The implementing Agency should ensure there is a process in place for the testing facility to notify the Agency when test results are complete. The Implementing Agency should ensure that test results are logged and made easily available. Figure Documenting the right information on the XX form, obtaining and verifying the relevant backup documentation makes the testing process much more efficient. These forms can be filled out manually or electronically.
Samples must be properly identified so the testing facility can function efficiently and report the results in a timely manner to the project. Sample traceability — To have proper traceability all documents must match and the reference numbers must be carried over from one document to another. Without traceability the samples should not be tested.
Detailed instructions for filling out Sample Identification Cards as well as a completed form are located in Appendix Nonconforming Materials The purpose of the NCR is to document material or workmanship that does not meet the contract requirements, or breakdowns in the Quality Control QC process.
The RE has the responsibility to make the final decision regarding the incorporation of the material into the project. Any action taken by QC that is not in conformance with the contract requirements or any attempts to hide nonconforming processes or products.
Material is shipped without proper inspection and release documentation. Once determined that an NCR should be written, the SMR is responsible for notifying the RE as soon as practically possible, preferably in person or by phone.
QCPs for items not requiring source inspection will still require review and approval by the RE i. QCPs must meet or exceeded the material, testing and inspection requirements specified in the project contract documents.
The project contract documents will specify if a pre-job meeting is required to discuss a quality control plans. Resistance-butt-welded splices are commonly referred to as hoops because the rebar is formed in a circle and then machine resistance-butt-welds the ends together forming the shape of a hoop.
The type and model of mechanical couplers and the fabricators of hoops are both required to be on the Authorized Material List.
See Section 14 of this manual for more information on Authorized Material Lists. Per Section Note that hoops are exempted in the and Standard Specifications from requiring a Welding Quality Control plan described below. Note that Section and of the and Standard Specifications exempts hoops and headed bars from requiring a Welding Quality Control Plan. If a facility is on an OSM audited facilities list, then their shop WQCP is not required to be submitted on a project by project basis.
The facility is still required to submit shop drawings and any other submittal required in the contract documents before they begin fabrication. See Section 14 for more information about the Audited Facility List.
During source inspection, QA inspectors must ensure that fabrication complies with all contract requirements including the facility WQCP. An appropriate review form shown in Appendix 8 of this manual is required for each submittal.
All review forms must be kept in an appropriate filing location and in general compliance with Caltrans Construction filing requirements. See Section 2.
Local Agencies are required to include a list of all materials requiring shop drawings for their project as well as a documented review process in the SIQMP outline.
An appropriate review form as mentioned in Section 9 of this manual is required for each submittal. An example shop drawing review form is provided in Appendix 8. The Local Agency is responsible for generating a detailed procedure for the review process of shop drawings. There are many references in the Standard Specifications that require material or facilities to be on these lists.
The Local Agency assumes all responsibility for material coming from these facilities. Just because material is on the Authorized Materials List or is fabricated at an Audited Facility does not guarantee that it will comply with the project contract documents, nor does it exempt the Local Agency from performing the level of QA inspection and testing required to ensure a quality product.
Also note that for Caltrans implemented projects, additional QA processes are employed at these facilities in order to accept source inspected materials. These lists can be project specific or developed and maintained for all projects within the jurisdiction of the Local Agency. Contact the OSMR for additional information.
They are also required to use the same paragraph numbering system and must include all sections listed in the outline. This letter will list a summary of the review findings and any deficiencies with the submittal. The audit is not an inspection of a product or the acceptance of any material. As part of the cooperative agreement, Caltrans provides IQA to assure that materials acceptance work is performed by the Local Agency in compliance with the approved project plans, specifications, SIQMP and in accordance with Caltrans standards.
To conduct this work, the OSMR is afforded access to all project work including source inspection activities and files. Although passing an audit does not guarantee that the Local Agency is in full compliance with its approved SIQMP, it documents that proper procedures are in place and there is a reasonable expectation that material quality adheres to the requirements of the contract documents.
The review of the QA verification procedures includes: Nonconformance reports Inspection reports Material test reports Buy America verification Submittal review process Contractor submitted Quality Control Plans Key project staff includes:. Construction Procedure Directive 08? Deputy Directive 90 DD? Risk Assessment Form deviating from high risk item 8.
OSM Forms 9. Material List Requiring Source Inspection Sample Identification Card Material List Applicable Standards IQA Audit Report NDT Requirement Reference. Appendix 1. Appendix 2. Appendix 3. Appendix 4. Appendix 5. Division of Engineering Services.
