MAY
2023
Construction
DIVISION OF CONSTRUCTION
Quality Assurance
Program Manual
State of California
Department Of Transportation
CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Construction Quality
Assurance Program Manual
Issued by
Division of Construction
GAVIN NEWSOM
Governor
TONY TAVARES
Director, Department of Transportation
MICHAEL KEEVER
Chief Deputy Director
DONNA BERRY
Chief Engineer
RAYMOND TRITT
Assistant Chief, Division of Construction
RAMON HOPKINS
Chief, Division of Construction
JOSEPH DONGO
Chief, Office of Construction Standards
© Copyright 2023 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).
https://dot.ca.gov/manuals
State of California California State Transportation Agency
DEPARTMENT OF TRANSPORTATION
“Provide a safe and reliable transportation network
that serves all people and respects the environment”
Construction Quality Assurance Program
(CQAP) Manual
Issued by
Division of Construction
This manual provides quality assurance guidance on testing and inspection
to verify the quality of materials used in highway construction on Federal-
Aid Projects.
Approved By:
___________________________ _______________
Raymond Tritt Date
Assistant Chief
Division of Construction
California Department of Transportation
___________________________ _______________
Christopher S. Long Date
Infrastructure Team Leader
Federal Highway Administration
7/3/2023
7/3/2023
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Contents
California Department of Transportation • Division of Construction
May 2023 Page i
CONTENTS
Introduction ......................................................................................................................................... 1
Figure 1. FHWA Six Core Elements of Quality Assurance Program....................................... 1
Construction Quality Assurance Program Manual Overview........................................................... 3
Purpose ........................................................................................................................................... 3
Scope ............................................................................................................................................. 3
Organization of This Manual ........................................................................................................... 3
Process for Updating ....................................................................................................................... 4
Chapter 1 Construction Quality Assurance Program Overview ................................................. 5
1.1 Definitions and Abbreviations .................................................................................................. 6
1.1.1 Definitions .............................................................................................................................. 6
1.1.2 List of Abbreviations .............................................................................................................. 9
1.2 Specified Level of Quality—Materials and Work Quality .................................................... 10
1.2.1 Materials .............................................................................................................................. 10
1.2.2 Work Quality ........................................................................................................................ 10
1.3 Document and Record Control .............................................................................................. 11
1.3.1 Document Control ............................................................................................................... 11
Table 1.3.1. Document Control References .......................................................................... 12
1.3.2 Records Control .................................................................................................................. 12
Table 1.3.2. Records Control File Categories ........................................................................ 13
Table 1.3.3. Required Documents to be Submitted During Construction ............................. 13
1.4 Management and Staff Responsibilities ............................................................................... 14
1.4.1 Quality Objective ................................................................................................................. 14
1.4.2 Quality Commitment ............................................................................................................ 14
1.4.3 Responsibility and Authority ................................................................................................ 14
1.4.3.a Division of Construction .............................................................................................. 14
1.4.3.b District Construction .................................................................................................... 14
1.4.3.c Division of Engineering Services................................................................................. 14
1.4.3.d Other Divisions ............................................................................................................ 15
Figure 1.4.1. Support Services Available to Resident Engineer .......................................... 15
Table 1.4.1. Organization Reference .................................................................................... 16
1.4.4 CQAP Process Evaluation .................................................................................................. 16
Table 1.4.2. Process Evaluation References ........................................................................ 16
1.5 Resource Management ........................................................................................................... 17
1.5.1 Competence, Awareness, and Training .............................................................................. 17
Table 1.5.1. Training Policy Reference ................................................................................. 17
1.6 Process Control ....................................................................................................................... 18
1.6.1 Proposed Source of Materials ............................................................................................. 18
1.6.1.a Material Identification and Traceability ........................................................................ 18
Table 1.6.1. Control of Work and Materials References ....................................................... 19
1.6.1.b Handling, Storing, and Transporting ........................................................................... 19
Table 1.6.2. Materials Handling Reference ........................................................................... 19
1.6.1.c Control of Special Processes ...................................................................................... 19
Table 1.6.3. Special Processes References ......................................................................... 20
1.7 Inspection and Testing ........................................................................................................... 21
1.7.1 Role of Resident Engineer .................................................................................................. 21
Table 1.7.1. Engineer Duties References ............................................................................. 21
1.7.2 Quality Control Inspection and Testing ............................................................................... 21
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
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California Department of Transportation • Division of Construction
Page ii May 2023
Table 1.7.2. Quality Control References ............................................................................... 22
1.7.3 Acceptance Inspection and Testing .................................................................................... 22
1.7.3.a Quality Assurance Methods ........................................................................................ 22
1.7.3.b Acceptance Criteria .................................................................................................... 22
1.7.3.b (1) Manufactured and Fabricated Materials ............................................................. 23
1.7.3.b (2) Job Site-Produced Materials .............................................................................. 23
Table 1.7.3. Materials Acceptance References .................................................................... 23
1.7.4 Independent Assurance ...................................................................................................... 23
Table 1.7.4. Independent Assurance References ................................................................ 25
1.8 Control of Nonconforming Work and Materials ................................................................... 26
Table 1.8.1. Nonconforming Work and Materials References .............................................. 26
1.8.1 Corrective and Preventive Action ....................................................................................... 26
Table 1.8.2. Corrective Work References ............................................................................. 27
1.9 Control of Inspection, Measuring, and Testing Equipment ................................................ 28
Table 1.9.1. Inspection and Testing References .................................................................. 28
1.10 Project Materials Certification ............................................................................................. 29
Table 1.10.1. Materials Certification Reference .................................................................... 29
Chapter 2 Construction Quality Assurance Roadmap Overview ............................................. 30
2.1 Quality Assurance Elements ................................................................................................. 31
2.1.1 Contractor Quality Control .................................................................................................. 31
2.1.2 Department Acceptance Program ...................................................................................... 32
2.1.3 Independent Assurance ...................................................................................................... 32
2.1.4 Dispute Resolution .............................................................................................................. 33
2.1.5 Authorized Laboratories ...................................................................................................... 33
2.1.6 Personnel Qualifications ..................................................................................................... 33
2.2 Specifications .......................................................................................................................... 35
2.2.1 Deciding Between Method and Quality Assurance Specifications ..................................... 35
2.2.1.a Advantages and Disadvantages ................................................................................. 35
2.2.1.a (1) Method Specifications ........................................................................................ 35
Table 2.2.1. Advantages and Disadvantages of Method Specifications ............................... 36
2.2.1.a (2) Quality Assurance Specifications ....................................................................... 36
Table 2.2.2. Advantages and Disadvantages of Quality Assurance Specifications ............. 37
2.2.1.b Choosing the Specification Type ................................................................................ 37
Table 2.2.3. Appropriate Conditions for Using Method Versus Quality Assurance
Specifications ...................................................................................................................... 38
2.2.2 Specification Development Process ................................................................................... 38
Figure 2.2.1. Quality Assurance Specification Development Process .................................. 39
2.2.2.a Step 1—Identify Tier Level ......................................................................................... 39
Table 2.2.4. Tier Levels for Contract Items ........................................................................... 40
Table 2.2.5. Standard Specifications Sections with Associated Tier Levels ........................ 41
Table 2.2.5. Standard Specifications Sections with Associated Tier Levels (continued) ..... 42
2.2.2.b Step 2—Identify Production Mode .............................................................................. 42
2.2.2.c Step 3—Define the Quality Characteristics for Quality Control and Acceptance ....... 43
Table 2.2.6. Typical Quality Characteristics for Quality Control and Acceptance ................ 44
2.2.2.d Step 4—Specify the Quality Control and Acceptance Test Methods ......................... 45
2.2.2.e Step 5—Specify the Location and Frequency of Sampling and Testing .................... 45
2.2.2.e (1) Location of Sampling and Testing ...................................................................... 45
2.2.2.e (2) Quality Control Testing Frequency ..................................................................... 46
2.2.2.e (3) Acceptance Testing Frequency .......................................................................... 46
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Contents
California Department of Transportation • Division of Construction
May 2023 Page iii
2.2.2.f Step 6—Define the Acceptance Criteria and Acceptance Limits ................................ 46
2.2.2.f (1) Quality Measures ................................................................................................ 46
2.2.2.f (2) Specification Limits ............................................................................................. 46
2.2.2.f (3) Payment Adjustment Schedule ........................................................................... 47
2.2.2.g Step 7—Identify the Quality Assurance Methods to be Specified .............................. 47
Table 2.2.7. Quality Assurance Method Application Matrix ................................................... 48
2.3 Quality Assurance Methods ................................................................................................... 51
2.3.1 Material Prequalification ...................................................................................................... 51
2.3.1.a Authorized Materials List ............................................................................................. 51
