceptance.
4. Specify the quality control and acceptance sampling and testing methods.
5. Specify the location and frequency of sampling and testing.
6. Define the acceptance criteria and acceptance limits.
7. Identify the quality assurance methods to be specified.

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These steps are identified on Figure 2.2.1 and discussed in the following subsections.
Proposed item of work
Specification or
special provision
establishing the
quality control
requirements and
the acceptance
criteria for material
and workmanship
already exists for
item of work?
YES
Incorporate or
reference in the
construction contract
the existing
specification or
special provision for
the item**
Develop and
incorporate into the
construction contract a
specification that
specifies the quality
control requirements
and acceptance
inspection, sampling,
and testing criteria for
the item**
NO
Item of work qualifies

for new product
evaluation process?
YES
Monitor contractor's
compliance with quality
control requirements
and perform required
acceptance inspection,
sampling, and testing
Construction
contract list and
award process
New product
evaluation process
NO
Acceptance of the
contract item's
material and
workmanship
Item of work
requires new
specification
Identify tier level
Identify
production mode
Define the
quality
characteristics to
be specified for
quality control
and acceptance
inspection,
sampling and
testing
Specify the
quality control
and acceptance
test methods to
measure each
quality
characteristic
Specify the
location and
frequency of
quality control and
acceptance
inspection,
sampling and
testing
Define the
acceptance
criteria and
limits for
acceptance
Identify the quality

assurance methods
to be specified
6
4
3
** Note: Specified quality control requirements and acceptance criteria must address both material and workmanship.
Figure 2.2.1. Quality Assurance Specification Development Process
2.2.2.a
Step 1Identify Tier Level
Caltrans tier-level system is based on the consequence of failure of each item. For example, Tier Level 1
items have the greatest consequence of failure, while Tier Level 4 items have the least consequence. The
appropriate level of inspection, sampling, and testing resources are assigned to each contract item based on
the items consequence of failurethe greater the consequence of failure for the item, the greater the amount
of resources devoted to quality assurance for the item.
The tier levels described in Table 2.2.4 provide the specification owner guidance in determining the type
and level of quality assurance requirements for each item. Table 2.2.5 lists the tier levels associated with the
Standard Specifications sections.

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August 2015
Table 2.2.4. Tier Levels for Contract Items

Tier
Level
Failure
Category
Consequence of
Failure
Example Items
Quality Assurance
Requirements
Catastrophic
Greatest consequence
of failure. Failure is
likely to cause loss of
life or serious injury.
Typically, fabricated
structural-type products, such
as structural steel, precast
girders, pre-stressing.
Quality assurance methods

designed to provide the
maximum level of
confidence in the quality
control efforts of both the
contractor and the producer.
Safety
Although not
catastrophic, failure
creates a safety
hazard for employees
or the public.
Manufactured and fabricated

safety-related products, such
as delineation, safety
barriers, lighting, signal
controllers.

designed to provide a high
level of confidence in the
quality control efforts of both
the contractor and the
producer through extensive
use of pre-qualified
materials from the
authorized material list.
Interrupt
Service
Failure or repair may

cause an interruption
in service, or
environmental impact.
Jobsite-produced base and

pavement structure,
embankment, and drainage
items; and environmental
items, including stormwater
pollution prevention plan best
management practice
devices.

based on 23 CFR 637
requirements for jobsiteproduced items, applicable
rules and regulations
included in the contract for
the environmental items;
and certificates of
compliance from the
contractor or producer
combined with intermittent
inspection, sampling, and
testing of in-progress work
for drainage items.
Monetary
Monetary loss only.

Consequence of failure
is considered minimal
in terms of project
performance.
Grass seed, drainage and

irrigation products, fencing.

typically based on use of
commercial quality products
or extensive use of
certificates of compliance
from the contractor or
producer combined with
periodical random inspection
of in-progress work.

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Table 2.2.5. Standard Specifications Sections with Associated Tier Levels

Section
Description
Tier 1
Tier 2
Tier 3
Tier 4
12
Temporary Traffic Control
15
Existing Facilities
16
Clearing And Grubbing
17
Watering
18
Dust Palliative
19
Earthwork
20
Landscape
21
Erosion Control
22
Finishing Roadway
24
Stabilized Soils
25
Aggregate Subbases
26
Aggregate Bases
27
Cement Treated Bases
28
Concrete Bases
29
Treated Permeable Bases
37
Bituminous Seals
39
Hot Mix Asphalt
40
Concrete Pavement
41
Concrete Pavement Repair
42
Groove and Grind Concrete
46
Ground Anchors and Soil Nails
47
Earth Retaining Structures
48
Temporary Structures
49
Piling
50
Prestressing Concrete
51
Concrete Structures
52
Reinforcement
53
Shotcrete
53-2
Structural Shotcrete
54
Waterproofing
55
Steel Structures
X
X
X

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August 2015
Table 2.2.5. Standard Specifications Sections with Associated Tier Levels (continued)
Section
56
Description
Tier 1
Tier 2
Tier 3
Tier 4
Signs
Overhead Sign Structures
57
Wood and Plastic Lumber Structures
58
Sound Walls
59
Painting
61
Culvert and Drainage Pipe Joints
62
Alternative Culverts
64
Plastic Pipe
65
Concrete Pipe
66
Corrugated Metal Pipe
67
Structural Plate Culverts
68
Subsurface Drains
69
Overside Drains
70
Miscellaneous Drainage Facilities
72
Slope Protection
73
Concrete Curbs and Sidewalks
74
Pumping Equipment and Controls
75
Miscellaneous Metal
80
Fences
81
Monuments
82
Markers and Delineators
83
Railings and Barriers
84
Traffic Stripes and Pavement Markings
85
Pavement Markers
86
Electrical Systems
56-3
X
X
Contact METS for assistance in determining the appropriate tier level for any item.
2.2.2.b
Step 2Identify Production Mode
The production mode is classified as jobsite, fabricated, or manufactured, as discussed below.
JobsiteProducts that are constructed, made, or produced at the project and subsequently subject to
operations such as transport, mixing, placement, compaction, and curing that can substantively impact
quality. Examples include pavement placement, cast-in-drilled-hole piles, batched concrete, imported
borrow, and embankment fill.

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FabricatedCustom made under controlled conditions to Caltrans specification at a fabrication facility

off the jobsite. Fabricated items include those produced to meet specific requirements of Caltrans plans
and specifications and material, such as paint, produced to meet a state specification. Other examples
include structural steel, and precast, prestressed concrete members.
ManufacturedItems mass-produced under controlled conditions to standard industry specifications

at a production facility off the jobsite. These products are not unique to Caltrans. Manufactured items
include those that are:
o
o
o
Produced to meet the specifications of such industry-wide organizations as AASHTO, American

Society for Testing and Materials (ASTM), the American Wood-Preservers Association, the
American Institute of Steel Construction (AISC), and the United States Department of Agriculture,
among others.
Listed in an industry-wide catalog and available for timely delivery.
Shelf items available for purchase at supply houses.
Examples include PVC pipe, cement, fly ash, electrical wire, and corrugated metal pipe.
2.2.2.c
Step 3Define the Quality Characteristics for Quality Control and Acceptance
The two critical aspects of developing quality assurance specifications are: (1) identifying the properties
essential to ensure good performance over the design life of a product, and (2) translating each of those
properties into some related measurable quality characteristic that can be specified and tested to determine
conformance with the desired product quality level.
The Transportation Research Board Circular, Glossary of Highway Quality Assurance Terms, defines
quality characteristic as that characteristic of a unit or product that is actually measured to determine
conformance with a given requirement.
In terms of acceptance, several decisions must be made concerning each quality characteristic. These
decisions include establishing acceptance criteria defining acceptable quality levels; and determining
sample size, lot size, and sample location. Specific knowledge of each quality characteristic is necessary to
make these decisions.
Measuring quality characteristics of in-service performance is preferred because it indicates that the
properties being measured are meaningful. It is also important to select quality characteristics that can be
measured by well-established and reliable test methods. This improves credibility in the selection of the
quality characteristic. When selecting quality characteristics, consider the following:
What quality characteristics are considered critical to performance?
To what degree does each quality characteristic influence performance?
How can these quality characteristics be tested and measured?
What price adjustment, if any, should be applied to these quality characteristics?
Are factors associated with the quality characteristics within the contractors control? (For example, if
the pavement contractor is not responsible for the subgrade conditions, there may be reluctance to
accept responsibility for certain quality characteristics, such as structural deflection.)

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August 2015
If payment adjustments are made based on the test results for these quality characteristics, these
performance-related results can be related to quality through some modeling process. This makes the
payment adjustment process rational, and not arbitrary.
Article 625.4 (c) of 23 CFR 625, Design Standards for Highways, requires certain national reference
standards to be applied to transportation materials in the geometric and structural design process for
highways. Reference standards are specifications prepared by recognized trade associations, professional
societies, standards-writing organizations, or agencies that provide national standards of performance or
measurement and that have been proven over time to provide the desired quality.
These reference standards typically identify the properties essential to good performance over the design life
of a product and the measurable quality characteristics that can be specified and tested to determine
conformance with the desired standard of performance and quality.
To incorporate reference standards into a specification, they should be referred to by number, title, or other
designation. Cross-referencing in this manner makes the standard a part of the specification, as if it were
included in its entirety.
National reference standards commonly used in transportation specifications include:
AASHTO Standards for Materials and Methods of Sampling and Testing.
ASTM standards for testing, materials and workmanship.
American National Standards Institute product standards.
Design standards from the American Concrete Institute and AISC.
Measuring some quality characteristics, such as slump test, are more ideally suited for the quality control
function than for acceptance. On the contrary, 28-day concrete cylinder strength is not a good quality control
characteristic, but does provide useful information for Caltrans and the contractor. By the time this quality
characteristic is measured, too much production has occurred to make the strength results useful as a quality
control tool. Table 2.2.6 lists commonly used quality characteristics measured for the quality control and
acceptance of various jobsite-produced items.
Table 2.2.6. Typical Quality Characteristics for Quality Control and Acceptance
Material Type
Quality Characteristics Typically

Measured for Quality Control
Quality Characteristics Typically

Measured for Acceptance
Soils and embankment
Moisture content and compaction
Moisture content and compaction
Aggregate base and subbase
Gradation, compaction, and

moisture content
Asphalt content, gradation,
compaction, and smoothness
Gradation and compaction
Concrete pavement
Air content, gradation, slump, and

smoothness
Air content, thickness, modulus of

rupture, and smoothness
Concrete structures
Gradation, slump, air content, and

compressive strength
Gradation, slump, air content, and

compressive strength
Hot mix asphalt
Asphalt content, gradation,

compaction, and smoothness
Throughout this manual, the term quality characteristic is used to refer to a value measured for quality
control purposes or to assess acceptability of a material or product.