Appendix 6. Appendix 7. Appendix 8. Appendix 9. Project documents have a higher precedence than this table. This table provides the minimal QA level of inspection and testing required.
The corresponding QASI manual section can also be references for more guidance. At a minimum witness D-Load testing. Appendix The corresponding QASI manual section can also be referenced for more guidance. Standard Spec. Required NDT and Ref. Provisions Re: Sec. Steel, Br. This table is not all encompassing of every NDT reference that may apply to a project.
Table of Contents 1. FORMS Providing for the efficient multimodal movement of people and goods. In the best interest of the general public. Developed and constructed in compliance with laws and regulations that govern the use of State and Federal transportation funds. Developed and constructed in partnership with vested stakeholders.
Oversight Structural Materials Representatives List. Deputy Directive R1. Local Agency Resident Engineers. Local Assistance Procedures Manual. Local Agency Structure Representatives Guidelines. Oversight Field Engineer Guidelines. Other state and federal manuals and documents should be consulted for specific guidance in developing a project. Term Quality Assurance Quality Control Independent Quality Assurance Verification 23CFRB All those planned and systematic actions necessary to provide confidence that a product or service will satisfy given requirements for quality.
Deputy Directive 90 The activities performed within the Implementing Agency during the project delivery process that provides confidence that the project team is fulfilling established project requirements and expectations. The operational processes, practices and activities performed at the project team level during the project delivery process to ensure that the product meets the project's purpose and need and fulfulls establishes quality requirements.
No definitions Table 3. The QA Acceptance Program includes an assessment of all materials based on importance. The Risk Assessment Matrix see Figure 4.
The duties and responsibilities of the SMR are described in Section 5. Any updates to source inspection activities require an update to the SIQMP, which shall be submitted to Caltrans for review and approval. Refer to Section 6. Probability indicates the chance of a material failing to meet the specification while impact indicates the consequences on a project if the material fails to meet this specification.
Materials that rate for high in both categories high risk of failing to meet specification and high risk of consequences if they do fail should have the highest level of scrutiny by SMRs. The Risk Assessment Matrix assists in decision making for allocation of resources by answering the following questions:. Factors influencing a fabricators history include:.
Past Performance Fabricating Item. Type II: Projects with accelerated delivery, emergency projects, or projects with significant schedule or cost impacts. Catastrophic Impact: Failure likely to cause loss of life or injury e. Safety Impact: Failure creates a safety hazard for employees or the public e.
Interruption of Service: Failure or repair may cause an interruption in service e. Monetary Impact: Failure results in monetary loss only e.
None of the project impacts are mutually exclusive and in turn, each progressive impact may include the consequences of lower impact; catastrophic impact being the highest concern and monetary impact being the lowest concern. Once the project type and material consequence of failure are determined, the Engineer obtains the corresponding Impact Value , see Figure 4. The ultimate goal of the Risk Assessment Matrix is to assess risks associated with material fabrication and accordingly use optimum resources for source inspection.
Once the Risk Factor is determined, an appropriate level of source inspection is recommended using the Risk Assessment Matrix:. Materials insoection performed at the jobsite. Table 4. It is important to note that the evaluation of the resultant Risk Factor for a material can change throughout the life of the project as workmanship and project assessment are capable of shifting.
At which point, the SMR is to re-evaluate and accordingly manage available resources. The primary responsibilities of the SMR include:.
Inspection personnel perform technical assignments to either the field or the office. Field duties include performing inspections and documenting the results in the required reports. Inspectors must be an employee of the Implementing Agency or must be hired by an Implementing Agency subcontractor providing only QA services. The Inspector must not be employed or compensated by the Contractor or any of their subcontractors.
Inspectors assigned to the office are typically at the Associate Inspector Level. The responsibilities of the Inspector include at a minimum:. Performing in-process inspections, verify QC processes and procedures are followed as outlined in QCP. Types of reports generated by Implementing Agency Inspectors include:.
Type of release tags used for releasing fabricated materials by Implementing Agency Inspectors:. Material that does not fully conform to contract document. Engineering analysis that determines material is suitable for intended purpose. An inspector with extensive structural coatings experience. The agency implementing the construction contract Implementing Agency on the State Highway System SHS is responsible for acceptance of the materials and workmanship, and it cannot be assigned to the contractor or to a consultant working for the contractor, regardless of the project delivery method.