2.3.1.b Aggregate Prequalification Program ........................................................................... 51
2.3.1.c Job Mix Formula Prequalification Program ................................................................. 52
2.3.1.d Proprietary Product or Process ................................................................................... 52
2.3.1.e Products Manufactured to National Quality Standard ................................................. 52
2.3.1.f Commercial Quality Products ...................................................................................... 52
2.3.1.g Caltrans-Furnished Materials ...................................................................................... 53
2.3.2 Qualification Requirements for Facilities, Contractors, and Personnel ............................... 54
2.3.2.a Qualification Requirements for Facilities ..................................................................... 54
2.3.2.a (1) Prefabrication Audit ............................................................................................. 54
2.3.2.a (2) Authorized Facility Audit Listing .......................................................................... 54
2.3.2.a (3) Authorized Laboratory List .................................................................................. 54
2.3.2.a (4) Authorized Laboratory ......................................................................................... 54
Table 2.3.1. Laboratory Authorization Matrix ........................................................................ 55
2.3.2.a (5) Authorized Plant or Facility ................................................................................. 56
2.3.2.b Qualification Requirements for Contractors ................................................................ 56
2.3.2.c Qualification Requirements for Personnel .................................................................. 56
2.3.2.c (1) Sampling, Testing, and Inspection Personnel .................................................... 56
Table 2.3.2. Sampling and Testing Personnel Authorization Matrix ..................................... 57
2.3.2.c (2) Installer, Applicator, or Erector Personnel .......................................................... 57
2.3.3 Submittal Requirements ...................................................................................................... 58
2.3.3.a Designer Review of Construction and Fabrication Working Drawings or Plans ......... 58
2.3.3.b Resident Engineer Review of Construction and Fabrication Process Submittals ...... 58
2.3.3.c Resident Engineer Review of Proposed Job Mix Formulas or Mix Designs ............... 58
2.3.3.d Resident Engineer Review of Proposed Quality Control Procedures ......................... 59
2.3.3.e Engineer Review of Product Data ............................................................................... 59
2.3.3.f Contractor Submittal of Test Samples ........................................................................ 59
2.3.4 Material Sampling and Testing ............................................................................................ 59
2.3.4.a Pre-Production, Initial or Stockpile .............................................................................. 59
2.3.4.b Quality Control Sampling and Testing ........................................................................ 59
2.3.4.b (1) Quality Control Sampling and Testing for Process Control ................................ 60
2.3.4.b (2) Quality Control Sampling and Testing for Acceptance ....................................... 60
2.3.4.c Verification Sampling and Testing............................................................................... 60
2.3.4.d Programmatic Quality Assurance Inspection and Testing at the Job Site .................. 61
2.3.4.e Programmatic Assessment ......................................................................................... 61
2.3.4.f Acceptance Sampling and Testing.............................................................................. 61
2.3.5 Certificate of Compliance .................................................................................................... 62
2.3.5.a Certificate of Compliance from Producer .................................................................... 62
2.3.5.b Certificate of Compliance from Producer with Test Results ....................................... 62
2.3.6 Material and Engineering Inspection ................................................................................... 63
2.3.6.a Material Inspection ...................................................................................................... 63
2.3.6.a (1) Quality Control Inspection ................................................................................... 63
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
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California Department of Transportation • Division of Construction
Page iv May 2023
2.3.6.a (2) Verification Inspection ........................................................................................ 63
2.3.6.a (3) Acceptance Inspection ....................................................................................... 63
2.3.6.a (4) Pre-Production Meetings .................................................................................... 64
2.3.6.a (5) Pre-Production Trial Mockup .............................................................................. 64
2.3.6.b Engineering Inspection ............................................................................................... 64
2.3.7 Warranty Provisions ............................................................................................................ 65
2.3.7.a Material and Work Quality Warranty ........................................................................... 65
2.3.7.b Performance Warranty ................................................................................................ 65
2.3.7.c Guarantee ................................................................................................................... 65
Chapter 3 Construction Quality Assurance Long-Range Plan Overview ................................ 66
3.1 Long-Range Objective—Construction Quality Assurance Database................................ 66
3.1.1 Data Interchange for Materials Engineering, METS ............................................................ 66
3.1.1.a Construction Quality Assurance Database Requirements ......................................... 67
3.1.1.b Team Culture and Innovation ..................................................................................... 67
3.1.1.c Environmental Product Declaration ............................................................................ 67
3.1.2 Construction Quality Assurance Database, Division of Construction .................................. 67
3.1.2.a Contract Payments ..................................................................................................... 68
3.1.2.b Construction Document Management System ........................................................... 68
3.1.2.c Data Visualization and Reporting Systems ................................................................ 68
3.1.3 Construction Quality Assurance Database—Pavement Program ...................................... 69
3.1.4 Construction Quality Assurance Database—Structural Construction ................................ 70
3.1.4.a Project Data Management System (ProDMS) ............................................................ 70
3.1.4.b Future Development on ProDMS................................................................................ 70
3.2 Long-Range Objective—System-Based Acceptance Process ........................................... 71
3.2.1 Pre-Approved Source ......................................................................................................... 71
3.2.2 Unapproved Source ............................................................................................................ 71
3.2.3 Laboratory Testing .............................................................................................................. 72
3.2.4 Material Approval and Delivery ........................................................................................... 72
3.2.5 Field Release of Manufactured Items ................................................................................. 72
3.2.6 Project-Level Documentation .............................................................................................. 72
3.2.7 Final Materials Certification................................................................................................. 73
3.3 Long-Range Objective—Performance Specifications......................................................... 74
3.3.1 Concrete Pavements ........................................................................................................... 75
3.3.2 Asphalt Pavements .............................................................................................................. 75
3.3.2.a Non-Performance-Related Specifications .................................................................. 76
3.3.2.a (1) Advantages and Requirements of Non-Performance-Related Specifications ... 76
3.3.2.a (2) Status of Non-Performance-Related Specifications ........................................... 77
3.3.2.b Performance-Related Specifications .......................................................................... 77
3.3.2.b (1) Distinguishing Features of Performance-Related Specifications ....................... 78
3.3.2.b (2) Status of Performance-Related Specifications ................................................... 78
3.3.2.c Quality Assurance Program Changes ........................................................................ 78
3.4 Long-Range Objective—Risk-Based Acceptance Criteria ................................................. 79
3.4.1 Analysis Acceptance Limits ................................................................................................ 79
3.4.2 Analysis to Confirm Acceptance Plan Risks ....................................................................... 80
Appendixes ....................................................................................................................................... 82
Appendix A: Caltrans Quality Assurance Documents ............................................................... 83
Appendix B: Caltrans Quality Assurance Program Bulletin ..................................................... 84
Appendix C: Caltrans Deputy Directives ..................................................................................... 86
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Introduction
California Department of Transportation • Division of Construction
May 2023 Page 1
Introduction
For many years, departments of transportation (DOTs) performed testing and inspection to
verify the quality of materials used in highway construction. During those years, DOTs were
the sole testing and inspection authority. Later, as some of the testing duties were shifted to
the contractor, the DOTs continued performing tests for acceptance or verification. The
contractor testing was then referred to as quality control, while the DOT 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 regarding quality
assurance. For the Federal Highway Administration (FHWA), construction quality assurance is
not a slogan. It is a systematic approach to attain the constructed quality of each Federal-aid
project. As Figure 1 illustrates, a complete Quality Assurance Program includes the six core
elements of:
• Contractor Quality Control
• Agency Acceptance
• Independent Assurance
• Dispute Resolution
• Laboratory Qualification and Accreditation
• Personnel Qualification and Certification
Figure 1. FHWA Six Core Elements of Quality Assurance Program
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Introduction
California Department of Transportation • Division of Construction
Page 2 May 2023
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
confirms the quality of constructed highway projects.
Quality assurance encompasses all materials and construction activities on a project and
directly affects the service life of a transportation facility. The elements of an acceptable quality
assurance program include quality control by the contractor, acceptance testing and inspection
by Caltrans, independent assurance, qualified personnel, accredited laboratories, and a
dispute resolution process. These elements work together to assure an effective quality
assurance program. Any elements missing from the program increase the risks associated
with the project, such as a reduced service life.
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 the Code of Federal Regulations, Title 23, Section 637 (23
CFR 637), “Construction Inspection and Approval”; 23 CFR 637 Subpart B, “Quality Assurance
Procedures for Construction,”; 23 CFR 637.205, “Policy,” and 23 CFR 637.207, “Quality
Assurance Program.”
The role of the CQAP is to provide confidence that the quality of the materials and work quality
incorporated into all highway construction projects conforms to the requirements of the plans
and specifications.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Introduction
California Department of Transportation • Division of Construction
May 2023 Page 3
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.
Caltrans requires consistent quality construction in all its projects. As a result, over the years,
Caltrans has developed procedures and methods to make sure that every construction project
achieves the desired level of quality for both materials and work. The responsibility for
construction quality has been shared by various functional groups, resulting in the distribution
of quality-related policies, procedures, and guidelines throughout Caltrans, with no single,
consolidated document available as a guide for all quality-related requirements.
Scope
This manual documents the CQAP by identifying existing quality related requirements from all
applicable Caltrans policies, procedures, and guidance documents. See Appendix A, “Caltrans
Quality Assurance Documents.” This manual also demonstrates compliance with 23 CFR 637.
The provisions of this manual apply to design-bid-build projects and projects under a
construction manager general contractor (CMGC) or a job order contracting 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, “Design-Build Quality
Manual Template,” provides guidance to design-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 make
sure that the implementing agency’s 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.