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2.2.2.d
Step 4Specify the Quality Control and Acceptance Sampling and Testing
Methods
The optimal material sampling and testing plan is driven by the criticality of the quality characteristic to be
tested, Caltrans resources, and the uniformity of the materials in question. The most desirable quality
characteristics are measurable and testable. The specification must identify quality characteristics for both
quality control and acceptance sampling and testing methods.
When selecting testing methods, consider the following:
Are standardized tests available?
Compared to other possible testing methods, is the sampling and

testing economical, considering technician availability and the
dollars for each test multiplied by the number of tests required based
on the uniformity of the material?
Can the test data be processed in a timely manner?
Do the sampling and testing techniques require highly skilled

technicians? Are special certifications necessary?
Is specialized equipment necessary?
The combined cost of the

specified sampling and
testing effort for each
quality characteristic should
be consistent with the
criticality of the performance
benefit sought and the
criticality of the contract
The combined cost of the specified sampling and testing effort per quality characteristic should be consistent
with the criticality of the performance benefit sought and the criticality of the contract item.
Possible test method references include AASHTO and ASTM test methods, California Test Methods, and
Office of Roadway Testing Lab Procedures.
California Test Methods and Office of Roadway Testing Lab Procedures can be viewed at the Caltrans
Transportation Laboratory at:
AASHTO, ASTM, and other non-Caltrans test methods may be available at IHS Standards Expert website
(by clicking on IHS Specs & Stds Search), accessible by Caltrans staff at:
http://onramp.dot.ca.gov/hq/des/spi/
2.2.2.e
Step 5Specify the Location and Frequency of Sampling and Testing
The sampling and testing frequency specified for quality control and acceptance of each quality
characteristic should be consistent with the criticality of the performance benefit sought and the criticality
of the contract item. Section 6-107, Materials Acceptance Sampling and Testing, of the Construction
Manual includes tables listing Caltrans minimum sampling and testing requirements for materials
acceptance including the sampling location and frequency.
2.2.2.e (1)
Location of Sampling and Testing
The specific location in the construction or production operation at which sampling and testing are to be
accomplished must be specified for each quality characteristic. Samples used in the acceptance decision
should be taken as close as possible to where the material is incorporated into the project. Sampling and
testing may be required prior to, during, or upon completion of the production process, or a combination,
depending on the quality characteristic being measured.
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California Test Method 125, Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections, describes the procedures for obtaining representative samples of various
highway materials and products that are incorporated in roadway structural sections. This test method also
addresses acceptable locations that are routinely used for sampling.
2.2.2.e (2)
Quality Control Testing Frequency
A testing frequency must be established that creates a balance between enough tests to control the process
but not so many tests as to be impractical. Operations with a history of quality control problems require more
frequent sampling and testing than those with typically fewer problems. Sampling and testing frequencies
may vary with the quality and uniformity of the material.
A key to achieving a balance in testing frequency is to relate the testing frequency to the rate and consistency
of production. If the production tends to be continuous and consistent, less frequent testing may be
permissible than if there are many interruptions. The testing frequency may also be reduced for materials
with a history of accurate, uniform test results that consistently meet specification requirements.
The rate of testing should be higher on newly developed material sources, sources that furnish materials only
on an intermittent basis, sources with questionable quality, sources with a wide range of test results, and
sources with failing test results.
2.2.2.e (3)
Acceptance Sampling and Testing Frequency
Acceptance sampling and testing frequencies should be established by a random sampling from production
and construction projects that represent different geographical areas of the state, different contractors with
different operations, and projects of different sizes. If no sufficient historical data exists, data may be
gathered from ongoing statewide projects. Once the new testing frequencies are implemented, data from
projects should continue to be collected and monitored to verify that the assumptions made when developing
the testing frequencies were appropriate.
Like any statistical procedure, the ability to determine with a low degree of risk the quality levels that the
contractor is providing depends on several factors. One major factor is the amount of sampling and testing
being performedthe greater the amount , the greater the ability of the procedure to identify statistically
valid quality levels. A minimum Caltrans rate of 10 to 20 percent of the testing rate of the contractor has
been commonly used.
2.2.2.f
Step 6Define the Acceptance Criteria and Acceptance Limits
Considerations involved in determining the acceptance criteria include the following.

2.2.2.f (1)
Quality Measures
In quality assurance specifications, measure of quality refers to any one of several mathematical tools used
to quantify the quality level of an individual quality characteristic. The measure of quality may quantify the
average quality, the variability, or both. Percent within limits is the measure of quality that is most often
recommended for use in quality assurance specifications.
2.2.2.f (2)
Specification Limits
Specification limits refer to the limiting values (upper and lower specification limits) placed on a quality
characteristic, established preferably by statistical analysis, for evaluating material or construction within
the specification requirements. For each quality characteristic, establish what the specification limits should
be within which the material or work can be produced to ensure good performance over the products design
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life. Selection of the limits relates to determining the risks. The risk for the contractor or producer is the
probability that good quality construction will be rejected. The risk for Caltrans is the probability that poor
quality construction will be accepted. A well-written specification considers these risks in a manner fair to
both the contractor and Caltrans. Since too large a risk for either party undermines credibility, the risks
should be both reasonably balanced and reasonably small.
2.2.2.f (3)
Payment Adjustment Schedule
The payment adjustment schedule, in either tabular or equation form, is used to assign pay factors associated
with estimated quality levels of a given characteristic for a submitted lot of material or construction. The pay
factors are usually expressed as percentages of the contractors bid price for each unit of work. The schedule
provides payment equal to the quality provided. Often this includes sufficient incentive to produce the
desired level of quality at the time of initial construction. The schedule also recoups at least part of the
anticipated future costs that are likely to occur when poor quality is received. Effective payment schedules
encourage contractors to apply appropriate quality control measures to ensure that the finished product will
equal or exceed the desired level of quality a high percentage of the time.
Additional details related to acceptance criteria are presented in Chapter 6, Sampling and Testing, of the
Construction Manual.
2.2.2.g
Step 7Identify the Quality Assurance Methods to be Specified
Section 3 of this chapter details categories of quality assurance methods Caltrans uses to ensure the quality
of material and workmanship. The listed methods can be used alone but are generally used in combination
or series to achieve the desired level of quality assurance. Decisions on the quality assurance level required
are based on the use or application of the item and the severity of the consequences of its failure.
Table 2.2.7, Quality Assurance Method Application Matrix, relates the use of each listed quality assurance
method to the production mode, tier level, specification type, and type of construction of any proposed item
or item component. The X on the matrix indicates the specification owner should consider including the
associated quality assurance method in the specification for the item or component.

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August 2015
Materials
Tier 4
Method Spec
QA Spec
Structures
Roadway
Authorized to Deliver List
Proprietary Product or Process
Manufactured to National Quality Standard
Commercial Quality
Department-Furnished Materials
Prefabrication Audit
Authorized Facility Audit Listing
X
X
X
X
Authorized Laboratory List

Contractor
Installer/Applicator/Erector Personnel
Fabricator
Fabricator Personnel
Meetings
Warranty
Mock-ups
Quality Control
Caltrans
Acceptance
X
X
X
X
Plant (MPQP)
Sampling/Testing Personnel
Construction MethodDesign
Construction ProceduresEngineer
Fabrication MethodDesign
Submittals
X
X
Authorized Laboratory
Qualifications
Tier 3
Tier 2
Authorized Material Source List
Tier 1
Authorized Material List
Fabricated
Manufactured
Specification
Section Heading
Jobsite
Table 2.2.7. Quality Assurance Method Application Matrix
Fabrication ProceduresEngineer
Mix Design/Job Mix FormulaEngineer
Product Data
Quality Control PlanEngineer
Pre-Production Meeting
Warranty (Materials and Workmanship)
Warranty (Performance)
Pre Production Trial (Mock-up)
Inspection, Sampling & Testing (Jobsite)
Inspection, Sampling & Testing (Source)
X
X
Pre-Production Sampling & Testing (Initial, Stock)
Sampling & Testing for Acceptance
Certificate of Compliance with Test Results
Inspection (Engineering)
Inspection, Sampling & Testing (Jobsite)
Inspection, Sampling & Testing (Source)

Inspection, Sampling & Testing (Verification)
Payment Based on Quality Factor
Test Samples

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Section 6, Special Provisions, of the Ready to List and Construction Contract Award Guide provides
guidance for preparing project special provisions. For creating nSSPs, use the latest version of the special
provision template available at:
http://www.dot.ca.gov/hq/esc/oe/2010_specifications_templates.html
The Specification Style Guide, 2010/2015 also provides instructions for specification writers contributing to
Caltrans construction specifications.
Information on developing quality assurance specifications is also available from a state planning and
research pooled fund study, SPR-2 (199), Optimal Acceptance Procedures for Statistical Construction
Specifications, conducted to investigate the use of quality assurance specifications and provide
recommendations for statistically sound quality assurance procedures and balancing of risks. The pooled
fund study was administered by the FHWA and the results provided in FHWA-RD-02-095, Optimal
Procedures for Quality Assurance Specifications. This publication provides a how-to guide for developing
new or modifying existing quality assurance specifications and is available at:
http://www.fhwa.dot.gov/publications/research/infrastructure/pavements/pccp/02095/02095.pdf

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Section 3
Caltrans uses a spectrum of quality assurance methods to ensure the quality of material and workmanship
depending on the material and construction activity. At one end of the spectrum are quality assurance
methods that rely primarily on materials and methods provisions (soils and embankment items). At the other
end are quality assurance methods that use contractor test results as part of the acceptance decision (hot-mix
asphalt items). In between are various combinations of quality control and acceptance provisions. These
methods can be as simple as relying on a certificate of compliance for a manufactured product, or as complex
as series of measures including audit, quality control plan, certification, and inspection.
The quality assurance methods are generally grouped into the following categories: material
prequalification, qualification requirements for facilities and personnel, submittal requirements, materials
sampling and testing, certificate of compliance, material and engineering inspection, and warranty. The
methods can be used alone, but are generally used in combination or series to achieve the level of quality
assurance desired. Decisions on the quality assurance level required are based on the use or application of
the item and the severity of the consequences of its failure.
2.3.1
2.3.1.a
Material Prequalification
Authorized Materials List
The listed materials are pre-qualified and authorized for use on Caltrans projects. These materials cannot be
evaluated or tested within typical construction project timeframes and require extensive prequalification
testing, which is not practical to repeat for every job. The strategy developed to ensure quality for these types
of products involves the manufacturer submitting prequalification samples to Caltrans or an
accredited/certified laboratory testing to ensure specification requirements are met prior to entry of the
material onto a web-based authorized materials list. Although pre-qualified, periodic testing and field
performance evaluations of the materials are performed at a prescribed frequency to ensure continued
specified quality. Example materials include cementitious materials for use in concrete, concrete anchorage
devices, safety, signing and delineation materials, post tensioning systems, and noise barrier systems.
Materials from the authorized materials list should be specified for use whenever possible.
Refer to Table 6-2.2, Materials Acceptance Based on Authorized Materials List, of the Construction
Manual for materials accepted on the basis of the authorized materials list.
Material lists are located at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
2.3.1.b
Authorized Material Source List
The listed material sources are pre-qualified and authorized for use on Caltrans projects. The strategy
developed to ensure quality for these sources involves the source submitting prequalification samples to
Caltrans or an accredited/certified laboratory testing to ensure specification requirements are met prior to
entry of the source onto a web-based authorized materials source list. Although pre-qualified, periodic
testing and field performance evaluations of the material from the source are performed at a prescribed
frequency to ensure continued receipt of specified quality material. Example materials include lime
materials for use in soil stabilization. Materials from the authorized materials source list should be specified
for use whenever possible.
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Material source lists are located at:

http://www.dot.ca.gov/hq/esc/approved_products_list/
2.3.1.c
Authorized to Deliver Materials List
The materials listed are manufactured materials for which source inspection is deemed necessary but not
necessarily on a per project basis. Source inspection for these materials includes a recurring audit with
material sampling and testing at a prescribed frequency.
Materials from the authorized to deliver materials list should be specified for use whenever possible.
Example items include sign structures and epoxy coated rebar.
Further information on the authorization to deliver program is in the OSMPP manual at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/OSMPP.pdf
2.3.1.d
Proprietary Product or Process
Specifications that identify the desired products or processes by manufacturer name, brand name, model
number, or other unique characteristic are considered proprietary. Trade names are usually the key to
identifying patented or proprietary materials. Generally, products identified by their brand or trade name are
not to be specified without an or equal phrase, and, if trade names are used, a minimum of three acceptable
equal materials or products should be listed.
Use of specific brand or trade name items should be limited to applications in which the consequence of
failure is low. See Public Contract Code Section 3400 and 23 CFR 635.411 for specifics governing the use
of proprietary products, specifications, or processes. Refer to Section 6-3.02, Specific Brand or Trade Name
and Substitution, of the Standard Specifications and Section 6.10, Proprietary Products, of the Ready to
List Guide for further details.
2.3.1.e
Products Manufactured to National Quality Standard
These products are manufactured to meet the specifications of such industry-wide organizations as
AASHTO, ASTM, the American Wood-Preservers Association, AISC, and the United States Department
of Agriculture, among others.
These industry-standard specifications typically include end-result requirements, criteria, and tests to meet
national quality standards. They are prepared by recognized trade associations, professional societies,
standards-writing organizations, or agencies that provide national standards of performance or
measurement. They have been proven over time to provide desired quality, and can be readily incorporated
into the Caltrans specifications by referencing the number, title, or other industry-assigned designation for
the product specification.
These types of products should be specified for manufactured items whenever possible because the
capability of incorporating time-tested and proven product specifications by reference provides a costeffective alternative to the process of developing Caltrans-specific contract item specifications and test
methods for manufactured items.
2.3.1.f
Commercial Quality Products
Commercial quality products are products defined in the Standard Specifications as having quality meeting
the best general practices. These items are available for purchase at local supply houses and are typically