At a minimum, the Implementing Agency shall perform source inspection of the following material prior to release to the jobsite:. Items which require further inspection and testing at the jobsite by the Implementing Agency include:.
If the Implementing Agency decides to deviate and not perform source inspection on any of the items listed above, a risk assessment analysis is required to be provided and approved by Caltrans prior to fabrication. At the materials meeting, the SMR:. Actual scheduling of the meetings can be finalized at a later point once Contractor is contacted and the fabricator is known.
Determines a general approach to inform SMR of contract addendums, change orders, pertinent contract correspondence, and shop drawings. Determines if the pre-construction meeting with the Contractor has occurred and requests to be included. Provides a list of material-related submittals that must be received and reviewed by SMR. Under this law, steel and iron materials must be melted and manufactured in the United States except:.
Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production of the steel and iron materials. If the total combined cost of the materials does not exceed the greater of 0. The minimum allowance for the use of small quantities of foreign steel may be approved by the RE. The Inspector does not have authority to make such an approval. When foreign steel is released, note on the Report of Inspection the items that are foreign steel with an additional note that this has been approved by the RE.
The Implementing Agency Inspector may be the only owner's representative to verify conformance to "Buy America" requirements. Therefore, this verification is mandatory. Non-conformance reports NCRs are an integral component of inspection process. The purpose of the NCR is to document material or workmanship that does not meet the contract requirements, or breakdowns in the QC process.
They are utilized to communicate to the Implementing Agency's Resident Engineer when SMR staff discovers non-compliances with contract specifications. The complete process is outlined in Section 11 of this manual.
When specific brand or trade names are used to designate required products, the Brand or Trade Names and Substitutions contractor may furnish other products that are of equal or better quality. A product is not necessarily equivalent merely because it is on an approved products list.
These lists indicate that the products meet the general qualifications. However, some of the listed products may not meet the specific needs of the project or may not be appropriate for a particular location due to factors such as climate conditions or maintenance difficulties. Any deviation from special provisions must have approval from the RE. SMR needs to investigate and determine whether material substitution is suitable to be used on the project. Such materials might require further testing in addition to specification requirements to be considered suitable for use for the application intended.
The approved quality control plan required for some products may additionally require that a Certificate of Compliance be supplied. An authorized representative of the producer, typically the quality control manager, must sign the COC. The Implementing Agency Resident Engineer RE can accept certain materials without sampling and testing, if accompanied by a Certificate of Compliance COC , acceptable on from those sources that have prior records of proven reliability and established quality control.
The RE may also reject the material even with a COC if quality assurance testing has resulted in failing tests or the supplier has failed to perform satisfactory quality control practices. Standard Specifications identify materials requiring a Certificate of Compliance. Typical items include:. It is the responsibility of the Implementing Agency to develop a system for Control of Documents and Records. Establish a document and record control systems that identifies, stores, and manages documents and records related to implementation, maintenance of Source Inspection Quality Management Plan SIQMP.
The Implementing Agency is responsible for developing a Quality Assurance Program QAP to assure that the materials and workmanship incorporated into each construction project are in conformance with the requirements of the approved plans and specifications, including approved changes.
They must be legible and understandable. The testing data must support the included Certificate of Compliance. Size and type of sample - Some materials require specific lengths and configurations. Steel plate or bar size maybe controlled. Sample may have to come from within the component. For example: See Standard Specification Section Sampling must be performed by the RE or a designee on his behalf.
Sampling cannot be performed by any Quality Control function including but not limited to fabricators and contractors. Please see Appendix 9 for table of material sampling frequencies and testing requirements. This table is not all inclusive but is meant as general guidance to some items requiring sampling and testing.
Packages containing samples may be damaged on their way to the testing facility. This damage may separate documentation from the sample or obscure the sample identification if it is not marked and secured properly.
To ensure proper identification of samples the following requirements must be met:. Packaging - Wire tie or strapped together, box or bag, shrink wrapped or taped. Painted on identification or wired on tags. Clear tape over printed labels. Coating protection - Coated samples should be encased in some protecting medium such as foam pipe insulation for epoxy coated rebar. Timely shipping or delivery is essential — Do not hold the samples for a group shipment. Ensure that samples are shipped within a few days.
A verification sampling and testing program must be established by the implementing agency. In order to avoid an appearance of a conflict of interest, any qualified private laboratory shall perform only one of the following types of testing on the same project: Verification testing, QC testing, or dispute resolution testing.