This manual does not repeat information contained in other manuals but references where the
inspection, acceptance testing, and independent assurance requirements are found for
materials used in highway construction.
Organization of This Manual
• 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, work quality, 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
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Introduction
California Department of Transportation • Division of Construction
Page 4 May 2023
acceptance criteria based on use of performance-related 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 Quality Assurance Program Bulletins (QAPBs), as shown
in Appendix B, “Caltrans Quality Assurance Program Bulletin” to communicate procedure and
policy changes. From time to time, QAPBs are incorporated into this manual. QAPBs
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 QAPB has not been issued
covering the changed policy, notify the Division of Construction, Publications Unit.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 5
Chapter 1
Construction Quality Assurance Program
Overview
The Construction Quality Assurance Program (CQAP) includes an acceptance program for
materials and work quality, 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), “Construction and Inspection Approval,” the CQAP assures “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 all California
Department of Transportation (Caltrans) projects on the State Highway System. However, the
CQAP is not applicable to projects for which Caltrans has entered into a public-private
partnership or a design-build agreement.
Chapter 1 describes CQAP-related organizational roles and responsibilities, and the policies
and procedures designed to assure that specified construction materials and work quality
incorporated into each project are acceptable and in conformance with the contract
documents. The chapter is organized into 10 sections:
1. Definitions and Abbreviations
2. Specified Level of Quality—Materials and Work Quality
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.” ISO 9001 lists 20 quality management elements
that must be addressed in a quality assurance program. These sections demonstrate the
CQAP’s 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.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 6 May 2023
1.1 Definitions and Abbreviations
The terms related to the Caltrans quality assurance program are defined in this section.
1.1.1 Definitions
acceptance: The process of deciding if the material and work quality meet contract
requirements.
acceptance program: All factors that comprise Caltrans’ determination of the product’s
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 637, Subpart B, “Quality Assurance Procedures.”
acceptance tests: Defined in Section 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.”
acceptance sampling and testing: Sampling, testing, and assessing test results to
determine whether the quality of produced material or construction meets the 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 subcontractor’s 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 or general contractor: A project delivery method in which the
contractor is selected during the design process and makes input to the design regarding
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 or general contractor delivery method assumes the contractor will perform a
significant amount of the construction work.
construction manager-at-risk: A project delivery method similar to the construction manager
or general contractor method, except the construction manager does not perform any of
the construction work.
design-bid-build: A project delivery method for which the design phase and the construction
phase are done by separate entities.
design-build: A project delivery method for which the design phase and construction phase of
the project are both 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.
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
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 7
Directive 090-R1, “Funding of Quality Management Work on State Highway Projects,”
December 21, 2018, included in Appendix C.
independent assurance program: Activities that are an unbiased and independent
evaluation of all 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
verify that the implementing agency’s 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 090-R1, “Funding
of Quality Management Work on State Highway Projects,” December 21, 2018, included in
Appendix C.
job order contracting: Also known as indefinite delivery or indefinite quantity contracting
provides for an indefinite quantity of construction services whose performance and delivery
scheduling are determined by issuing work orders with the contractor during a fixed period
of time. It is an on-call construction contract through a master agreement, not a purchase
order or service contract.
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: Laboratories that are capable as defined by appropriate programs
established by Caltrans. As a minimum, the qualification program must include provisions
for checking test equipment and the laboratory, and must keep records of calibration
checks. Refer to 23 CFR 637. Caltrans uses “accredited laboratories” as an equivalent to
the term “qualified laboratories.”
qualified sampling and testing personnel: Capable personnel, as defined by appropriate
programs established by Caltrans. Refer to 23 CFR 637.
qualified tester: Personnel qualified by successfully completing the process in the
Independent Assurance Manual, Section 2.3, “Tester Qualification,” 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: All 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: Actions and considerations necessary 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: Contractor's plan to confirm quality control. Refer to Caltrans Standard
Specifications glossary.
specifications: Caltrans Standard Specifications, revised Standard Specifications, and
special provisions.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 8 May 2023
verification: The process of determining or testing the truth or accuracy of a test result by
examining the data and providing objective evidence. Caltrans applies this process as part
of the acceptance program by inspection, sampling, and testing to determine the accuracy
of the contractor’s test results.
verification sampling and testing: Sampling and testing performed to validate the quality of
the product. Refer to 23 CFR 637.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 9
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
CAPE
Contract Administration Process Evaluation
CFR
Code of Federal Regulations
CQAP
Construction Quality Assurance Program (Caltrans)
DES-SC
Division of Engineering Services, Structure Construction
DIME
Data Interchange for Materials Engineering
DOT
Department of Transportation
FHWA
Federal Highway Administration
FSR
Feasibility Study Report
HMA
Hot Mix Asphalt
IAM
Independent Assurance Manual (Caltrans)
JMF
Job Mix Formula
METS
Materials Engineering and Testing Services
MPQP
Material Plant Quality Program
OCL
Office of Central Laboratories
OMMIA
Office of Materials Management and Independent Assurance
OQASI
Office of Quality Assurance and Source Inspection
PaveM
Pavement Management System (Caltrans)
PBS
Performance-Based Specifications
PRS
Performance-Related Specifications
QASI Manual
Quality Assurance and Source Inspection Manual
QMS
Quality Management System
SIAD
Statewide Independent Assurance Database
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 10 May 2023
1.2 Specified Level of Quality—Materials and Work Quality
The CQAP includes specifications and plans that describe the quality requirements for all
material and work to be incorporated into a project, and the acceptance criteria by which
Caltrans will verify conformance with the quality requirements. Material and work quality
requirements are established in the design process and reflect the standards necessary to
make sure that the material or item will function as designed. During construction, tests and
inspections evaluate the acceptability of the material and work based on the acceptance
criteria.
1.2.1 Materials
The quality requirements for materials are contained in the: (1) Caltrans Standard
Specifications and project special provisions; (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, Section 19-3.02C, “Structure Backfill,” of the 2022
Standard Specifications, requires that structure backfill complies with the grading requirement
of 100 percent passing the 3-inch sieve.
1.2.2 Work Quality
The requirements for work quality are contained in the Caltrans Standard Specifications,
project special provisions and in the plans or change orders. For example, Section 73-3.03,
“Construction,” of the Standard Specifications, requires that “The finished surface must not
vary more than 0.02 foot from a 10-foot straightedge …”
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 11
1.3 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
Caltrans’ 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, that
prescribe all activities affecting quality. These procedures assure 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.
Preparing, issuing, and updating or revising documents that specify quality requirements or
prescribe activities affecting quality are controlled processes that assure that correct, up-to-
date documents are used. The document control system assures distribution and availability of
the latest authorized documents to all required users before 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 makes changes in policy to the Construction Manual
as need arises. Policy changes are incorporated into the Construction Manual and
announced in manual change transmittals, which the Division of Construction reviews and
controls. Another useful guide is the Quality Assurance and Source Inspection (QASI)
Manual, which is controlled by the Office of Quality Assurance and Source Inspection
(OQASI) (see Appendix A for reference link).
• 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.
Table 1.3.1. lists supporting documentation.
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 12 May 2023
Table 1.3.1. Document Control References
Title
Chapter/Section
Description
Construction Manual
Chapter 1, Section 0
Construction Manual Overview
Construction Manual
Chapter 5, Section 1
Project Records and Reports
Construction Manual
Chapter 5, Section 3
Change Orders
Construction Manual
Chapter 9
Projects Sponsored by Others
QASI Manual
Sections 5, 6, 11, 40, 47, 49, 50,
52, 55, 75, 86, 90, 99
Quality Control Plan Review
QASI Manual
Sections 1, 5, 11, 40, 46, 47, 49,
50, 51, 52, 55, 56, 59, 60, 65, 75,
83, 86
Shop Drawing Review
BCRP Vol. 1
Bridge Construction Memo C-6
Required Documents to be Submitted
During Construction
Note: See Appendix A for the reference manuals
1.3.2 Records Control
The CQAP includes procedures that verify that 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. Refer to Section 5-104C, “Disposition of Construction Project
Records” of the Construction Manual for the details.
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 (DRS) unit at the
Division of Design. The official as-built plans are stored in DRS. Structure-related documents
are submitted to headquarters Structure Construction for distribution to other pertinent units for
record keeping. Refer to BCRP, Vol. 1, Bridge Construction Memo C-6, “Required Documents
to be Submitted During Construction.”
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. Refer to Table 1.3.2 for examples of quality
records indexed and filed in the uniform filing system.
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 13
Table 1.3.2. Records Control File Categories
File
Category
File Description
File
Category
File Description
9
Welding
39
Materials Testing Qualification of
Employees
11
Information Furnished at Start of
Project
40
Field Laboratory Assistant Reports
to Resident Engineer
29
Materials Information and
Preliminary Tests
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
32
Notice of Materials to be Inspected
at the Job Site
45
Resident Engineer’s Daily Reports
34
Treated Base
46
Assistant Resident Engineer’s
Daily Reports
35
Hot Mix Asphalt
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
Most project records are distributed to the project field office for current projects, or the district
archives for completed projects for recordkeeping. An example of a document review would be
to determine if qualified testers 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,” and
the Statewide Independent Assurance Database (SIAD), to determine that testers are
qualified. For more information, refer to the Construction Manual.