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August 2015
referred to as off-the-shelf items. Use of commercial quality items should be limited to Tier 4 items in
which the consequence of failure is low.
2.3.1.g
Department-Furnished Materials
On highway construction projects, the contractor must furnish materials to be incorporated in the work, and
is permitted to select the material sources. Caltrans may make exceptions to this requirement on federal-aid
highway projects when there is a definite finding by Caltrans with FHWA concurrence that it is in the public
interest to require the contractor to use Department-furnished materials or materials from sources designated
by Caltrans. Refer to 23 CFR 635.407 for specific guidelines pertaining to the use of Department-owned, furnished, or -designated materials.
Examples of Department-furnished materials include monument discs, traffic signal controller assemblies,
changeable message signs and assemblies, and salvaged (recycled) materials such as temporary traffic
signals and flashing beacons. If the item is a Department-furnished material, quality assurance requirements
for that material are not provided in the specifications.
2.3.2
Qualification Requirements for Facilities, Contractors, and Personnel
2.3.2.a
Qualification Requirements for Facilities
2.3.2.a (1)
Prefabrication Audit
Caltrans performs a prefabrication audit to evaluate if a fabricator has the processes and resources to
fabricate products to the quality indicated in the specifications. This applies only to custom-fabricated
materials where adherence to specifications is critical and field rejection is costly to all parties. The onsite
production facility audit provides a measure of assurance that the producer has the capability to perform.
The contractors fabricator must demonstrate adherence to prescribed standards of operation. By knowing
that a periodic audit is required to supply certain materials to Caltrans, contractors and fabricators are more
cognizant of their responsibility for quality control. Further details on the application of this audit are
available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbresources.htm
2.3.2.a (2)
Authorized Facility Audit Listing
Caltrans audits the facilities listed on the authorized facility audit listing (AFAL) using a system-based
approach to evaluate the fabricators quality control process. The AFAL is available for items such as
structural precast concrete, welded steel for overhead sign structures, welded steel poles for lighting and
signal structures, and steel pipe piling. The audit process evaluates if the fabricator has the processes and the
resources to fabricate the structural products to the quality specified in the contract documents. The AFAL
is maintained by METS. Further information on the AFAL can be found at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/
2.3.2.a (3)
Authorized Laboratory List
Caltrans maintains the list of independent laboratories authorized to perform testing on reinforcing steel
splices. Example items requiring testing by laboratories on the authorized laboratory list include production
tests for bar reinforcement splices and tensile tests for headed bar reinforcement. Further details on the
qualification requirements for the authorized laboratory list are available at:
http://www.dot.ca.gov/hq/esc/Translab/authorized_laboratories_list/
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2.3.2.a (4)
Authorized Laboratory
An authorized laboratory must meet at least one of the following requirements:
Be currently accredited by the AASHTO Accreditation Program, the Caltrans Independent Assurance
Laboratory Accreditation Program, or by a comparable accreditation body recognized by the National
Cooperation for Laboratory Accreditation. According to 23 CFR 637.209, the laboratory accreditation
must indicate that the laboratory was assessed according to the requirements in National Institute of
Standards and Technology Interagency Report 7012 (NISTIR 7012), Technical Requirements for
Construction Materials Testing.
Participate in laboratory assessment and proficiency sample services provided by the AASHTO
Materials Reference Laboratory, the Cement and Concrete Reference Laboratory, American
Association for Laboratory Accreditation, or other recognized agency providing comparable services
for construction materials testing laboratories.
Be recognized and accepted as a product safety testing and certification organization such as
Underwriters Laboratories or other recognized agency providing comparable product testing and
certification services.
Be capable of performing specialized test methods developed by Caltrans.
A matrix relating authorization requirements for each category of laboratory to each test category is
presented in Table 2.3.1.
Table 2.3.1. Laboratory Authorization Matrix
Dispute Resolution
Acceptance
Verification
Quality Control
(for Acceptance)
Quality Control
JMF Verify
JMF/Mix Design
Process Control
Pre-Production
Non-CTM
CTM*
Test Categories
Laboratory Categories
X=Must be Caltrans-Authorized to Perform Test

Contractor
Contractor Fabricator/Manufacturer
Contractor Independent Third Party
Contractor Plant
Contractor Supplier
Department Central Laboratory (TransLab)
Department-Designated Agent
Department District/Region
Department Field Laboratory
Independent Third Party (Dispute Resolution)
Local Agency
X
X
*Note: CTM=California Test Method

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August 2015
Any commercial laboratory seeking Caltrans authorization to perform a specific test method on
manufactured or fabricated construction materials must provide technical documentation to prove that the
laboratory has the following:
Proper facilities and necessary testing equipment capable of performing the test method.
Competence in performing the test method as demonstrated by the following:

1. Supervisors of testing personnel have a minimum of 3 years of experience in testing highway
construction materials.
2. Laboratory assessments routinely made on a 3- to 5-year cycle.
3. Current training records and certifications that show testing personnel are properly trained, are
routinely evaluated by observations and proficiency samples, and are qualified to perform the test
method.
4. Actual test results that show previous experience in performing the test method.
5. A formal reporting procedure for test results including published test report forms.
Two years of annual calibration records for required testing equipment. The calibration must be
performed by an independent third party that has testing standards traceable to the National Institute of
Standards and Technology.
The documentation detailed above must also be submitted by laboratories seeking authorization for
specialized test methods for which neither a recognized laboratory accreditation nor certification currently
exists.
The use of an authorized laboratory is typically specified for Tier 1 and Tier 2 fabricated items, Tier 1 and
Tier 2 complex or critical manufactured items, and for jobsite-produced items. Example items include
aggregate bases and subbases, asphalt and concrete pavement, and structural concrete.
The contractor is in charge of the process control and no authorization is required.
2.3.2.a (5)
Authorized Plant
An authorized facility or plant must be certified to a recognized standard. An example is plant authorization
under the Caltrans Material Plant Quality Program covering inspection, calibration, dynamic testing, and
acceptance for material plant weighing and measuring devices. Hot mix asphalt plants must be authorized
prior to production. Specific details about the Caltrans Material Plant Quality Program requirements are
available at:
www.dot.ca.gov/hq/construc/hma/MPQP.pdf
2.3.2.b
Qualification Requirements for Contractors
Contractors are required to be certified to a recognized standard to ensure that work performed is executed
by qualified contractors. An example is the Society for Protective Coatings certifications (SSPC-QP1,
SSPC-QP2, and SSPC-QP3) required for structural steel painting contractors.

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2.3.2.c
Qualification Requirements for Personnel
2.3.2.c (1)
Sampling, Testing, and Inspection Personnel
Sampling, testing, and inspection personnel must be certified to a recognized standard so that contractor,
vendor, and Caltrans sampling, testing, and inspection data used in the acceptance decision is executed by
sampling and testing personnel qualified through experience and technical training. Example certifications
include American Welding Society Certified Weld Inspector, Precast Concrete Institute Quality Control
Inspector Certification, Caltrans Independent Assurance Program Qualification, American Society for
Nondestructive Testing certification for non-destructive testing personnel, and American Concrete Institute.
Table 2.3.2 relates the authorization requirements for each category of sampling and testing personnel to
each test category.
Table 2.3.2. Sampling and Testing Personnel Authorization Matrix
Dispute Resolution
Acceptance
Verification
Quality Control
(for Acceptance)
Quality Control
JMF Verify
JMF/Mix Design
Process Control
Pre-Production
Non-CTM
CTM*
Test Categories
Personnel Categories
X=Must be Caltrans-Authorized to Perform Sampling and Testing
Contractor Fabricator
Contractor Jobsite
Contractor Laboratory
Contractor Plant
Contractor Supplier
Caltrans Central Laboratory (TransLab)
Caltrans-Designated Agent
Caltrans District/Region Laboratory
Caltrans Field Laboratory
Caltrans Jobsite
Independent Third Party (Dispute Resolution)
Independent Third Party (Modified Emulsion)
Local Agency
X
X
X
X
X
*Note: CTM=California Test Method
Qualifications for sampling, testing, and inspection personnel are typically required for Tier 1 and Tier 2
fabricated items, Tier 1 and Tier 2 complex or critical manufactured items, and for jobsite-produced items
(Tier 3). Example items include aggregate bases and subbases, asphalt and concrete pavement, and structural
concrete.
The contractor is in charge of the process control and no authorization is required.

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2.3.2.c (2)
Installer/Applicator/Erector Personnel
Production personnel must be certified to a recognized standard to ensure that work performed by
contractors and fabricators is executed by personnel qualified through experience and technical training.
Required qualification examples include American Welding Society certification for construction and
inspection personnel, and ASNT certification for non-destructive testing personnel.
Qualifications for production personnel at the fabrication facility and for construction personnel at the jobsite
are typically specified for:
Tier 1 and Tier 2 fabricated item.
Tier 1 and Tier 2 complex or critical manufactured item.
Items having a prior history of quality or workmanship issues.
Items having a personnel qualification requirement mandated by building codes or state statutes.
2.3.3
Submittal Requirements
Submittals requiring Caltrans response such as written and graphic information or samples are action
submittals. Action submittals include shop drawings demonstrating design adequacy, product data, test
samples, quality control plans, work plans, and material source data. Submittals that are written information
and not requiring Caltrans response are informational submittals. Informational submittals include
certificates of compliance and manufacturer instructions not associated with drawing submittals. Any
submittal not specified as an informational submittal is considered an action submittal.
2.3.3.a
Designer Review of Construction and Fabrication Working Drawings/Plans
Prior to the start of construction or fabrication, required drawings and plans submittals from the contractor
that provide details on proposed methods of construction or fabrication are reviewed by project designers to
assure conformance with design requirements. Typical drawing and plan features reviewed include weld
details, nondestructive testing requirements, and constructability. Submittals detailing proposed methods of
construction or fabrication are typically required for Tier 1 and Tier 2 fabricated items, and Tier 1 and Tier
2 complex or critical manufactured items. Examples include steel fabrication shop drawings, working
drawings for mechanically stabilized earth structures, and working drawings for alternate piling systems.
2.3.3.b
Resident Engineer Review of Construction and Fabrication Process Submittals
Required submittals from the contractor detailing proposed procedures for the construction or fabrication of
an item are authorized by the resident engineer or representative prior to the start of construction or
fabrication.
Submittals detailing proposed procedures for construction or fabrication are typically required for Tier 1 and
Tier 2 fabricated items, Tier 1 and Tier 2 complex or critical manufactured items, and Tier 3 jobsiteproduced items. Examples include proposed methods for construction of falsework, cast-in-drilled-hole
piles, and proposed welding procedures.
2.3.3.c
Resident Engineer Review of Proposed Job Mix Formulas/Mix Designs
Required submittals from the contractor detailing planned mix proportioning are reviewed by the resident
engineer or representative prior to the start of construction or fabrication.