Example situations requiring an NCR:. Procedure to issue an NCR:. QA inspectors will identify to the contractor areas of nonconformance; however, written NCRs will not be provided to the contractor or quality control personnel. Inspector drafts the NCR including any relevant conversations with contractor or QC personnel in the report. An illustration of both the verbal notification and written notification process of NCRs are shown in the Figures Process should be complete as soon as practically possible.
Material suitability release procedures may be developed as a mechanism to keep projects moving forward, better document material suitability decisions, and to ensure proactive resolution of material issues. The Inspector is not authorized to release material if it does not conform to the specifications, contract plans, and approved working drawings without proper authorization.
However, the material suitability release procedures allow QA staff to release material if an engineering analysis has determined the material will be suitable for its intended purpose.
The purpose of this section is to provide guidelines for procedures to execute this system. The alternative release procedures shown in Figure This material suitability process may be initiated by one of the following:. After one of these instances occurs, the Inspector and SMR should discuss the issue and come to consensus whether a nonconformance or change to the contract has occurred.
Additionally, the SMR will inform the Contractor of the issue in order to initiate discussions and develop possible resolutions.
During this time, it will be important for the SMR to sufficiently research the issue in order to facilitate the best materials engineering technical recommendation. Once the Contractor has responded to the official correspondence, the SMR should proceed with one of the following courses of action:. Acceptance Proposal from the Contractor.
If the Contractor proposes a resolution that the SMR, Construction Team and Designer can agree to, the SMR will document the issues and decisions on the appropriate forms 9 and forward to appropriate personnel in the chain of communication for review. Unacceptable Proposals from the Contractor. During the course of a project there may be instances where the Construction Team or Design Team does not agree with the technical recommendation issued by the SMR.
Materials Brought Back into Conformance. If the Contractor proposes a solution that will bring the material back into conformance with the Contract, the SMR will record the resolution on the appropriate forms and may authorize release under form XX Appendix 8. Projects with material released to the jobsite under the material suitability release process may require Contract Change Orders CCOs. One XX should be completed for each issue that can potentially result in a material suitability release.
The XX should be treated as a working document that is updated daily and summarizes all of the ongoing discussions and decisions regarding a material issue. The SMR will be ultimately responsible for completing and updating this report as the resolution of the issue changes and decisions are made by the appropriate parties.
A blank copy of the XX is located in Appendix 8. For nonconforming material that has been found fit for its intended purpose, the Inspector will complete the XX to replace the XX or modify the XX that would typically be completed for conforming material. The following guidelines shall be followed when determining the type of Blue Tag for material release:.
Material shall be released with a XX if the material has been evaluated and determined to be suitable for its intended purpose and it or its parent material no longer requires in-process inspection. Material shall be released using a Green Tag Report XX- with a note describing the material suitability issue if the material is evaluated and deemed suitable for its intended purpose and is being shipped from one vendor to another vendor where the Local Agency is still responsible for inspection i.
Note: A modified Green Tag Report XX- may have a note on the tag identifying the material as having been evaluated for suitability, or some other modification, such as a sticker. A QCP details the methods the contractor will use to ensure the quality of the work. Below are some of the typical QCPs that are most likely to be required per the project contract documents.
Mechanical couplers are a method used to splice rebar together. Section of the Revised Standard Specifications and Section of the Standard Specifications provides minimum requirements for inspection and testing of precast concrete members. A Local Agency can adopt these requirements.
OSM has preapproved some WQCPs at audited facilities that are valid as long as the facility is on the audited facility list and are only valid for shop welding not valid for field welding. The following types of facilities on the OSM audited facility list have shop approved WQCPs that are not required to be submitted and approved before they begin fabrication:. Less frequent QCPs may be required in the contract documents. Shop drawings are required for material as specified in the contract documents.
METS has developed and is responsible for developing and maintaining multiple approved products lists and audited facility lists. If a Local Agency requires Caltrans Standard Specifications to be part of the project documents, they have two options described in Sections Requests should be marked to the addition of the FARE panel and sent to the following address:.
The FARE panel will review and respond to requests within 10 working days. A sample approval letter is attached in Appendix Once the project begins, identified by the pre-construction meeting the Local Agency is required to submit a monthly report to the OSMR summarizing materials acceptance activities performed during that period.
These reports are required regardless of whether any materials or source inspection related activities were performed by the SMR.