Table 1.3.3. lists supporting documentation.
Table 1.3.3. Required Documents to be Submitted During Construction
Title
Chapter/Section
Description
Construction Manual
Chapter 5, Section 1
Project Records and Reports
BCRP Vol. 1
Bridge Construction Memo C-6
Required Documents to be Submitted
During Construction
QASI Manual
Section 1-A.07.2
OQASI Uniform Filing System for
Project Specific Documents
Note: See Appendix A for the reference manuals
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 14 May 2023
1.4 Management and Staff Responsibilities
1.4.1 Quality Objective
Caltrans’ strategic goals include:
• Safety first
• Cultivate excellence
• Strengthen stewardship and drive efficiency
1.4.2 Quality Commitment
Caltrans is committed to providing adequate technical, administrative, and managerial services
to support each construction project so that it 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 all 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 chief of the Division of Construction, located in headquarters, leads the CQAP to
deliver quality transportation products and services.
• Headquarters Construction office chiefs and staff, and Construction field coordinators
assist with contract administration processes and reviews.
1.4.3.b District Construction
• The district and regional Construction division chief or district Construction deputy director
is responsible for implementing the CQAP in each region or district.
• District Construction engineers are responsible for making sure resident engineers are
adequately trained, verifying 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.
• The resident engineer assigned to each project is the onsite Construction representative
and is responsible for contract administration, construction engineering, and the
acceptance of all materials and work quality on each assigned project. The resident
engineer makes sure that contractor and state staff whose test results are used in the
acceptance decision are certified in accordance with the Independent Assurance Program.
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. The
district may request that the assigned structure representative act as the resident engineer
on projects where structure work predominates.
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 15
• Materials Engineering and Testing Services (METS) conducts specialized laboratory and
field testing, provides source inspections, audits suppliers and fabricators, and gives expert
advice on all phases of transportation engineering involving materials and manufactured
products. METS also provides technical expertise for the development of statewide
standards, procedural guidelines, and manuals. Furthermore, the independent assurance
program has been centralized and is administered by METS.
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.
Figure 1.4.1. Support Services Available to Resident Engineer
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 16 May 2023
Caltrans staff 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. Make sure that further processing, delivery, construction, and use are controlled until
proper resolution of a nonconformance, deficiency, or unsatisfactory condition has
occurred.
Responsible Caltrans staff have direct access to the management level at which appropriate
action can be taken, with sufficient independence from cost and schedule considerations
unduly influencing those decisions.
Table 1.4.1. lists supporting documentation.
Table 1.4.1. Organization Reference
Title
Chapter/Section
Description
Construction Manual
Chapter 1, Section 1
Construction Organization
Note: See Appendix A for the reference manuals
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 compiles an annual Contract Administration Process Evaluation
(CAPE) report. Three to six elements of the contract administration process are evaluated for
strengths, weaknesses, recommendations for improvements, and district corrective action
plans. The CAPE is described in the Caltrans Division of Construction Charter: Contract
Administration Process Evaluation (CAPE). Refer to Appendix D.
The Office of Materials Management and Independent Assurance (OMMIA) performs annual
audits of each Office of Quality Assurance and Source Inspection (OQASI) Branch to make
sure that the branches are using consistent practices and procedures.
DES-SC management conducts an annual project record review for each structure
representative. If inadequacies are found, the reviewer conducts another review within 1
month to verify that the noted problems have been corrected.
Table 1.4.2. lists supporting documentation.
Table 1.4.2. Process Evaluation References
Title
Chapter/Section
Description
METS Quality Manual
Chapter 9
Quality Assurance and Source Inspection
(QASI) Branch Audits
BCRP, Vol. 1
Bridge Construction Memo E-2
Structural Construction Project Record
Review
Note: See Appendix A for the reference manuals
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 17
1.5 Resource Management
The CQAP includes guidance for Caltrans to provide necessary resources to implement,
maintain, and continually improve the program’s 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
637.205, “Policy,” requirements that adequate, qualified staff be maintained to administer the
CQAP. Caltrans also maintains the Transportation Laboratory, or Translab, a central
transportation laboratory in Sacramento, 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 make sure the training of personnel performing activities
affecting quality and to confirm that suitable proficiency is achieved and maintained. Managers
of activities affecting quality are responsible for determining the personnel competencies
required and assessing needs; making sure 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.
Lists of available training courses and seminars are periodically provided to senior
management for distribution to managers who review the education and experience of
employees to determine whether additional training is required to perform specific tasks.
Managers are periodically requested to select personnel for scheduled safety training and
other employee development training, such as project management and field inspection.
Classes provided to the resident engineer or the structures representative are listed at the
following link:
https://construction.onramp.dot.ca.gov/division-construction-training-unit
Alternatively, contact the Division of Construction at: Construction.Publications@dot.ca.gov.
Table 1.5.1. lists supporting documentation:
Table 1.5.1. Training Policy Reference
Title
Chapter/Section
Description
Deputy Directive 75R1,
05/27/2015 (see Appendix C)
Training
Establishes policy for training
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 18 May 2023
1.6 Process Control
The CQAP includes process control procedures, based on specifications, drawings, process
parameters and approvals, and other appropriate methods, to control contractor construction
processes that affect material and work quality. Typical elements of construction process
control addressed throughout this manual include, but are not limited to:
• Approved material sources
• Work quality 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 all materials obtained for
incorporation into the work. Such notification is required before the preconstruction
conference. The contractor must submit Form DOT CEM-3101, “Notice of Materials to Be
Used,” to list all materials to be used on the project.
1.6.1.a Material Identification and Traceability
The CQAP includes procedures to assure 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 assure that only correct and acceptable items are incorporated
into the project. The procedures specify 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)(d), “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 TL-0029, “Report of Inspection of Material.”
Table 1.6.1. lists supporting documentation.
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 19
Table 1.6.1. Control of Work and Materials References
Title
Chapter/Section
Description
Standard Specifications, 2022
6, 19, 20, 21, 37, 39, 40, 41, 47, 49,
50, 51, 52, 55, 57, 59, 74, 75, 80, 82,
84, 87
Quality Control, Materials
Construction Manual
Chapter 3, Section 5
Control of Work
Construction Manual
Chapter 3, Section 6
Control of Materials
Construction Manual
Chapter 6, Section 2
Acceptance of Manufactured or Fabricated
Materials and Products
BCRP Vol. 1
Section A, Memo A-1
Communicating Staff Responsibilities
QASI Manual
Section 5
Control of Work
QASI Manual
Section 6
Control of Materials
Note: See Appendix A for the reference manuals
1.6.1.b Handling, Storing, and Transporting
The CQAP includes guidance to assure the contractor’s 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,
manufacturer’s requirements are followed.
Table 1.6.2. lists supporting documentation.
Table 1.6.2. Materials Handling Reference
Title
Chapter/Section
Description
QASI Manual
Section 50-B.03
In-process Inspection, Storage and
Packaging of Prestressing Strands
Note: See Appendix A for the reference manuals
1.6.1.c Control of Special Processes
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.
The CQAP includes procedures to confirm 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, Section 11, “Welding,” of
the Standard Specifications, states the personnel requirements and procedures required by
applicable codes.
Table 1.6.3. lists supporting documentation.
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
Page 20 May 2023
Table 1.6.3. Special Processes References
Title
Chapter/Section
Description
Standard Specifications, 2022
Section 11
Welding
BCRP, Vol 2
Section 55
Steel Structures
BCRP, Vol 2
Section 11
Welding
QASI Manual
Section 1-A.06
Roles and Responsibilities of OQASI Branch
Staff
QASI Manual
Section 50
Prestressing Concrete
Note: See Appendix A for the reference manuals
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Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 21
1.7 Inspection and Testing
The CQAP includes procedures for inspecting activities that affect quality to verify
conformance with the documented instructions, procedures, and drawings for accomplishing
the work. Examinations and measurements are required for each work operation to verify
quality. Procedures also specify 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.
1.7.1 Role of Resident Engineer
Inspection is an activity, 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.
Caltrans resident engineers must review and monitor the technical inspection activities
performed by the contractor and Caltrans personnel to make sure: (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 work are enforced.
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.
Table 1.7.1. Engineer Duties References
Title
Chapter/Section
Description
Construction Manual
Chapter 3, Section 5
Control of Work
Construction Manual
Chapter 4
Construction Details
QASI Manual
Section 1-A.06
Roles and Responsibilities of OQASI
Branch Staff
BCRP, Vol. 1
Section A, Memo A-1
Communicating Staff Responsibilities
Note: See Appendix A for the reference manuals
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 make sure that all work complies with the requirements of the plans and
specifications. The quality control system must assure the adequate control and quality for
materials, equipment, work, 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 affect production when corrective action can be taken to prevent
nonconforming material from being incorporated into the project. Effective quality control tests
allow results to be obtained during the process to allow adjustments to meet acceptance
criteria.