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Submittals detailing planned mix proportioning are typically required for Tier 1 and Tier 2 fabricated items,
Tier 1 and Tier 2 complex or critical manufactured items, and for Tier 3 jobsite-produced items. Examples
include hot mix asphalt pavement job mix formulas, and mix designs for structural and pavement concrete.
2.3.3.d
Resident Engineer Review of Proposed Quality Control Procedures
Required submittals from the contractor detailing planned quality control procedures are reviewed by the
resident engineer or representative prior to the start of construction or fabrication.
Submittals detailing planned quality control procedures are typically required for Tier 1 and Tier 2 fabricated
items, Tier 1 and Tier 2 complex or critical manufactured items, and for Tier 3 jobsite-produced items.
Examples include quality control plan submittals for precast, structural, and pavement concrete, welding,
paint, hot mix asphalt pavement, and sign panels.
2.3.3.e
Engineer Review of Product Data
Required submittals from the contractor demonstrate the compliance of a manufactured product with
contract requirements and may include the manufacturers recommended installation or application
instructions for the product. Examples of required product data submittals include the manufacturers
catalog cut sheets, performance data, and installation instructions for pumping equipment and controls.
2.3.3.f
Contractor Submittal of Test Samples
Required test sample submittals from the contractor are used for quality verification testing by Caltrans prior
to authorizing incorporation of the represented material into the project. Examples of required test sample
submittals include epoxy-coated reinforcement bars, bonding materials and chemical adhesives for concrete
structures, and fasteners for electrical systems.
2.3.4
Material Sampling and Testing
The optimal material sampling and testing plan is based on the criticality of the quality characteristic to be
tested, Caltrans resources, and the uniformity of the materials in question.
2.3.4.a
Pre-Production (Initial or Stockpile)
Pre-production sampling and testing is performed by the contractor prior to job startup to determine whether
proposed materials sources, proposed local materials, and products meet the specifications. Initial testing is
typically specified for Tier 3 and Tier 4 items. Example items include the initial sampling and testing of
borrow material sites and micro-surfacing aggregate.
Stockpile testing is typically specified for Tier 2, Tier 3, and Tier 4 manufactured and fabricated products
that are identifiable by means of a serial number or other unique identifier. An example item is corrugated
metal pipe.
2.3.4.b
Quality Control Sampling and Testing
Quality control testing by the contractor, its representatives, or subcontractors is required during the
production process to measure the quality characteristics that affect the production at a time when corrective
action can be taken to prevent appreciable nonconforming material from being incorporated in the project.
Quality control testing at the point of production is typically specified for Tier 1, Tier 2, or Tier 3 fabricated
or jobsite-produced items. Example items include aggregate bases and subbases, asphalt and concrete
pavement, and structural concrete.
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August 2015
Quality control testing at the jobsite is typically specified for Tier 1, Tier 2, or Tier 3 jobsite-produced items
whose quality is subject to change after production because of transporting or handling. Jobsite quality
control testing may also be specified for manufactured or fabricated items whose quality is subject to change
after production because of installation, placement, assembly, application, or storage. Examples of this
include required testing of drilling slurry properties during construction of cast-in-drilled-hole piles, required
testing for chemical composition of steel performed at a steel plant, and the non-destructive testing of welds
by a steel fabricator.
2.3.4.b (1)
Quality Control Sampling and Testing for Process Control
Process control refers to a method for keeping a process within boundaries or the act of minimizing the
variation of a process. Process control activities may include sampling, testing, inspection, and corrective
action performed by a contractor in addition to quality control requirements to improve the likelihood that
the final product will meet the specified level of quality. Sampling and testing requirements for process
control are not included in the specifications because process control, although beneficial to the contractors
quality control efforts, is not essential to Caltrans evaluation of the finished work product for acceptance
and payment purposes.
2.3.4.b (2)
Quality Control Sampling and Testing for Acceptance
An important step in the evolution of quality assurance programs occurred when 23 CFR 637 allowed
contractor test results to be used in the acceptance decision. Research indicates that, with the checks and
balances required in the CFR, more testing in the acceptance function is being done using this alternative
than would have been done solely by Caltrans under traditional acceptance sampling and testing.
In accordance with 23 CFR 637.207, contractor quality control sampling and testing results may be used as
part of the acceptance decision provided that:
The sampling and testing has been performed by qualified laboratories and qualified sampling and
testing personnel.
The quality of the material has been validated by the verification sampling and testing process. The
verification testing must be performed on samples that are taken independently of the quality control
samples.
The quality control sampling and testing is evaluated by an independent assurance program.
Caltrans dispute resolution process addresses the resolution of discrepancies between the verification
sampling and testing and the quality control sampling and testing. The dispute resolution process is only
applicable when the results from the contractors quality control sampling and testing are used in the
acceptance program.
2.3.4.c
Verification Sampling and Testing
This form of sampling and testing uses a statistically based number of tests that Caltrans performs to verify
contractor-performed quality control testing results used by Caltrans in the acceptance decision. In this form,
both the contractors and Caltrans test results are used collectively to determine whether the material is
acceptable.
Typically, the three sources of variability between contractor and Caltrans test results are derived from
differences in the:

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Material quality.
Testing procedures.
Sampling procedures.
Variability between the contractors and Caltrans sampling and testing procedures is minimized by
extending the laboratory and testing personnel qualification requirements and the independent assurance
program requirements to the contractor if the contractors test results are to be used in the acceptance
decision. Verification sampling and testing results are used to validate the quality of the material, thereby
ensuring that sources of differences between test results are measured.
The type and extent of verification that Caltrans performs as part of its acceptance program are outlined in
the specifications. The frequency of verification sampling and testing depends on the risk implications from
premature failures due to the acceptance of substandard or failing materials. For example, verification testing
may be more frequent for structural concrete than for embankment materials.
Verification sampling and testing are applicable to jobsite-produced items for which the contractors quality
control testing results are used in the Caltrans acceptance decision. Examples include hot mix asphalt
(quality control/quality assurance process) and concrete pavement. In terms of the acceptance program,
verification sampling and testing performed by Caltrans are not required when the contractor quality control
testing results are not used in the Caltrans acceptance decision.
2.3.4.d
Programmatic Quality Assurance Inspection and Testing at the Jobsite
This periodic inspection and testing is performed by Caltrans on random check samples of manufactured
products at the jobsite to confirm that a manufacturer continues to provide products meeting the desired
standard of quality.
Inspection and testing requirements for programmatic quality assurance are not included in the specifications
because, although an integral part of Caltrans periodic review of product quality, programmatic quality
assurance is not essential to Caltrans evaluation of the finished work product for acceptance and payment
purposes. This type of inspection and testing typically provides data to support continued use of a certificate
of compliance and is not necessarily linked to specific projects.
2.3.4.e
Programmatic Assessment
Caltrans evaluates Tier 3 and Tier 4 manufactured items to determine the reliability of the manufacturers
quality control process.
Requirements for programmatic assessment procedures are not included in the specifications because the
procedures are not essential to Caltrans evaluation of the manufactured product for acceptance and payment
purposes.
A certificate of compliance is required for Tier 3 and Tier 4 manufactured items.
2.3.4.f
Acceptance Sampling and Testing
Sampling and testing are typically performed at either the point of production or the jobsite. Samples used
in the acceptance decision should be taken as close as possible to where the material is incorporated into the
project.

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Sampling and testing responsibilities and requirements for the acceptance of jobsite-produced and
miscellaneous materials are included in Chapter 6, Section 1, Sample Types and Frequencies, of the
Sampling and testing responsibilities and requirements for the acceptance of manufactured or fabricated
materials are included in Chapter 6, Section 2, Acceptance of Manufactured or Fabricated Materials and
Products, of the Construction Manual.
Acceptance sampling and testing at the point of production is typically specified for Tier 1 and Tier 2
fabricated items, Tier 1 and Tier 2 complex or critical manufactured items, and any off-site production
facilities for jobsite-produced items. Acceptance sampling and testing at the point of production does not
preclude acceptance by the resident engineer at the jobsite. Example items include overhead sign structures.
Acceptance sampling and testing at the jobsite is typically specified for Tier 1, Tier 2, or Tier 3 jobsiteproduced items whose quality is subject to change after production because of transporting or handling.
Example items include hot mix asphalt and structural concrete.
Jobsite acceptance sampling and testing may also be applied to complex or critical manufactured or
fabricated items whose quality is subject to change after production because of installation, placement,
assembly, application, or storage. Example items include electrical systems, ground anchors, and soil nails.
2.3.5
Certificate of Compliance
Certificates of compliance are used for acceptance of products for which the industry has demonstrated a
high degree of reliability in meeting contract specifications. The certificate of compliance is submitted
before the material is incorporated into the work, for each batch or lot of the material (batch or lot must be
identified on the certificate), and signed by the producer of the material stating that the material complies
with the contract. The certificate of compliance informs Caltrans that the contractor has accepted the material
and is confident that the material complies with the contract specifications.
2.3.5.a
Certificate of Compliance from Producer
This written statement submitted by a producer affirms a product meets specification requirements.
2.3.5.b
Certificate of Compliance from Producer with Test Results
This written statement, accompanied by field or laboratory test data from a producer, affirms a product meets
specification requirements. Examples of field or laboratory data to be provided include mill test reports for
steel, pressure treating reports for timber, and concrete test reports. The field or laboratory test data provided
must:
Address each of the product quality characteristics specified for measurement.
Represent the same lot of material as the material to be incorporated in the work.
For Tier 3 items, represent a test performed within the past 6 months.
For Tier 4 items, represent a test performed within the past year.
Materials and products accepted by certificate of compliance require periodic programmatic quality
assurance testing of random check samples with results that support the reliability of the certificate
provider.

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A certificate of compliance is not required for off-the-shelf commercial quality items, Department-furnished
materials, items subject to contract warranty provisions, and items for which material tests are not specified
or feasible.
Refer to Table 6-2.3, Materials Accepted by Certificate of Compliance, in the Construction Manual for a
listing of applicable materials.
2.3.6
Material and Engineering Inspection
Inspection is one of the most important aspects of construction work. Inspection consists of careful reviews
and critical examination of the factors entering into the construction of transportation projects to ensure the
proper combination of materials and details of construction. The construction of any transportation project
consists of a number of operations that must be integrated to produce a quality-finished product. Each
operation has an effect on the quality of the final product.
2.3.6.a
Material Inspection
2.3.6.a (1)
Quality Control Inspection
Quality control inspection is required to be performed by the contractor, its representatives, or subcontractors
during the production process to ensure that a material or product meets the contract requirements.
Quality control inspection at the point of production is typically required for Tier 1 and Tier 2 fabricated
items, Tier 1 and Tier 2 complex or critical manufactured items, and for any off-site production facilities
associated with jobsite-produced items.
Quality control inspection at the jobsite is required for remaining project items. Examples include the
required documentation of concrete placement during the contractors construction of cast-in-drilled-hole
piles, and required welding inspection for structural steel erected by the contractor.
2.3.6.a (2)
Verification Inspection
Caltrans performs material and workmanship inspection as part of an independent assurance program (to
verify the contractor quality control process complies with specified requirements) or as part of an
acceptance program (to verify the contractor provided product meets the specified workmanship-related
requirements). Verification inspection and acceptance inspection have the same underlying functionto
validate the quality of the product.
2.3.6.a (3)
Acceptance Inspection
Caltrans performs acceptance inspection to ensure that a product is acceptable in terms of the specifications
for a specific project. According to 23 CFR 637, acceptance inspection includes inspection of the component
materials at the time of placement or installation, as well as quality of the finished product. As part of their
acceptance responsibilities, Caltrans technicians and inspectors must monitor the contractor's quality control
activities while retaining responsibility for acceptance sampling, testing, and inspection. The inspection is
typically performed at either the point of production or the jobsite.
Material acceptance inspection at the point of production is typically required for Tier 1 and Tier 2 fabricated
items, Tier 1 and Tier 2 complex or critical manufactured items, and for any off-site production facilities
associated with jobsite-produced items. Material acceptance inspection at the point of production does not
preclude acceptance by the resident engineer at the jobsite.