If no activities were performed, a simple report will indicate that. Audits typically occur once per quarter, however can increase or decrease in frequency should the OSMR deem necessary. Factors to consider determining the frequency of the audits include:. The review of the QA verification procedures includes:.
The OSMR will compile the final notes and prepare a report with findings and a list of any concerns. The report will number each finding such that the resolutions of these findings are easily tracked throughout the project. If there are any outstanding audit findings, the Local Agency will work to resolve these findings before submitting a final acceptance letter.
The OSMR will verify that this letter is on file. Unresolved findings that remain or are found during the time of the closeout review may result in the need for a letter to be issued. When it cannot be confirmed that work was performed in accordance with the approved SIQMP or there are outstanding issues on the project, the Closeout Action Letter will not be issued.
Depending on the findings, appropriate stakeholders will be notified. Quality is an important element of successful project delivery. Caltrans has developed policies, procedures, and guidelines to facilitate the mandatory compliance with the Federal Highway Administration FHWA Title 23 requirements. This document was created to assist the implementing agency in the development of their SIQMP, as it relates to all materials manufactured or fabricated away from the jobsite.
This includes verification source inspection and material acceptance activities. This document brings relevant information together from many Caltrans references for the convenience of the implementing agency. To eliminate any perceived conflict of interest the implementing agency must not delegate verification inspection, sampling and testing responsibilities to the Contractor. Once approved in writing, the SIQMP will be the guiding document for management of materials that are fabricated or produced outside of the jobsite.
The Contractor must perform quality control as outlined in the project documents. Project General Description Materials Management Roles and Responsibilities Verification Source Inspection and Documentation Verification Lab Testing and Documentation Contractor Quality Control Plans Issue Resolution Monthly Summary Report Final Acceptance Letter Template for Materials Verification Testing List Below is a recommended breakdown of each section with example sub-sections to help the implementing agency produce an effective SIQMP.
This information will provide the foundation for efficient IQA by Caltrans. The goal of this section is to provide the implementing agency the opportunity and flexibility to describe their materials management process. Some of the typical references are provided in Appendix 5, References , for the benefit of the implementing agency. Verification source inspection helps to ensure that structural materials incorporated into the State Highway System comply with contract requirements with regard to raw materials, fabrication processes, personnel certifications, and in-process QC testing.
A QA Acceptance Program includes an assessment of all materials based on importance. The goal of this section is for the implementing agency to describe their verification source inspection process.
Provide an organizational chart of the key positions to be filled by the implementing agency and Contractor. An acceptable framework is shown on Figure 2. Provide supporting documents with the names, certifications, licenses, and responsibilities for each position. When applicable, the documentation should include:. Agency Assistant Resident Engineers or equivalent iii.
PE serving as Agency Structure Representative or equivalent iv. Agency Assistant Structure Representative or equivalent v. Provide the following information, when available:. The implementing agency should categorize materials based on the level of importance for their project and should determine the appropriate level of source inspection required. Note: The use of Caltrans approved programs is at the discretion of the implementing agency.
The implementing agency assumes all responsibility for material coming from these facilities. Also note that for Caltrans implemented projects additional QA processes are employed at these facilities in order to accept source inspected materials. Systematic documentation is a key component of the QA Acceptance Program. In order to facilitate these audits, documentation needs to be organized and easily accessible.
Verification inspection forms including:. A template for the list is provided in Appendix 4. QC Plans are an important part of a QC Program as they help to ensure the Contractor is following project requirements with regard to material, fabrication, testing, and inspection practices. Indicate the individual responsible for performing each review ii. Documentation of the reviews and addendums e. Filing of the reviews and addendums. For the meetings noted above, please provide the following details:.
A thorough QA Acceptance Program includes guidelines for issue resolution. The implementing agency should provide a description of their issue resolution process, how it is concluded, and how it is documented.
Product QC Processes. On the 1st of each month the implementing agency must produce a SIQMP Monthly Summary Report that describes the materials acceptance activities performed for that period.
The following link contains the latest OSM contact information. The report will include at a minimum the following:. Response to Caltrans IQA audit findings iii. The Independent Office of Audits and Investigations maintains a Hotline where employees and members of the public can anonymously report unethical or questionable behavior by employees of the California Department of Transportation Caltrans.
Home Resources Resources. And 2 CFR Box Sacramento, CA Ethics Hotline: The Independent Office of Audits and Investigations maintains a Hotline where employees and members of the public can anonymously report unethical or questionable behavior by employees of the California Department of Transportation Caltrans.
To Report a Concern.
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