Caltrans may use results from contractor quality control testing for acceptance. For
acceptance of results, the following Caltrans activities must occur:
1. Authorization of the contractor’s quality control plan
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2. Accreditation of the contractor’s laboratory
3. Authorization of qualifications of contractor’s testing personnel
4. Evaluation of quality control sampling and testing
5. Verification that validates the quality of sampling and testing
Details for the production and placement of hot mix asphalt for projects under the statistical
pay factor specification are provided in the Caltrans Division of Construction Quality Control
Manual for Hot Mix Asphalt Using Statistical Pay Factors.
Table 1.7.2. lists supporting documentation.
Table 1.7.2. Quality Control References
Title
Chapter/Section
Description
Standard Specifications, 2022
Various
Quality Control
Construction Manual
Chapter 3, Section 6
Control of Materials
Construction Manual
Chapter 6, Section 107
Materials Acceptance Sampling and
Testing
BCRP, Vol. I
Section A, Memo A-1
Communicating Staff Responsibilities
Note: See Appendix A for the reference manuals
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, construction manager general
contractor (CMGC), or job order contracting in accordance with California Streets and Highway
Code, Section 143. Caltrans is responsible for the acceptance function on all its construction
projects regardless of the contracting method used.
Acceptance includes inspecting the component materials upon delivery, placement or
installation, and inspecting the work 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 work 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 make sure that it is brought up uniformly and in the specified
layer thickness. Records of this inspection would be filed in Category 46, “Assistant Resident
Engineer’s Daily Reports,” of the project files.
1.7.3.a Quality Assurance Methods
Section 2.3, “Quality Assurance Methods,” of this manual details the categories of quality
assurance methods Caltrans uses to assure the quality of material and work. 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 2-2.7, “Quality Assurance Method Application Matrix,” of this manual lists the use of
each quality assurance method.
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 Sampling and Testing,”
requirements by performing acceptance inspection, sampling, testing, and measurement
CONSTRUCTION QUALITY ASSURANCE PROGRAM MANUAL
Chapter 1—Construction Quality Assurance Program
California Department of Transportation • Division of Construction
May 2023 Page 23
activities to make sure the product’s quality. When specified, the contractor’s quality control
sampling and testing may be used in the acceptance decision in accordance with 23 CFR
637.207, “Quality Assurance Program.”
1.7.3.b (1) Manufactured and Fabricated Materials
For all 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 job site on the
basis of a manufacturer-provided certificate of compliance.
• Acceptance based upon these materials or the source of these materials listed on the
Caltrans authorized materials list.
1.7.3.b (2) Job Site-Produced Materials
For all job site-produced materials incorporated into the work, the acceptance program
contains:
• Frequency schedules for acceptance sampling and testing that 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 that reflect the quality of the finished
product.
All 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 job site 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.
Table 1.7.3. Materials Acceptance References
Title
Chapter/Section
Description
Standard Specifications, 2022
Various
Quality Control and Assurance, Materials
Construction Manual
Chapter 4
Construction Details
Construction Manual
Chapter 6
Sampling and Testing
BCRP, Vol. 1
Section A, Memo A-1
Communicating Staff Responsibilities
California Tests
AASHTO Test Methods
ASTM Test Methods
Note: See Appendix A for the reference manuals
1.7.4 Independent Assurance
The Caltrans Independent Assurance Program, documented in the Independent Assurance
Manual, is a system-based process that qualifies laboratories, testers, and equipment used to
provide test results for material acceptance decisions on construction projects. In the system-
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based process, Caltrans independent assurance staff administer written and practical
examinations to ascertain a technician’s qualifications. Additionally, independent assurance
staff annually inspect laboratories for equipment availability, condition and calibration. The
Independent Assurance Program is applied to testing on project-produced materials including
aggregates, hot-mix asphalt, embankment and soils, and cementitious concrete materials in
conformance with 23 CFR 637.
The Caltrans Independent Assurance Program includes:
• Evaluation of laboratories’ testing equipment.
• Evaluation of testing personnel.
• Annual proficiency checks of laboratories and technicians using controlled samples.
• Annual reporting to FHWA.
The Independent Assurance and Associated Programs include the following:
• Joint Training and Certification Program: Caltrans, local agencies, and industry have
established a joint training and certification program to make the certification process more
efficient and to ultimately obtain consistent, reliable, quality testing through joint training.
• Inertial Profiler Certification Program: Caltrans has adopted the inertial profiler for
determination of pavement smoothness for some of the smoothness specifications as
identified in the Standard Specifications.
• Reference Sample Program and Corroboration Sample Program: These programs
evaluate tester and laboratory proficiency by comparing individual tester and lab
performances to reference samples.
Regarding the Independent Assurance Program and Associated Programs, or to request a
copy of the Independent Assurance Manual, Independent Assurance Manual Amendments,
and Annual Reports, go to the Independent Assurance Program website at:
https://dot.ca.gov/programs/engineering-services/independent-assurance-program
Table 1.7.4. lists supporting documentation.
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Table 1.7.4. Independent Assurance References
Title
Chapter/Section
Description
IAM, 7/2005
Section 2.1.
Independent Assurance Program
Overview
IAM, 7/2005
Section 2.2.
Independent Assurance 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
IAM, 7/2005 Amendment
IAP 2005-001
Two-Year Qualification for Testers
IAM, 7/2005 Amendment
IAP 2005-002 Rev.1
Joint Training and Certification Program
Note: See Appendix A for the reference manuals
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1.8 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 all 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 cast-in-place concrete pipe. Nonconforming materials can be accepted when the
material is deemed to be “fit for purpose” on a case-by-case basis. This process is referred to
as “blue tag” release. 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.
Table 1.8.1. Nonconforming Work and Materials References
Title
Chapter/Section
Description
Standard Specifications, 2022
Section 5-1.30
Noncompliant and Unauthorized Work
Construction Manual
Chapter 3, Section 514
Noncompliant and Unauthorized Work
Construction Manual
Chapter 6, Section 2
Acceptance of Manufactured or
Fabricated Materials and Products
QASI Manual
Section 5-A.03
Quality Assurance Non-Conformances
DOT TL-0015
METS Form
Quality Assurance Nonconformance
Report
DOT TL-0016
METS Form
Quality Assurance Nonconformance
Resolution
QASI Manual
Section 6-A.15
Tagging Procedures
QASI Manual
Section 6-A.15.1
Blue Tag Material Release Procedures
Note: See Appendix A for the reference manuals
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 prevent
nonconformity or an undesirable 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
verify that conditions adverse to the quality of materials and work 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.
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• Initiating remedial actions to address problems to a level appropriate with the risks
encountered.
• Making sure that effective corrective actions are taken, 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 contractor’s 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.
Table 1.8.2. Corrective Work References
Title
Chapter/Section
Description
Construction Manual
Chapter 3, Section 611
Suspected Fraudulent Test and
Inspection Reports
Construction Manual
Chapter 4
Construction Details
Construction Manual
Chapter 6, Section 105
Acceptance Records
QASI Manual
Section 5-A.03
Quality Assurance Non-Conformances
QASI Manual
Section 6-A.15
Tagging Procedures
TL-0015
METS Form
Quality Assurance Nonconformance
Report
TL-0016
METS Form
Quality Assurance Nonconformance
Resolution
Note: See Appendix A for the reference manuals
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1.9 Control of Inspection, Measuring, and Testing Equipment
The CQAP includes procedures to assure 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.
Table 1.9.1. Inspection and Testing References
Title
Chapter/Section
Description
IAM, 7/2005
Appendix H
Calibration of Materials Testing Equipment
MPQP, 10/2022
Appendix
Calibration and Production Error Limits
Construction Manual
Chapter 6, Section 304
Field Testing Equipment
Standard Specifications, 2022
13, 15, 20, 37, 40, 41, 46,
50, 55, 59, 61, 84, 90, 92,
93, 94
Various
California Tests
AASHTO Test Methods
ASTM Test Methods
Note: See Appendix A for the reference manuals
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1.10 Project Materials Certification
The CQAP includes procedures to make sure the resident engineer prepares and submits a
project final materials certification. Upon project completion, the resident engineer must
prepare Form DOT 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.
Table 1.10.1. lists supporting documentation.
Table 1.10.1. Materials Certification Reference
Title
Chapter/Section
Description
Construction Manual
Chapter 6, Section 106
Project Materials Certification
Note: See Appendix A for the reference manuals
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Chapter 2
Construction Quality Assurance Roadmap
Overview
This chapter provides guidance to Division of Construction, Materials Engineering and Testing
Services (METS) staff, Geotechnical Services, specification owners, and others involved in
determining quality assurance requirements for materials and work 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 verify 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.
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2.1 Quality Assurance Elements
The essential elements of an acceptable quality assurance program are quality control by the
contractor, verification 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 included in the specifications for all items that use contractor quality
control test results in the acceptance decision.
2.1.1 Contractor Quality Control
Contractor quality control is designed to monitor, assess, and adjust the production or
placement processes of specific materials to assure that the final product will meet the
specified quality level. Quality control testing is different from acceptance testing discussed in
Section 2.1.2 of this manual. Quality control testing measures quality characteristics and
inspects activities 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.