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Remaining project materials require acceptance inspection at the jobsite by Caltrans personnel. Example
items requiring jobsite acceptance inspection include aggregate bases and subbases, asphalt and concrete
pavement, and structural concrete.
2.3.6.a (4)
Pre-Production Meetings
To ensure the contractors means and methods produce the desired product with the specified quality,
Caltrans may require meetings to discuss and familiarize those responsible for performing, controlling, and
managing the work with the quality control and workmanship requirements in advance of the start of work.
Example items include required pregrouting meetings before the start of grouting operations and required
prepainting meetings before the start of structural steel painting operations.
2.3.6.a (5)
Pre-Production Trial (Mockup)
To ensure that the contractors means and methods produce the desired product with the specified quality or
to use as a standard of comparison for accepting the finished product, Caltrans may require the functionality
of items to be demonstrated, or prequalified, prior to use. Example items include test panels for structural
concrete, shotcrete, textured or colored concrete surfaces, and prefabricated detectable warning surfaces;
test strips for concrete pavement; mockups for self-consolidating concrete; and trial slabs for concrete
pavement replacement.
2.3.6.b
Engineering Inspection
Engineering inspection involves monitoring the contractors construction processes to ensure that the
construction quality and workmanship are in compliance with the plans and specifications. The resident
engineers, structures representatives, and field engineers exercise engineering judgment and evaluate fitness
for purpose when inspecting for workmanship quality.
Various Caltrans manuals including the Construction Manual, Bridge Construction Records and Procedures
manual, Bridge Deck Construction Manual, Foundation Manual, and Concrete Technology Manual,
provide guidelines for inspecting, measuring, and paying for contract item work. (For a listing of quality
assurance documents refer to Appendix A. Caltrans Quality Assurance Documents.) These guidelines
describe the construction details and associated inspection requirements necessary to ensure that product
workmanship is acceptable.
The level of engineering inspection varies depending on the type of work being performed and is categorized
into three basic levels:
Continuous InspectionInspect 80 to 100 percent of the time work is in progress with assistants
assigned only to one operation. Continuous inspection is typically required for Tier 1 and Tier 2
fabricated items, and Tier 1 and Tier 2 complex or critical manufactured items.
Intermittent InspectionInspect 30 to 80 percent of the time work is in progress with assistants

assigned to two or three operations simultaneously. Intermittent inspection is typically required for Tier
2 items that are non-complex and non-critical and for Tier 3 items.
Benchmark InspectionInspect up to 30 percent of the time work is in progress. Construction

operations can proceed without inspection until a predetermined critical activity point has been
achieved. Benchmark inspection is typically required for Tier 4 items.
Critical activity points are hold points established in the contract documents to ensure that the proper
inspection and testing have been performed prior to starting, or before proceeding to the next phase or stage

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of that particular construction activity. No work can proceed beyond each critical activity point until
approved by Caltrans.
2.3.7
Warranty Provisions
Warranty is a guarantee of the integrity of a product and the makers responsibility for the repair or
replacement of the deficiencies. A warranty specifies the desired performance characteristics of a particular
product over a specified period and defines who is responsible for the product. Products that are good
candidates have clearly definable, self-evident failure modes, are produced and designed by industries with
proven quality control capabilities, are easily traceable through serial numbers or other identifying features,
and can prematurely fail without dire consequences. The use of warranties allows Caltrans to shift some of
the post-construction performance risk of the warranted product to the contractor.
2.3.7.a
Material and Workmanship Warranty
A material and workmanship warranty holds the contractor responsible for correcting defects in work
elements within the contractors control during the warranty period. The contractor or manufacturer warrants
that material complies with specifications, and agrees to repair or replace if, during the period of the
warranty, the material fails and tests prove it does not comply with the specifications. Material and
workmanship warranties may be specified for Tier 3 and Tier 4 manufactured items. Example items include
LED lights, prefabricated detectable warning surface for Americans with Disabilities Act (ADA) ramps
(required by state statute), batteries for electrical systems backup, materials for pumping equipment, and
permanent pavement marking tape.
2.3.7.b
Performance Warranty
A performance warranty holds the contractor fully responsible for product performance during the warranty
period. The contractor or manufacturer warrants that material will perform to pre-defined standards or will
be repaired or replaced if, during the period of the warranty, the materials performance falls below the
standard. Contract language should specify the warranty period and the enforcement process, including a
detailed description of the measures that will be used to determine warranty compliance. The requirements
for warranties used on design-build projects are covered under 23 CFR 635.413, Construction and
Maintenance.
An example warranty provision is the 5-year manufacturer's warranty of replacement for defects in dome
shape, color fastness, sound-on-cane acoustic quality, resilience, and attachment specified for prefabricated
detectable warning surfaces.
2.3.7.c
Guarantee
According to Section 6-3.06, Guarantee, of the Standard Specifications, the contractor must guarantee
that work remains free from substantial defects for 1 year after contract acceptance except for work portions
relieved of maintenance and protection, which must be guaranteed for 1 year after the relief date. The
guarantee excludes damage or displacement caused by an event outside the contractors control, including
normal wear and tear and improper operation. Refer to Section 3-611, Guarantee, of the Construction
Manual for the resident engineers duties related to guarantees.

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Chapter 3Construction Quality Assurance Long-Range Plan
Chapter 3
Construction Quality Assurance Long-Range Plan
Overview
The following sections lay out a potential long-range plan for changes to the Caltrans Construction Quality
Assurance Program. The objectives are in order of highest priority and include the following: establish a
construction quality assurance database; adopt a system-based acceptance process; implement performance
specifications; and adopt risk-based acceptance criteria.

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Section 1
Long-Range Objective
Integrated Construction Quality Assurance Database
Construction quality assurance databases are a key element of any construction quality assurance program
because they enable highway departments to make sound, data-based decisions that lead to cost-effective
construction. These databases improve data processing efficiency, minimize errors, unify data
administration, and provide data security. They also provide the data source for a variety of analyses, such
as construction quality monitoring, developing pay adjustments, and detailed statistical analyses.
A quality assurance database facilitates assessing the quality of materials production and placement and
establishing pay factors, as defined by specifications. It also enables detailed analyses of quality,
performance, and cost data that can help guide future improvements to standards and specifications (such as
materials, techniques, and design strategies to use; quality characteristics and levels to use in acceptance;
and incentive/disincentive plans).
While most highway departments have established and maintained constructionrelated databases for many
years, only within the last decade have they realized the need for more integrated systems to accommodate
the requirements of new quality assurance programs.
Caltrans has a number of database and software systems that serve specific quality assurance functions for
different groups. However, these individual databases are not integrated. They were established with
different architecture, purpose, and data collection and access procedures, leaving limited means to match
all the collected data. While Caltrans may be able to calculate pay factors and make acceptance decisions
from one database, data from that database cannot easily be linked to other databases to monitor
effectiveness of specifications, correlate construction quality to field performance, or to perform life-cycle
cost analysis. The result is that by continuing to focus primarily on entering data and not necessarily on
retrieving data to draw valuable conclusions, Caltrans may become data rich and information poor.
While individual databases may address current needs of the multiple functional groups, a more efficient,
comprehensive, user-friendly database system is needed that can link existing individual databases. Such a
system would allow the more efficient analysis required to develop or refine system-based and risk-based
acceptance processes, performance specifications, warranty specifications, and innovative contracting
procedures.
3.1.1
Construction Quality Assurance Database Requirements
Caltrans existing databases and software systems need to be integrated and updated to a web-based
construction quality assurance database with client/server architecture with the following features and
capabilities:
User-friendly interface and configuration.
Access by multiple users and functional groups (such as materials testing lab, construction engineers,
field inspectors, designers, management, contractors, subcontractors, material suppliers and producers,
and researchers) who most likely operate from different locations.
Different levels of access security and operational privileges (such as viewing, entering, modifying,
and analyzing data, and generating output) depending on role in Caltrans or project (inspector versus
contractor).
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Ability to make user group assignments; users can belong to multiple groups.
Audit and tracking information to trace users and their activities.
Offline use of input modules or linkage to wireless hand-held devices to aid in timely data entry and
subsequent uploading to the server.
System for logging and tracking of material samples, related tests, and results.
Capability to store construction details and contractor activities for each lot, including concrete curing
practices, thickness of hot mix asphalt lift in each paving operation, and traffic opening time.
Aid in decision-making for quality assurance, performance-related, and warranty projects.
Ability to perform fundamental and routine analysis for quality assurance operations, including pay
factor calculations.
Ability to generate system outputs and ad hoc or standardized reports that can be electronically
distributed or published online.
Ability to interface/link with other Caltrans systems such as the pavement management system
(PaveM) database and financial/cost accounting system.
Capability to perform advanced analysis to correlate construction and material test data with
performance (pavement management) and cost (bids, maintenance) databases.
Common referencing across other key databases to perform analyses.
Flexibility to customize the analysis for specific cases when required.
Overall system stability (such as, backups and disaster recovery) and security (such as, firewall
protection on machines accessing central database).
3.1.2
Potential Benefits of Construction Quality Assurance Database
A construction quality assurance database with well-integrated components (or individual databases) that
can be linked using a common reference system has benefits ranging across technical, administrative, and
legislative levels for improving the quality of construction and enhancing Caltrans operations overall. The
more data contained in this database, the more potential there is to use and analyze the data and thereby
benefit from it. A well-developed construction quality assurance database offers the following potential
benefits:
Automates data entry across various Caltrans functional units having to do with materials, construction,
and specifications in the Division of Engineering Services and the Division of Construction.
Provides entry and storage of testing data and contract documents in an electronic format that is easily
accessible by headquarters, region or district offices, project field offices, and other Caltrans personnel.
Provides possibility for hierarchical data access.
Provides ability to securely upload or import quality control test data and independent assurance data
from external sources (such as, vendors, contractors, consultants).
Provides electronic approvals.
Automates calculating pay factors and making acceptance decisions.
Provides ability to highlight specification non-conformance in real-time (such as during construction)

and the opportunity to take timely remedial actions.

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Aids in developing performance measures for the overall quality assurance program.
Generates ad-hoc and standardized reports in a manner that can be easily incorporated into documents.
Reports that could be generated for a specific project or on a program-wide basis include:
1. Measuring turnaround time between material testing and availability of the test results.
2. Assessing compliance with minimum acceptance sampling and testing requirements.
3. Monitoring conformance with certificate of compliance submittal requirements.
Provides ability to perform various engineering analyses including:

1. Rating asphalt and concrete plants based on quality they produce, which would be assessed from
quality control records in the database.
2. Pre-qualifying material suppliers and producers resulting in cost savings in quality assurance
programs.
3. Measuring the effectiveness of current specifications or quality assurance processes and revising
them as necessary based on performance or cost analysis.
4. Assessing contractor performance.
5. Tracking overall system performance and the performance of new and innovative materials,
construction, and testing technologies.
6. Forensic evaluation of pavements using lot specific materials, construction, and climatic data.
7. Improving pavement design and pavement management processes.
8. Developing pavement performance models.
9. Establishing basis for materials and performance warranties and performance specifications.
3.1.3
Construction Quality Assurance Database Architecture
The recommended database is a web-based system with client/server architecture that permits the use of a
standalone machine or a hand-held device for field data collection and subsequent uploads to the server. As
illustrated in Figure 3.1.1, the recommended database consists of three main modules:

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DATABASE MANAGEMENT MODULE

Acceptance
System
Specification
System
Analysis
System
Pay System
System
Information
Data Used to Analyze the Quality of Construction in a Project
OTHER DATABASES
DATABASE SERVER
MODULE
Bid Management
Specification
Contract Management
Materials Management
Pavement Management
Maintenance
INTERNET
DATABASE INPUT MODULE

Data Categories
Contract
Information
Category
Certification/
Qualification
Category
Material and
Design
Category
Quality Control
Testing
Category
Acceptance
Testing
Category
Construction
Category
IA Evaluation
Category
General data
pertinent to
construction
project such as
Contract
Number,
Route, Lanes,
Milepost
Data on
statewide
approvals such
as Authorized
Laboratories,
Testers,
Materials
Details on
materials, mix
designs and
plant test data
being used in
the project
construction
All contractor
test data
collected at
project from
quality control
operation
All acceptance
data collected
at project by
Caltrans or the
contractor in
cases where
QC data is used
in the
acceptance
decision.
All data
collected at
project by
Caltrans on
workmanship
conformance
and prevailing
conditions at
the time of
construction.
All data
collected by
Caltrans for
Independent
Assurance
purposes at
project
(FHWA 2006)
Figure 3.1.1. Construction Quality Assurance Database Architecture
Database server moduleis the core of the architecture storing system data information and is the
module that client machines connect to through the internet.
Database input moduleprovides the framework and format to make data inputs in several categories
including general contract information, materials and design, quality control testing, acceptance
sampling and testing, construction records, and independent assurance testing.
Database management moduleprovides necessary specification information for each material for
comparison with quality-of-construction data (from database input module) to calculate pay factors,
establish acceptance or rejection decisions, generate reports, and perform quality data queries and
engineering analyses. This module also provides the required communication links and tools to permit
the interchange of data between the construction quality database and other Caltrans databases.
3.1.4
Construction Quality Assurance Database Input Software
The recommended software application for providing the interface to input construction quality-related data
is known as AASHTOWare Project Construction & Materials.