Quality control by the contractor evolved primarily for two reasons. First, if Caltrans controls
the contractor’s process, then Caltrans implicitly accepts responsibility for the product and
must accept it, regardless of the quality. Secondly, because the contractor’s 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 make sure that work complies with the requirements
of the contract documents. The minimum contractor quality control activities are defined in the
construction contract. The contractor’s quality control plan should address the following
elements for each contract item:
• Managing the work to make sure that both onsite and offsite work complies with the
contract requirements, including the work of subcontractors, suppliers, and testing
laboratories.
• Managing submittals, such as 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 verify effective quality control and assurance of
quality for acceptance of materials and workmanship, such as inspections of fabrication,
sampling and testing, production, storage, delivery, construction, and placement.
• Identifying, controlling, and documenting materials and work 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 work quality
must be authorized by Caltrans.
• Training to assure that proficiency is achieved and maintained by personnel performing
activities that affect quality.
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• Assuring that the equipment used in the production and testing of the materials provides
accurate and precise measurements in accordance with the applicable specifications.
• Maintaining records of inspections that include 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 independent of the contractor’s 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 State’s 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 Caltrans acceptance program activities of verification sampling, testing, and inspection
provide a quality assessment independent of the contractor’s 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.
2.1.3 Independent Assurance
According to 23 CFR 637, “Construction Inspection and Approval,” independent assurance
activities provide an unbiased and independent evaluation of all the sampling and testing
procedures used in the acceptance decision. Independent assurance provides a mechanism
for formally evaluating the competency of personnel and testing laboratories to perform
specific sampling and testing of construction materials. This process is designed to verify the
accuracy and repeatability of test results, not the quality of the material, which is obtained
during highway construction.
An overview of the independent assurance process, including detailed procedures and
requirements, is included in the Independent Assurance Manual (IAM). For more information
including how to request a copy of the IAM, visit:
https://dot.ca.gov/programs/engineering-services/independent-assurance-program
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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 discrepancies between the Caltrans verification test results and the
contractor’s quality control test results when the contractor’s results are 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. Additional
details on dispute resolution samples are presented in Chapter 6, “Sampling and Testing,” of
the Construction Manual. Disputes pertaining to Independent Assurance certification, tester
qualification or laboratory accreditation are addressed in Section 2.5, “Dispute Resolution,” of
the Independent Assurance 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 all contractor or consultant laboratories that perform
quality control testing included in the acceptance decision must be authorized by Independent
Assurance personnel. The primary objective in establishing laboratory accreditation,
qualification, and authorization requirements is to make sure the capabilities of the laboratories
that provide test results and information used in the acceptance decision. Caltrans’ central
laboratory is Translab.
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 the test methods applicable to
any test for which the laboratory will perform for acceptance consideration.
Laboratories that conduct quality control testing for process control purposes only are not
subject to these authorization requirements.
2.1.6 Personnel Qualifications
In accordance with 23 CFR 637, materials sampling and testing used in the acceptance
decision must be performed by Caltrans- Independent Assurance qualified sampling and
testing personnel. All Caltrans, contractor, and consultant personnel performing quality control,
acceptance, verification, or independent assurance sampling and testing included in the
acceptance decision must complete the qualification process and obtain official certification for
each test method they intend to perform. Personnel who perform contractor quality control
sampling and testing for process control purposes only are not included in this requirement.
However, test results generated by uncertified personnel may not be used for acceptance or
for the purposes of disputing acceptance test results.
The primary objective in establishing technician qualification programs is to certify that the
technician is capable of correctly performing the appropriate sampling and testing procedures.
The qualification criteria include formal training, hands-on demonstration, written examination,
proficiency testing, and periodic re-qualification.
An overview of the Caltrans tester qualification process, including procedures for written and
practical examinations, proficiency testing, and re-qualification requirements, is presented in
Section 2.3 of the Independent Assurance Manual.
Qualifications for production personnel at production facilities and for construction personnel at
the job site are specified for certain critical fabricated and manufactured products, items
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having a 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 make sure 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.
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2.2 Specifications
Quality assurance involves everything from project planning and design to construction
materials, work quality, 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 requires regardless of the type of specifications it chooses to
employ—method or quality assurance.
Under method specifications, the contractor follows Caltrans-specified methods while using
Caltrans-authorized 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, based on a
selection of weighted pay factors, to provide as high a level of quality as is possible. 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 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 project’s 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 and risk associated with varying contractor performance.
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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
Disadvantages
• 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 increased Caltrans inspection
efforts may increase costs.
• 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.
• 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 cost-effective 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.
2.2.1.a (2) 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.
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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 is required.
• Caltrans has less control over the work.
• Identifying all of 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 may vary from project to project.
Implementing quality assurance specifications has improved quality and long-term durability,
encouraged innovation, accelerated construction, and reduced an owner’s 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.
The appropriate mix of requirements is generally driven by a project’s 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 conditions for which method and quality assurance specifications
can best be applied.
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Table 2.2.3. Appropriate Conditions for Using Method Versus
Quality Assurance Specifications
Method Specifications
Quality Assurance 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.
• Contractors are willing to assume performance risk.
• Caltrans is willing to relinquish control over some
aspects of the work.
Quality assurance specifications are advantageous when the project goals allow the contractor
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, minor resurfacing or restoration of the pavement surface, or use of standard
structural components to match existing facilities are less likely project types to benefit from a
quality assurance specification.
A well-drafted quality assurance specification is not sufficient to assure that Caltrans’ quality
requirements will be met. Caltrans and contractors must also 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 test 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.
These steps are identified on Figure 2.2.1. and discussed in the following subsections.
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Figure 2.2.1. Quality Assurance Specification Development Process
2.2.2.a Step 1—Identify 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 item’s consequence of failure—the greater the
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consequence of failure for the item, the greater the number 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.
Table 2.2.4. Tier Levels for Contract Items
Tier
Level
Failure
Category
Consequence of
Failure
Example Items
Quality Assurance
Requirements
1
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.
2
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.
Quality assurance methods
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 an authorized
materials list.
3
Interrupt
Service
Failure or repair may
cause an interruption in
service, or environmental
impact.
Job site-produced base and
pavement structure,
embankment, and drainage
items; and environmental items,
including stormwater pollution
prevention plan best
management practice devices.
Quality assurance methods
based on 23 CFR 637
requirements for job site-
produced 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.
4
Monetary
Monetary loss only.
Consequence of failure is
considered minimal in
terms of project
performance.
Grass seed, drainage and
irrigation products, fencing.
Quality assurance methods
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
X
15
Existing Facilities
X
16
Temporary Facilities
X
17
General
X
18
Dust Palliatives
X
19
Earthwork
X
20
Landscape
X
21
Erosion Control
X
22
Finishing Roadway
X
24
Stabilized Soils
X
25
Aggregate Subbases
X
26
Aggregate Bases
X
27
Cement Treated Bases
X
28
Concrete Bases
X
29
Treated Permeable Bases
X
X
37
Bituminous Seals
X
39
Asphalt Concrete
X
40
Concrete Pavement
X
41
Existing Concrete Pavement
X
42
Groove and Grind Concrete
X
X
46
Ground Anchors and Soil Nails
X
47
Earth Retaining Systems
X
48
Temporary Structures
X
49
Piling
X
X
50
Prestressing Concrete
X
X
51
Concrete Structures
X
X
X
X
52
Reinforcement
X
X
X
53
Shotcrete
X
X
53-2
Structural Shotcrete
X
54
Waterproofing
X
55
Steel Structures
X
X
X
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Page 42 May 2023
Table 2.2.5. Standard Specifications Sections with Associated Tier Levels (continued)
Section
Description
Tier 1
Tier 2
Tier 3
Tier 4
56
Overhead Sign Structures, Standards, and
Poles
X
57
Wood and Plastic Lumber Structures
X
X
X
58
Sound Walls
X
59
Structural Steel Coatings
X
X
61
General
X
64
Plastic Pipe
X
65
Concrete Pipe
X
66
Corrugated Metal Pipe
X
67
Structural Plate Culverts
X
X
68
Subsurface Drains
X
X
69
Overside Drains
X
70
Miscellaneous Drainage Facilities
X
72
Slope Protection
X
73
Concrete Curbs and Sidewalks
X
74
Pumping Equipment and Controls
X
75
Miscellaneous Metal
X
80
Fences
X
81
Miscellaneous Traffic Control Devices
X
82
Signs and Markers
X
83
Railings and Barriers
X
84
Markings
X
87
Electrical Systems
X
X
X
The elements in the table are not fixed but can change based on feedback and risk factors.
For assistance in determining the appropriate tier level for any item contact your METS
Representative listed at:
https://mets.dot.ca.gov/metsrepresentatives.php
2.2.2.b Step 2—Identify Production Mode
The production mode is classified as job site, fabricated, or manufactured.
• Job site—Products 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 affect quality. Examples include pavement placement, cast-
in-drilled-hole piles, batched concrete, imported borrow, and embankment fill.
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• Fabricated—Custom-made under controlled conditions to Caltrans specification at a
fabrication facility off the job site. Fabricated items include those produced to meet specific
requirements of Caltrans plans and specifications and all material, such as paint, produced
to meet a state specification. Other examples include structural steel, and precast,
prestressed concrete members.