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The American Association of State Highway and Transportation Officials (AASHTO) is a nonprofit,
nonpartisan association whose primary goal is to foster the development, operation, and maintenance of an
integrated national transportation system. AASHTO was established in 1914 and now serves highway and
transportation departments in the 50 states, the District of Columbia, and Puerto Rico. An increasingly
important part of this service is to provide a construction contract management solution known as
AASHTOWare ProjectTM (ProjectTM).
ProjectTM is a modular approach to software that encompasses the lifecycle of construction contract
management prevalent in transportation agencies throughout the United States. Currently, more than 48 state
transportation agencies, several hundred cities and counties, several hundred engineering consulting firms,
and several thousand highway-contracting firms use at least one ProjectTM module. Applications include a
range of functions, from project estimation, to contract proposal preparation, to electronic bidding, to preaward analysis, and construction contract management.
The ProjectTM module categories include: estimation, projects and proposals, bid lettings, and construction.
Estimation, projects and proposals, and bid lettings categories are preconstruction functions and are
distinguished from post-award or construction functions. The ProjectTM module with construction and
materials functionality, known as AASHTOWare Project Construction & Materials, will provide the
functionality necessary to manage contract data from award through contract finalization.
The web-based AASHTOWare Project Construction & Materials software is designed to be a
comprehensive construction management tool providing:
Capabilities for electronic data entry, tracking, reporting, and analysis of contract data from contract
award through finalization eliminating the need for paper records and duplication of efforts in entering
field test data.
Capabilities for recording, tracking, and reporting of material samples and test results from jobsites,
plants, and test labs.
Multi-tier web architecture allowing for easy integration and data exchange with other databases.
Access by all levels of construction and materials personnel, such as field inspectors, technicians,
project managers, clerks, auditors, lab personnel, management, producers, suppliers, contractors, and
the FHWA.
By adopting software proven in multiple transportation agencies and supported through shared investment,
Caltrans can avoid the risk often associated with custom software development and implementation.
Additionally, since on-going maintenance costs for a custom solution typically run 17 to 20 percent of the
initial system cost, this financial burden will be significantly reduced by sharing these expenses with the
other AASHTO software licensees. Also of importance, all base software upgrades and standard customer
support are included in the AASHTOWare licensing fees.
Division of Engineering Services, Office Engineer currently licenses AASHTOWare Project Expedite (the
de facto national standard electronic bidding system) and BAMS/DSS (a client/server historical database
and bid analysis software). Caltrans is also in the Feasibility Study Report (FSR) phase to procure
AASHTOWare Preconstruction (web-based software for proposals and bid letting) and AASHTOWare
Civil Rights & Labor.
Additional information about AASHTOWare software is available in the AASHTOWare catalog available
for download at:
http://www.aashtoware.org/Pages/default.aspx
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3.1.5
Implementation of Construction Quality Assurance Database
The first step in implementing a construction quality assurance database has already been accomplished
with the approval of an Information Technology (IT) Concept Statement Form on June 26, 2009 (see
Appendix E). The next step would be to develop an FSR. It is anticipated that FSR development and
approval would take 12 months with an additional 4 to 6 months to obtain consultant services should
Caltrans outsource FSR preparation. Caltrans would also need to prepare and approve a budget change
proposal for costs and staffing necessary for the project.
The time and costs for implementing the database can vary depending on whether available software is
purchased and modified or new Caltrans-specific software is to be developed (not recommended).
System acquisition could take 2 to 5 years after FSR approval. After system acquisition, collecting data,
developing the needed correlations between as-built and design life, and verifying those correlations could
take 2 to 10 years. Staff reallocation may be required for implementation. For example, engineers would be
relocated from field-testing to perform data analysis and evaluation to develop the needed correlations.

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Section 2
Long-Range ObjectiveSystem-Based Acceptance Process
Caltrans needs a system-based acceptance process for more efficient use of testing and sampling resources.
System-based acceptance is the process by which a department of transportation performs tests and
inspections on a system-wide basis, rather than on a project-specific basis. For example, in a system-based
process only one verification sample would be tested for a particular heat of steel, whereas on a projectbased system, several samples might be taken and tested for steel from the same heat delivered to multiple
projects. System-based acceptance is most beneficial for off-site produced items, but can be advantageous
for on-site produced materials on a more limited basis.
The advantages of a system-based acceptance process include improved quality because problem areas can
be more readily identified and corrected, and more efficient resource use due to eliminating duplicate tests
and inspections.
The following subsections discuss the system-based acceptance process.
3.2.1
Pre-Approved Source
Certain material sources consistently demonstrate the ability to supply acceptable products. Caltrans would
periodically sample and test products from selected material sources and, if acceptable, would designate the
source as approved and certified. Materials from such sources would be accepted for use upon delivery to
the project site with proper documentation and no further sampling or testing would be required.
Pre-approved sources would be shown on a Caltrans approved list of sources for a specific time until a
renewed approval was established by Division of Engineering Services, Materials Engineering and Testing
Services/Office of Structural Materials (OSM). The current list would be available online.
3.2.2
Unapproved Source
If a source listed on the contractors Form CEM-3101, Notice of Materials to Be Used, was not preapproved by Caltrans, OSM would contact the source and arrange for source approval or for the testing of
a specific lot of material. A lot generally refers to an isolated quantity of specified material from a single
source. The variability of the material to be supplied would become the determining factor for source
approval. Lot approval would only apply to the defined quantity of material. Source and lot approvals for
unapproved sources are as follows:
Lot ApprovalSampling of a specific lot would be arranged and, in most instances, would be
submitted with a sampling report to Caltrans laboratories for testing and approval. The sampling report
is essential, since it would be used to enter necessary information into the construction quality assurance
database (QAD) for project-level documentation and to support the project materials certification when
the pay item is completed.
Source ApprovalSource approval would work like lot approval except the data used for approval
would often include manufacturer quality control data and site inspection results by Caltrans materials
personnel. A report for source approval would be issued similar to the report issued for the sampling
of a specific lot. Lot and source approval reports would be essential to the QAD because they initiate
tracking of the material approval process through project implementation and project materials
certification.

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3.2.3
Laboratory Testing
Material samples for projects throughout the state would be routinely routed to the Transportation
Laboratory, district/region, or field laboratories. The laboratory would assign a number for tracking
purposes, and enter basic information from the sample report into the QAD, including source identification,
material identification, and, if applicable, project identification. As each laboratory completes the required
testing, the results of the test data would be entered, cross-referenced, and tracked using the QAD. QAD
data would be available to Caltrans district/regions and their respective project personnel, who would track
the material sample from the time it was received at a laboratory until the time project materials certification
was needed for the item. The QAD would also track the approval of components for such items as PCC.
For a PCC item, the QAD would maintain data on components (for example, cement, aggregates,
admixtures, water) as well as the resulting PCC. If the resident engineer, contractor, producer, or
manufacturer requested test status on a particular sample, Caltrans personnel could quickly access and
provide the information.
3.2.4
Material Approval and Delivery
After materials were tested at a Caltrans laboratory, Caltrans personnel would evaluate the results in
accordance with contract or standard specifications. If the material source or lot were approved, OSM would
notify the manufacturer or producer. Upon delivery, the manufacturer or producer would be required to
provide shipping documents as minimum evidence of inspection to demonstrate delivered materials are
from an approved lot or approved source. The resident engineer would verify that a copy of the shipping
document is forwarded to the district/region materials engineer. Upon receipt, the district or region would
enter the source identification, destination identification, material type, lot identification (the lot number at
the time of approval), and the quantity delivered into the QAD. The QAD would allow Caltrans to verify
the status of each shipment and the remaining balance in an approved lot of material.
3.2.5
Field Release of Manufactured Items
The QAD would also identify and track manufactured items that OSM had released from a facility to be
field inspected for acceptance. Field staff would be able to identify from the QAD the items required to be
inspected at site.
3.2.6
Project-Level Documentation
With few exceptions, off-site materials used in Caltrans construction would be pre-inspected (tested and
approved to meet the contract specifications) before they were delivered to the project. The resident engineer
would ensure project materials were delivered to the site with the proper shipping documents, which include
the laboratory number as evidence of inspection. In addition, some materials would have additional
inspection requirements and additional indicators for evidence of inspection.
OSM should develop and maintain an Evidence of Inspection Documentation, listing the minimum
evidence of inspection documentation required for the acceptance of applicable materials at the project site.
OSM should also distribute a copy of this list to the contractor, resident engineer, and assistant resident
engineer at each pre-construction meeting. Material without evidence of inspection would not be
incorporated into the work.
The resident engineer has the final opportunity to observe project materials to detect any problems before
they are incorporated in the project. If evidence of inspection were lacking or less than minimum or if there
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were any doubt as to a materials acceptability, the district or region materials engineer would be
immediately contacted before the material was accepted. When materials were shipped to projects from
intermediate suppliers, the suppliers shipping document would be required to reference the laboratory
number and the original manufacturers shipping document number. The original manufacturer (point of
sampling) would be required to submit the proper documentation to OSM. The resident engineer would
forward a copy of shipping documents to the district or region materials engineer.
The assistant resident engineer or office engineer would be responsible for recording, on the daily report,
the quantity of material delivered and placed and the acceptability of the material. If a manufacturer or
producer delivered material to the site, the assistant resident engineer or office engineer would again be
required to verify the shipping document referenced the appropriate laboratory numbers. Caltrans project
personnel would enter the laboratory number and additional information from the shipping document into
the QAD and request verification of acceptability. The QAD would assign the request a tracking number
and the data would be uploaded from the computerized project record system to the QAD, which, in turn,
would verify the data entered against the data previously entered by OSM on the status of the approved lot
of material. The QAD would verify the lot identification, delivery date, project identification, and quantity.
At the time the data is uploaded, the QAD would immediately notify project-level personnel of any
deviations in acceptance criteria. Deviations would require resolution prior to OSM performing the final
review and audit; otherwise, acceptance criteria would be met and the QAD would document completion
and acceptance of the pay item.
Data entered at the project level would be required to match the data in the QAD for that particular material.
If the data matches, the QAD would generate a verification report for the resident engineer documenting the
quantity shipped from the approved lot. As part of the tracking and auditing system, the QAD would then
adjust the balance of the quantity remaining in the approved lot.
3.2.7
Final Materials Certification
The primary objective of the QAD is to track and document materials certification for project pay items
during project construction. The QAD would use project level materials data from the computerized project
record system and from Caltrans laboratories to document the acceptability of pay items (that is, validity of
samples and test results comply with specifications, lot and source approvals properly documented,
shipments properly documented and traceable to source). If material discrepancies were encountered during
the project, the QAD would immediately alert Caltrans personnel to resolve the issue. The system would
also be tied to the project pay system and would calculate pay adjustments as indicated by test results. Project
materials certification, in essence, would occur as the project was being constructed. At the time project
materials certification was required for project finalization, the QAD would provide Caltrans personnel with
an efficient and relatively routine method of validating project pay items. After project completion, Caltrans
would generate the materials certification for the project. The resident engineer would use the QAD to
generate a report documenting the acceptability of each pay item in the project. The final report would be
signed and dated by the resident engineer, and the project records of the QAD would be locked to protect
against unauthorized modification.