• Manufactured—Items mass-produced under controlled conditions to standard industry
specifications at a production facility off the job site. These products are not unique to
Caltrans. Manufactured items include those that are:
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.
o Listed in an industry-wide catalog and available for timely delivery.
o Shelf items available for purchase at supply houses.
Examples include polyvinyl chloride (PVC) pipe, cement, fly ash, electrical wire, and
corrugated metal pipe.
2.2.2.c Step 3—Define the Quality Characteristics for Quality Control and Acceptance
The two critical aspects of developing quality assurance specifications are: (1) identifying the
properties essential for 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 all factors associated with the quality characteristics within the contractor’s 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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If payment adjustments are made based on the test results for these quality characteristics,
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 proved 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 work quality.
• 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 job site-produced items.
Table 2.2.6. Typical Quality Characteristics for Quality Control and Acceptance
Quality Characteristics Typically Quality Characteristics Typically
Material Type
Measured for Quality Control Measured for Acceptance
Soils and embankment Moisture content and compaction Moisture content and compaction
Aggregate base and subbase Gradation, compaction, and Gradation and compaction
moisture content
Hot mix asphalt Asphalt content, gradation, Asphalt content, gradation,
compaction, air void, and compaction, air void, and
smoothness smoothness
Concrete pavement Air content, gradation, slump, and Air content, thickness, modulus of
smoothness rupture, and smoothness
Concrete structures Gradation, slump, air content, and Gradation, slump, air content, and
compressive strength compressive strength
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 4—Specify the Quality Control and Acceptance Test 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 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 a 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, and California
Tests. Refer to Appendix A for the links to these test methods and tests.
2.2.2.e Step 5—Specify 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 for sampling and testing 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 before, during, or upon completion of the production process, or a
combination, depending on the quality characteristic being measured.
California Test 125, “Methods of Test for Sampling Highway Materials and Products Used in
the Roadway Pavement Structure 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.
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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 Testing Frequency
Acceptance 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 performed—the 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 6—Define 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 upper and lower specification value 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
verify good performance over the product’s design 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
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California Department of Transportation • Division of Construction
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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
contractor’s 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 if poor quality is received. Effective payment schedules
encourage contractors to apply appropriate quality control measures to make sure 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 7—Identify the Quality Assurance Methods to be Specified
Section 3 of this chapter details categories of quality assurance methods Caltrans uses to
verify the quality of material and work. 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. In addition, METS uses a risk assessment process to
determine the level of inspection for each material. This method assigns a risk factor to each
material by considering the effect of failure of a material (similar to tiers described in Section
2.2.2.a), as well as the probability of a material failing to meet the 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 quality assurance inspection and
testing. Additional information about the risk assessment process can be found in Section 6-
A.14, “Risk Assessment,” of the QASI Manual.
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Table 2.2.7. Quality Assurance Method Application Matrix
Specification
Section
Heading
Quality Assurance Methods
Job site
Manufactured
Fabricated
Tier 1
Tier 2
Tier 3
Tier 4
Method Spec
Quality
Assurance Spec
Structures
Roadway
Materials
Authorized Materials List
X
X
X
X
X
X
X
X
X
X
Authorized to Deliver List
X
X
X
X
X
X
Proprietary Product or Process
X
X
X
X
X
X
Manufactured to National Quality
Standard
X
X
X
X
X
X
X
X
Commercial Quality
X
X
X
X
Caltrans-Furnished Materials
X
X
X
X
X
X
X
X
X
Qualifications
Prefabrication Audit
X
X
X
X
X
Authorized Facility Audit Listing
X
X
X
X
X
X
Authorized Laboratory
X
X
X
X
X
X
X
X
X
X
Authorized Laboratory List
X
X
X
X
X
X
Contractor
X
X
X
X
X
X
X
X
X
X
X
Installer, Applicator, Erector
Personnel
X
X
X
X
X
X
X
X
Fabricator
X
X
X
X
X
Fabricator Personnel
X
X
X
X
X
Plant (MPQP)
X
X
X
X
X
X
X
X
Sampling or Testing Personnel
X
X
X
X
X
X
X
X
X
Submittals
Construction Method—Design
X
X
X
X
X
X
X
X
X
Construction Procedures—Engineer
X
X
X
X
X
X
X
X
X
Fabrication Method—Design
X
X
X
X
X
X
Fabrication Procedures—Engineer
X
X
X
X
X
X
Mix Design or Job Mix Formula—
Engineer
X
X
X
X
X
X
X
X
X
Product Data
X
X
X
X
X
X
X
X
X
X
X
Quality Control Plan—Engineer
X
X
X
X
X
X
X
X
Meetings
Pre-Production Meeting
X
X
X
X
X
X
X
X
X
X
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California Department of Transportation • Division of Construction
May 2023 Page 49
Warranty (Materials and Work)
X
X
X
X
X
X
X
X
X
Warranty
Warranty (Performance) Warranty
(Materials and Work)
X
X
X
X
X
X
X
X
X
Warranty (Performance)
X
X
X
X
X
Mock-ups
Pre-Production Trial (Mock-up)
X
X
X
X
X
X
X
X
X
X
X
Quality
Control
Inspection, Sampling and Testing
(Job Site)
X
X
X
X
X
X
X
X
X
X
X
Inspection, Sampling and Testing
(Source) Inspection, Sampling and
Testing (Job Site)
X
X
X
X
X
X
X
X
X
X
X
Pre-Production Sampling and
Testing (Initial, Stock) Inspection,
Sampling and Testing (Source)
X
X
X
X
X
X
X
X
X
X
Sampling and Testing for
Acceptance Pre-Production
Sampling and Testing (Initial, Stock)
X
X
X
X
X
X
X
X
Sampling and Testing for
Acceptance
X
X
X
X
X
X
Certificate of Compliance with Test
Results
X
X
X
X
X
X
X
X
X
X
Inspection (Engineering) Certificate
of Compliance with Test Results
X
X
X
X
X
X
X
X
X
X
X
Caltrans
Acceptance
Inspection, Sampling and Testing
(Job Site) Inspection (Engineering)
X
X
X
X
X
X
X
X
X
X
X
Inspection, Sampling and Testing
(Source) Inspection, Sampling and
Testing (Job Site)
X
X
X
X
X
X
X
X
X
X
X
Inspection, Sampling and Testing
(Verification) Inspection, Sampling
and Testing (Source)
X
X
X
X
X
X
X
X
X
Payment Based on Quality Factor
Inspection, Sampling and Testing
(Verification)
X
X
X
X
X
X
X
Test Samples Payment Based on
Quality Factor
X
X
X
X
X
X
X
X
X
X
X
Test Samples
X
X
X
X
X
X
X
X
X
X
X
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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. The latest versions of the
specification templates are available at:
https://design.onramp.dot.ca.gov/node/1466
The Specification Style Guide, 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/02095/02
095.pdf
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2.3 Quality Assurance Methods
Caltrans uses a spectrum of quality assurance methods to make sure the quality of material
and work 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, such as
soils and embankment items. At the other end are quality assurance methods that use
contractor test results as part of the acceptance decision, such as 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 a 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 Material Prequalification
2.3.1.a 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 make sure that quality for these types of products involves the
manufacturer submitting prequalification samples to Caltrans or an accredited laboratory
testing to confirm that specification requirements are met before 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 make
sure that 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:
https://dot.ca.gov/programs/engineering-services/authorized-materials-lists
For further information on the authorization to deliver program, refer to the QASI manual.
2.3.1.b Aggregate Prequalification Program
The Aggregate Prequalification Program has been developed to provide aggregate suppliers
with the ability to prequalify aggregate for use in portland cement concrete statewide before
the award of a construction contract. The program is intended to reduce costs, delays, and
additional liquidated damage payments to Caltrans associated with prequalification testing
during the construction phase and allows Caltrans to achieve the goal of developing additional
project delivery efficiencies. A list of approved aggregate suppliers and sizes can be found at
the following website:
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Page 52 May 2023
https://dot.ca.gov/programs/engineering-services/aggregate-prequalification-program
2.3.1.c Job Mix Formula Prequalification Program
The Job Mix Formula Prequalification Program has been developed to provide paving
contractors with prequalified job mix formulas (JMFs) that have been verified by Caltrans using
the Standard Specifications before the award of construction contracts. The Job Mix Formula
Prequalification Program provides prequalified JMFs for the following mix types:
• Type A hot mix asphalt
• Rubberized hot mix asphalt gap-graded
• Bonded wearing course gap-graded
• Open-graded friction course
A list of preapproved JMFs can be found at the following website:
https://dot.ca.gov/programs/engineering-services/job-mix-formula-prequalification-program
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 6-1.05, “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.
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 proved 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 all manufactured items whenever possible
because the capability of incorporating time-tested and proven product specifications by
reference provides a cost-effective 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
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supply houses and are typically 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 Caltrans-Furnished Materials
On all highway construction projects, the contractor must furnish all 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 Caltrans-furnished materials or materials from sources designated by Caltrans. Refer to
23 CFR 635.407 for specific guidelines pertaining to the use of Caltrans-owned, -furnished, or
-designated materials.