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Section 3
Long-Range ObjectivePerformance Specifications
Performance specifications reflect the values for materials characteristics or engineering properties used in
the design process to predict the design performance life of a facility. The as-built values of those properties
are used to predict the as-built performance life. Comparing the as-built performance life to design life is
used to calculate the change in life-cycle cost (LCC). The LCC analysis is used to adjust the payment to the
contractor. When the as-built life exceeds the design life, the payment would be increased by the decrease
in LCC. Conversely, the payment would be decreased by the increase in LCC, when the expected life is less
than the design. The advantage to using performance specifications is that the compensation paid to the
contractor is adjusted based upon any additional calculated cost or savings to the owner. These types of
specifications provide the opportunity for maximum fairness by sharing either savings or cost due to
respective good or poor performance.
Performance specifications are either performance-related (calculations of performance life are related to
materials quality characteristics) or performance-based (calculations of performance life are based on
engineering properties).
Implementing performance specifications would be most feasible in coordination with development of a
new construction quality database system, such as that described in Section 1 of this chapter, in which to
collect and analyze data to correlate performance with selected materials characteristics or engineering
properties.
Examples of needed data include:
As-constructed values for the designated material characteristics or engineering properties.
Type, magnitude, and time of observed distresses.
Correlation between as-built and design life.
Costs associated with correcting the distresses.
3.3.1
Performance-Related Specifications
Performance-related specifications (PRS) are specifications that use quantified quality characteristics and
life-cycle cost analysis (LCCA) relationships that are correlated to product performance. (AASHTO
Highway Subcommittee on Construction Quality Construction Task Force, Major Types of Transportation
Construction Specifications, draft of August 2003.)
PRS identifies and quantifies the particular technical factors that influence product performance. It uses
empirical data, engineering judgment, mechanistic modeling, and life-cycle costing as the basis for
determining the potential for performance. Like quality assurance specifications, PRS only specifies quality
characteristics that lend themselves to acceptance sampling and testing at the time of construction. It does
not specify the desired long-term product performance.
PRS uses mathematical models to predict future performance, maintenance requirements, and life-cycle
costs. Construction quality characteristics, such as initial smoothness, slab thickness, air voids in asphaltic
pavements, and strength of concrete cores, have been found to correlate with fundamental engineering
properties that can predict performance. Conceptually, designs are developed based on these models to
achieve predetermined service lives for specific conditions of load and environment. Because they are based

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on data, PRS models present a clear and realistic picture of what influences a constructed products
performance. These models are also the means through which enhanced or diminished life is estimated from
results of acceptance sampling and testing and, when combined with appropriate economic principles, how
rational payment factors are determined. Implementation of PRS depends on the development and validation
of such models. Correctly applied, PRS could enable identifying the level of quality that provides the best
balance between cost and performance and assure attaining that level in the constructed work. Refer to
Appendix F, Features of Performance-Related Specifications, for more detailed information about PRS.
3.3.1.a
Advantages and Requirements of Performance-Related Specifications
The advantages of using PRS include:
Design relates performance to quality characteristics.
Testing and inspections measure characteristics that directly influence performance.
Payment to the contractor is based upon performance determined from the measured as-built quality
characteristics.
PRS includes specifications for key materials and construction quality characteristics that have been
demonstrated to correlate significantly with long-term performance of the finished work. These
specifications are based on quantified relationships between such characteristics measured at the time of
construction and subsequent performance. They include sampling and testing procedures, quality levels and
tolerances, and acceptance (or rejection) criteria. Typically, PRS includes payment schedules with positive
or negative adjustments that are directly related through the performance models to changes anticipated in
worth of the finished work as a result of departure from the quality level defined as acceptable.
Performance-related specifications require:
A design method that can predict performance based upon material characteristics.
An information system to register the values of the material characteristics of the constructed facility.
An information system to register performance data of the constructed facility.
A system for correlating the as-designed to the as-built of the constructed facility.
Performance-related specifications for pavement, as an example, require four major elements:

1. Pavement management system.
2. Mechanistic/empirical (M/E) design.
3. Life-cycle cost analysis.
4. Material management system.
Performance-related specifications for pavement rely upon inter-relationships among these major elements:
A pavement management system that tracks pavement performance.
The M/E formulation for pavement design relates material quality characteristics to pavement
performance.
The pavement management system data is used to calibrate the M/E formulation for the local materials.
Field measurement data entered in QAD, for material quality characteristics for each project, is
compared to those used in the M/E design formulation.

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The differences between the material quality characteristics used in the M/E design formulation and
those measured in the field are used in the life-cycle cost data to determine pay factors.
Pay factors increase or decrease the payment to the contractor based upon predicted performance. (For
example, M/E is used to develop the parameters for a 20-year pavement life, and the actual field
production results show that the pavement would only have a life of 15 years. The LCCA would be
used to calculate the cost for 5 years, and this would be the amount deducted from payment to the
contractor.)
3.3.1.b
Status of Performance-Related Specifications
Caltrans is already working to implement three of the four numbered elements listed above. In 2013, the
Caltrans pavement management system (PaveM) became functional. The M/E design for flexible pavement
was required for all designs beginning January 2014. Caltrans is conducting experimental work for rigid
pavement M/E. LCCA has been performed since 2007. The QAD still needs to be planned and implemented.
3.3.2
Performance-Based Specifications
Performance-based specifications (PBS) are quality assurance specifications that describe the desired levels
of the actual fundamental engineering properties (not the key quality characteristics) that are predictors of
performance. The fundamental engineering properties in PBS (for example, resilient modulus, creep
properties, and fatigue properties) are used in performance prediction relationships (mathematical models).
In turn, these models can be used to predict stress, distress, or performance from combinations of predictors
that represent traffic, environmental, and structural conditions. In the true sense, PBS is concerned with the
performance of the final in-place product, not how it was built.
3.3.2.a
Distinguishing Features of Performance-Based Specifications
Acceptance based on measurement of the finished products fundamental engineering properties that
predict performance.
Acceptance limits that are developed on a statistical basis.
Mathematical models used to quantify the relationship between the fundamental engineering properties
measured and product performance. Price adjustments that are based on the expected LCC of the
constructed transportation facility.
3.3.2.b
Status of Performance-Based Specifications
Complete performance-based specifications do not yet exist. Specifications in Superpave Performance

Graded Asphalt Binder Specifications and Testing, which were developed through the Strategic Highway
Research Program, are an example of a partial performance-based specification. However, a performancegraded asphalt binder is only one component of the final product. All of a products constituent materials
and their related fundamental engineering properties must be included to have complete models to predict
performance of that product. Other performance-based test methods have not been fully developed.
Performance-based test methods have yet to be developed to a user-friendly level that would permit timely
acceptance sampling and testing. Further development and validation of performance-based tests are
currently underway through research programs.
In addition, true PBS will require good PaveM data to generate and validate the models required to determine
price adjustments based on expected LCCA. As discussed previously, most Caltrans management systems

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do not presently collect and evaluate all of the data necessary to develop the required performance and cost
models. Accordingly, PBS has not yet emerged as a viable tool in highway construction.
3.3.3
Quality Assurance Program Changes
As performance specifications are implemented, it will be necessary to make changes to the CQAP,
primarily in the sampling and testing requirements, in the pavement specifications, and the Construction
Manual. For example, if fatigue and stiffness are chosen as the performance measure for hot mix asphalt,
testing requirements will need to be included in those documents.

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Section 4
Long-Range ObjectiveRisk-Based Acceptance Criteria
Caltrans should analyze the uniformity and quality of materials produced and, based on the results of those
analyses, adjust the quality verification program accordingly.
Risk-based acceptance is a statistical method for establishing the level of risk to each party by calculating
the likelihood of accepting materials that do not meet specification and, conversely, rejecting acceptable
material. The benefit of using risk-based acceptance is that variances of materials and of testing and sampling
are recognized and accounted for, which helps minimize the use of erroneous test results.
Risk-based acceptance criteria assume these governing specifications:
Incorporate material quality characteristics that are consistent with design requirements.
Include acceptance limits that consider the normal variability associated with products, sampling and
testing processes, contractors, and producers.
Acknowledge the inherent risk that measurements made to determine compliance with statistically
based requirements may result in the acceptance of bad material or rejection of good material.
Include specification limits based on historical data. This data would be stored in the QAD.
3.4.1
Analysis Acceptance Limits
Overall product variability can be classified into two main categories:
Material and construction variability that are mainly the sole responsibility of the contractor.
Sampling, testing, and performance prediction error, plus any other error sources over which the
contractor has no control.
If the specification limits of acceptance do not include reasonable allowances for material and construction
variances, sampling variances, and testing variances that are inherent in the construction process,
specification conformity levels will always be low.
A classic example of this situation can occur in the measurement of slump to determine the consistency of
plastic concrete. Research has shown that for a reasonably well-controlled process, the overall standard
deviation can be expected to be about 1/2 inch. With specification tolerance limits of 1/2 inch imposed,
research has shown that, over a period of time, one could expect to have approximately 32 percent of the
test results out of specification if the process is producing concrete with normal variability and the average
slump is equal to the specified target value.
To allow for normal variability due to sampling, testing, and inherent materials variations, the tolerance
limits in this example should be set at 1 inch (equal to two standard deviations) when judging conformity
on the basis of one test. With these tolerance limits, approximately 95 percent conformity can be expected
over a period of time. This will avoid having changes made when the process is really under control. Only
when the precision of sampling and testing methods and normal production processes are improved would
it be practical to tighten these tolerances.
The following are required to confirm statistically based limits of acceptance:
The materials and construction quality levels from appropriate contractors and producers to determine
representative inherent local variability for each quality characteristic.

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Data collected using multiple random field samples under controlled conditions that reflects the known
variability of the materials produced for each quality characteristic.
If conformity with the specification limits of acceptance is consistently high and the specifications are
deemed adequate to produce the performance desired, sampling frequencies specified in the quality
verification program should be reduced on a project basis. Conversely, if the specification conformance is
low, increased sampling frequencies should be considered to reduce the risk of accepting non-specification
material.
3.4.2
Analysis to Confirm Acceptance Plan Risks
Establishing the limits to be used for acceptance is an important part of a quality assurance program. Making
the limits too restrictive deprives the contractor of a reasonable opportunity to meet the specification. Making
them not sufficiently restrictive makes them ineffective in controlling quality. Selecting the limits relates to
the determination of risks. The two types of risk encountered are the sellers (or contractors) risk, alpha,
and the buyers (or Caltrans) risk, beta.
The sellers risk is the probability that an acceptance plan will erroneously reject acceptable quality level
material or construction with respect to a single acceptance quality characteristic. The contractor or producer
takes the risk of having acceptable quality level material or construction rejected.
The buyers risk is the probability that an acceptance plan will erroneously fully accept rejectable quality
level material or construction with respect to a single acceptance quality characteristic. Caltrans takes the
risk of having rejectable quality level material or construction fully accepted.
To evaluate how the acceptance plan will perform over a wide range of possible quality levels, it is necessary
to construct an operating characteristic curve that is a graphic representation of an acceptance plan. This
would show the relationship between the quality of a lot and either (1) the probability of its acceptance (for
accept/reject acceptance plans), or (2) the probability of its acceptance at various pay levels (for acceptance
plans that include pay adjustment provisions).
Acceptance plans must consider these risks in a manner that is fair to both the contractor and Caltrans. Too
large a risk for either party undermines credibility; therefore, the risks should be both reasonably balanced
and reasonably small.
The seller and buyer risk levels that may be appropriate vary, depending on the material or construction
process involved. While setting the acceptance risk levels is a Caltrans decision, Section 9, Risks and Risk
Analysis, of AASHTOs Standard Practice for Acceptance Sampling Plans for Highway Construction
(AASHTO R 9-05 [2009], page R9-19) presents the following guidance:
The appropriate risk level is a subjective decision that can vary from agency to agency.
However, as an economic decision, typical practice limits risks to no more than five percent.
The more critical the application, the lower should be the buyers risk. But only under rare
circumstances should the buyers risk be lower than the sellers risk.
If the acceptance plan risks are considered acceptable in terms of being low and the specifications are
deemed adequate to produce the performance desired, consideration should be given to reducing sampling
frequencies set forth in the quality verification program on a project basis. However, if the risks are
considered unacceptable in terms of being too high, a reassessment of the quality verification plan and

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possible increased sampling frequencies should be considered to reduce the risk of accepting nonspecification material.
In summary, the opportunity exists for Caltrans to use existing quality verification program resources more
effectively by including risk-based acceptance criteria provisions in the governing specifications.

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Appendices
Appendices
Appendix
Title
Caltrans Quality Assurance Documents
Caltrans Quality Assurance Program Bulletin
Caltrans Deputy Directives
Contract Administration Process Evaluation (CAPE)
IT Concept Statement Form
Features of Performance-Related Specifications

August 2015
Appendix ACaltrans Quality Assurance Documents
1.
2010 Standard Plans.

http://www.dot.ca.gov/hq/esc/oe/construction_standards.html
2.
2010 Standard Special Provisions.

3.
2010 Standard Specifications.

4.
Bridge Construction Records and Procedures, Volumes 1 and 2.

5.
Bridge Deck Construction Manual.

6.
California Test Methods.

http://www.dot.ca.gov/hq/esc/ctms/
7.
Concrete Technology Manual.

http://www.dot.ca.gov/hq/esc/construction/manuals/
8.
9.
Deputy Directive 75, Training, May 2015. (Refer to Appendix C.)
10.
Deputy Directive 90, Funding of Quality Management Work on State Highway

Projects, December 2006. (Refer to Appendix C.)
11.
Design-Build Demonstration Program, Quality Manual Outline.

http://www.dot.ca.gov/hq/oppd/designbuild/madera99rfp/Book2/Exhibit-2-A-QualityManual-Template.pdf
12.
Falsework Manual.
13.
Foundation Manual.
14.
Independent Assurance Manual, Procedures for Accreditation of Laboratories and

Qualification of Testers, July 2005.
http://www.dot.ca.gov/hq/esc/Translab/ormt/IA_reports/index.htm

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Appendix AQuality Assurance Program Bulletin
15.
Material Plant Quality Program.

http://www.dot.ca.gov/hq/construc/hma/
16.
METS Authorized Materials List.

http://www.dot.ca.gov/hq/esc/Translab/index.htm
17.
Office of Structures Materials, Practice and Procedures Manual (OSMPP).

http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/OSMPP.pdf
18.
Quality Control Manual for Hot Mix Asphalt for the Quality Control Quality Assurance
Process, June 2009.
http://www.dot.ca.gov/hq/construc/hma/

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Appendix BQuality Assurance Program Bulletin
Provide a safe, sustainable, integrated and efficient transportation system to enhance

Californias economy and livability

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Appendix BQuality Assurance Program Bulletin
Provide a safe, sustainable, integrated and efficient transportation system to enhance

Californias economy and livability

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Appendix CCaltrans Deputy Directives

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Page C-2
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Page C-4
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Page C-6
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Appendix DContract Administration Process Evaluation

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Appendix EIT Concept Statement Form

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Appendix FFeatures of Performance-Related Specifications
1.1.
Distinguishing Features of Performance-related Specifications

1.1.1. Acceptance based on key quality characteristics that have been found to correlate
with fundamental engineering properties that predict performance.
1.1.2. Mathematical models used to quantify the relationship between key materials and
construction quality characteristics and product performance.
1.1.3. Price adjustments related to the expected life-cycle cost (LCC) of the constructed
transportation facility.
1.2.
Components of Performance-related Specifications

1.2.1. Identification of owner's needs or goals
In the application of PRS, the owner defines its needs at the highest possible level.
For example, for pavements such goals are safety, comfort, accessibility, and
capacity. Lower level requirements, such as material or manufacturing properties,
are included only when necessary and where definitions for desired performance
cannot otherwise be expressed in clear and unambiguous terms.
1.2.2. Performance parameters
Performance parameters are functional requirements that can be measured or tested
to ensure that the owner's project goals are satisfied. For example, possible
performance parameters for an asphalt pavement include smoothness, in-place
density, and asphalt content.
1.2.3. Measurement or testing technique
PRS identifies a measurement strategy for each performance parameter. For
example, pavement smoothness could be measured using a high-speed
profilograph. The most desirable performance parameters are measurable.
1.2.4. Performance value or threshold
For each performance parameter, PRS sets a performance value, expressed in terms
of ranges (minimum/maximum), thresholds, or a rating system. For example, a
performance value associated with pavement smoothness could be expressed as a
maximum International Roughness Index (IRI) in inches/mile.
1.2.5. Verification tests or inspection
PRS requires the contractor to develop, submit, and implement a plan to control the
quality of materials and construction. Even though the contractor may assume more
responsibility for inspection and testing under PRS, this in no way relieves Caltrans

August 2015
Page F-1
of its responsibility to perform its own oversight and independent verification to

ensure that the product meets or exceeds the stated objective or standard.
1.2.6. Price adjustment
Unlike method specifications, PRS allows the parties to acknowledge a range of
acceptable work quality through the use of price adjustments that reflect the value
of the work received. Pay adjustments are based upon the analysis of both AsDesigned and As-Constructed life-cycle costs (LCC).
As-Designed LCC is determined by using the target values of the specified quality
characteristics as inputs to the Models. As-Constructed LCC is determined by using
the actual measured values of a construction project's quality characteristics as
input. The difference between As-Designed LCC and As-Constructed LCC is the
basis for any pay adjustment. Since price adjustments are based on a lifecycle cost
analysis, a negative pay adjustment covers the cost of future maintenance and
rehabilitation due to the construction not meeting the designed level of quality while
a positive adjustment reflects the savings in maintenance and rehabilitation due to
the higher level of initial quality.
1.3. Development of Performance-related Specifications
Basic requirements for development of PRS include:
1.3.1
Products that are viable candidates for PRS are identified. The use of PRS is
considered for those products for which the end product performance is
measurable; the specified testing is rapid, available, and economical; and for those
which the contractors are willing to assume performance risk because they are in a
position to control the risk or are attracted to the possibility of increased profit.
1.3.2. In-service performance requirements are organized and prioritized for each of the
identified products.
1.3.3
Specification language is developed or existing specifications modified to

accommodate the use of PRS for those products that have performance clearly
identified.
1.3.4. Mechanistic-empirical models are developed and/or actual performance data is

assembled that clearly link design factors to performance. Factors that are under the
direct control of the designer and those that are under the direct control of the
contractor are identified.
1.3.5. Non-destructive tests are developed and implemented that link more directly to
performance and focus on 100 percent sampling and/or continuous sampling of the
in situ product.
Page F-2
August 2015
1.3.6. Critical quality characteristics should be readily measurable and clearly tied to
product performance. Construction contractors should be held accountable only for
those quality characteristics under their control.
1.3.7. Prediction tools, including modeling and databases, are verified, calibrated,
validated, and otherwise made appropriate for local conditions.
1.3.8. Life cycle cost analyses (LCCA) are used to compare the as-designed product
section to the as-built section. The LCCA is based on a clear, well-documented, and
realistic preservation, rehabilitation, and maintenance decision process. User costs
are considered in developing appropriate pay factors.
1.3.9. Acceptance plans are statistically based with clearly defined risks. If necessary, pay
determinations are completed in a timely fashion to allow for prompt corrective
action. Sampling and testing plans properly address material, operator, and testing
variability and improve confidence in the results.
1.3.10. Performance-related specifications are written simply, clearly, and concisely.
1.3.11. As PRS end-result criteria are added to a contract for a specific quality
characteristic, they are accompanied by a corresponding reduction in prescriptive or
method elements, giving the contractor more freedom to innovate, improve quality,
and clarify roles and responsibilities.
1.3.12. Testing requirements incorporate standardized tests using nondestructive techniques
to measure the product in situ, better quantifying the quality characteristics and
enhancing 24 to 48-hour, if not instant, turnaround of information through the use
of computer technology.
1.3.13. The contractor is given reasonable latitude to develop and implement a quality
control plan that can be verified by Caltrans, especially for those quality
characteristics included in the acceptance plan.
1.3.14 Performance prediction techniques used in PRS are based on mechanistic models
and are the same models used in the design process. Asset management systems
track the same assumptions used in both the design and construction process.
1.4. Implementation of Performance-related Specifications
The ability to both develop and implement PRS is dependent upon Caltrans having
reasonable Performance-Prediction Models and Maintenance-cost Models. PerformancePrediction Models predict when and to what extent a construction product (such as a
pavement) will exhibit a given type of distress, such as fatigue cracking or joint spalling.
Maintenance-cost Models estimate the post-construction life-cycle cost (LCC), which is the
cost of maintenance and rehabilitation necessary throughout the projected life of the
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Page F-3
product. Inputs for these models include design variables such as traffic loading, climatic
factors, drainage, and soil factors and quality characteristics such as asphalt binder content
and air voids, concrete permeability and strength, and ride smoothness. These models can
only be developed and validated through good quality data, including pavement and bridge
performance, construction quality, construction cost, and maintenance cost.
Construction and Engineering Information Management Systems (Pavement, Bridge and
Maintenance) are used to collect this data and generate the required Performance-Prediction
Models and Maintenance-cost Models.
1.5. Advantages of Performance-related Specifications
1.5.1. PRS directly connects design requirements with construction, provides a critical
link between the construction and engineering management systems, and improves
overall design-to-construction communication.
1.5.2. PRS uses a more rational and defensible approach in developing pay factors for
adjusting contractor pay when quality is above or below desired levels.
1.5.3. Testing requirements focus more on those characteristics that relate to performance
giving Caltrans the capability to target and economize inspection programs.
1.5.4. Performance, quality, and costs are uniquely connected through modeling and life
cycle cost analyses providing an improved way to analyze tradeoffs.
1.5.5. Improved understanding of those quality characteristics that relate more directly to
product performance and more accurately translate design intent into construction
requirements.
1.5.6. Improvement in the focus on the overall quality of the product in areas that caused
problems previously.
1.5.7. PRS clarifies changes in roles and responsibilities between Caltrans and the
contractor and, at the same time, defines the levels of risk for each party.
By being less prescriptive, PRS creates an environment that encourages contractor
innovation. Contractors have the flexibility to select materials, techniques, and procedures
to improve the quality or economy, or both, of the end product.

Page F-4
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DIVISION OF CONSTRUCTION

Construction Quality Assurance

EDMUND G. BROWN JR.

JIM COTEY HANI ROMANI

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Construction Quality Assurance Program Manual Overview.......................................................................2

Construction Quality Assurance Program ................................................................................ 4

Section 1 Definitions and Abbreviations ................................................................................................. 5

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Control of Inspection, Measuring, and Testing Equipment .................................................... 25

Section 10 Project Materials Certification ............................................................................................... 26

Construction Quality Assurance Roadmap............................................................................. 27

Section 1 Quality Assurance Elements .................................................................................................. 28

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Construction Quality Assurance Long-Range Plan .................................................................. 61

Section 1 Long-Range ObjectiveIntegrated Construction Quality Assurance Database ...................... 62

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Figure 1. FHWA Concept of Quality Assurance

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Completed projects are tangible products by which Caltrans is measured

The role of the CQAP is to

Caltrans makes every effort to achieve quality construction in its

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Process for Updating

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Chapter 1Construction Quality Assurance Program

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Chapter 1Construction Quality Assurance Program

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Chapter 1Construction Quality Assurance Program

California Department of Transportation Division of Construction

CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL

Chapter 1Construction Quality Assurance Program

American Association of State Highway and Transportation Officials

Authorized Facility Audit List

American Institute of Steel Construction

American Society for Testing and Materials

Bridge Construction Records and Procedures Manual (Caltrans)

Contract Administration Process Evaluation

Code of Federal Regulations

California Test Method

Division of Engineering Services, Structure Construction

Feasibility Study Report

Federal Highway Administration

hot mix asphalt

Independent Assurance Manual (Caltrans)

Division of Engineering Services Materials Engineering and Testing

Material Plant Quality Program

Division of Engineering Services Materials Engineering and Testing Services/Office of

Office of Structural Materials Practices and Procedures Manual

Pavement Management System (Caltrans)

Quality Assurance Database