Caltrans-furnished material is primarily material deemed to be “safety critical” and which
directly controls traffic, such as traffic controller assemblies. This material undergoes quality
assurance inspection by the Materials Engineering and Testing Services (METS) Electrical
Quality Assurance and Source Inspection branch before being stored in the state’s Division of
Procurement and Contracts warehouse for future use on Caltrans projects. Therefore, the
contractor is not responsible for pre-installation quality assurance of this material.
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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 for which 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 contractor’s 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 in Section 11-A.05, “Prefabrication Meeting,” of the QASI Manual.
2.3.2.a (2) Authorized Facility Audit Listing
Caltrans audits the facilities listed on the authorized facility audit list (AFAL) using a system-
based approach to evaluate the fabricator’s 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:
https://mets.dot.ca.gov/afl/AuditedFacilitiesList.php
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:
https://dot.ca.gov/programs/engineering-services/authorized-laboratory-list
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.
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• 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
Test Categories
California Test
Non-California Test
Pre-Production
Process Control
JMF/Mix Design
JMF Verify
Quality Control
Quality Control
(for Acceptance)
Verification
Acceptance
Dispute Resolution
X=Must be Caltrans-Authorized to Perform Test
Laboratory Categories
Contractor
X
X
X
X
X
X
Contractor Fabricator/Manufacturer
X
X
X
X
X
X
Contractor Independent Third Party
X
X
X
X
Contractor Plant
X
X
X
X
X
X
Contractor Supplier
X
X
X
X
Caltrans Central Laboratory (Translab)
X
X
X
X
X
X
Caltrans-Designated Agent
X
X
X
X
X
X
Caltrans District or Region
X
X
X
X
X
X
Caltrans Field Laboratory
X
X
X
X
X
X
Independent Third Party (Dispute Resolution)
X
X
X
X
Local Agency
X
X
X
X
X
X
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:
o Supervisors of testing personnel have a minimum of 3 years of experience in testing
highway construction materials.
o Laboratory assessments routinely made on a 3- to 5-year cycle.
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o 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.
o Actual test results that show previous experience in performing the test method.
o A formal reporting procedure for test results including published test report forms.
o 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.
o The documentation listed 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 all job site-produced items.
Example items include aggregate bases and subbases, asphalt and concrete pavement, and
structural concrete.
2.3.2.a (5) Authorized Plant or Facility
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. All hot mix asphalt plants must be authorized before production. Specific details about
the Caltrans Material Plant Quality Program requirements are available at:
https://dot.ca.gov/programs/construction/material-plant-quality-program
2.3.2.b Qualification Requirements for Contractors
Contractors are required to be certified to a recognized standard to assure that work
performed is executed by qualified contractors. An example is the Society for Protective
Coatings certifications—Society for Protective Coatings Qualification Procedures 1, 2, and 3—
required for structural steel painting contractors.
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
all 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.
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Table 2.3.2. Sampling and Testing Personnel Authorization Matrix
Test Categories
California Test
Non-California Test
Pre-Production
Process Control
JMF or Mix Design
JMF Verify
Quality Control
Quality Control
Verification
Acceptance
Dispute Resolution
X=Must be Caltrans-Authorized to Perform Sampling and Testing
Personnel Categories
Contractor Fabricator X X X X X X
Contractor Job Site X X X X X X
Contractor Laboratory X X X X X X
Contractor Plant X X X X X X
Contractor Supplier X X X X X
Caltrans Central Laboratory (Translab) X X X X X X
Caltrans-Designated Agent X X X X X X
Caltrans District/Region Laboratory X X X X X X
Caltrans Field Laboratory X X X X X X
Caltrans Job Site X X X X
Independent Third Party (Dispute Resolution) X X X
Independent Third Party (Modified Emulsion) X X X X
Local Agency X X X X X
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
all job site-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.
2.3.2.c (2) Installer, Applicator, or Erector Personnel
Production personnel must be certified to a recognized standard to assure 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 American Society for
Nondestructive Testing certification for non-destructive testing personnel.
Qualifications for production personnel at the fabrication facility and for construction personnel
at the job site are typically specified for:
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• Tier 1 and Tier 2 fabricated item.
• Tier 1 and Tier 2 complex or critical manufactured item.
• Items having a history of quality 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, as described in Section 5-1.23B, “Action Submittals,” of the Standard
Specifications. 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 or Plans
Before 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 before 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 job site-produced 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 or Mix Designs
Required submittals from the contractor detailing planned mix proportioning are reviewed by
the resident engineer or representative before the start of construction or fabrication.
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 all Tier 3 job
site-produced items. Examples include hot mix asphalt pavement job mix formulas, and mix
designs for structural and pavement concrete.
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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 before 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 all
Tier 3 job site-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 manufacturer’s recommended
installation or application instructions for the product. Examples of required product data
submittals include the manufacturer’s 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 before 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 before 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 job site-produced items. Example items include aggregate bases and subbases,
asphalt and concrete pavement, and structural concrete.
Quality control testing at the job site is typically specified for Tier 1, Tier 2, or Tier 3 job site-
produced items whose quality is subject to change after production because of transporting or
handling. Job site quality control testing may also be specified for manufactured or fabricated
items whose quality is subject to change after production because of installation, placement,
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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 contractor’s 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 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 were performed by qualified laboratories and qualified sampling
and testing personnel.
• The quality of the material was validated by the verification sampling and testing process.
The verification testing must have been performed on samples 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 contractor’s 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 contractor’s 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:
• Material quality
• Testing procedures
• Sampling procedures
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Variability between the contractor’s 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 contractor’s 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 making sure that all sources of differences
between test results are measured.
The type and extent of verifications 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 because of 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 all job site-produced items for which the
contractor’s quality control testing results are used in the Caltrans acceptance decision.
Examples include hot mix asphalt using the quality control or quality assurance process, and
concrete pavement. In terms of the acceptance program, verification sampling and testing
performed by Caltrans is 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 Job Site
The periodic inspection and testing are performed by Caltrans on random samples of
manufactured products at the job site 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
manufacturer’s 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 of manufactured or fabricated products are typically performed at the
point of production. However, sampling can be performed at the job site under certain
circumstances. Samples used in the acceptance decision of job site-produced materials
should be taken as close as possible to where the material is incorporated into the project.
Sampling and testing responsibilities and requirements for the acceptance of job site-produced
and miscellaneous materials are included in Section 6-1, “Sample Types and Frequencies,” of
the Construction Manual.
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Sampling and testing responsibilities and requirements for the acceptance of manufactured or
fabricated materials are included in Section 6-2, “Acceptance of Manufactured or Fabricated
Materials and Products,” of the Construction Manual.
Acceptance 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 job site-produced items. Acceptance testing at the point of production
does not preclude acceptance by the resident engineer at the job site. Example items include
overhead sign structures.
Acceptance testing at the job site is typically specified for Tier 1, Tier 2, or Tier 3 job site-
produced items whose quality is subject to change after production because of transporting or
handling. Example items include hot mix asphalt and structural concrete.
Job site acceptance 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 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 that 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
that 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 12 months.
All materials and products accepted by certificates of compliance require periodic
programmatic quality assurance testing of random samples with results that support the
reliability of the certificate provider.
A certificate of compliance is not required for off-the-shelf commercial quality items, Caltrans-
furnished materials, items subject to contract warranty provisions, and items for which material
tests are not specified or feasible.
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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 all the factors entering into the construction of
transportation projects to assure the proper combination of materials and details of
construction. The construction of any transportation project consists of several operations that
must be integrated to produce a quality-finished product. Each operation influences the quality
of the final product.
2.3.6.a Material Inspection
2.3.6.a (1) Quality Control Inspection
Quality control inspection must be performed by the contractor, its representatives, or
subcontractors during the production process to assure 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 job site-produced items.
Quality control inspection at the job site is required for all remaining project items. Examples
include the required documentation of concrete placement during the contractor’s 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 work inspection as well as quality procedures inspection as
part of an independent assurance program to verify that the contractor quality control process
complies with specified requirements, or as part of an acceptance program to verify that the
contractor-provided product meets the specified work-related requirements. Verification
inspection and acceptance inspection have the same underlying function—to validate the
quality of the product.
2.3.6.a (3) Acceptance Inspection
Caltrans performs acceptance inspection to verify 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 job site.
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 job site-produced items. Material acceptance
inspection at the point of production does not preclude acceptance by the resident engineer at
the job site.
All remaining project materials require acceptance inspection at the job site by Caltrans
personnel. Example items requiring job site acceptance inspection include aggregate bases
and subbases, asphalt and concrete pavement, and structural concrete.
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2.3.6.a (4) Pre-Production Meetings
To assure the contractor’s 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 requirements in
advance of the start of work. Example pre-production meetings include pre-painting, pre-
welding, pre-precast, and pre-grouting.
2.3.6.a (5) Pre-Production Trial Mockup
To verify that the contractor’s 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, before 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 contractor’s construction processes to verify
that the construction quality is 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 work quality.
Caltrans manuals, including the Construction Manual, Bridge Construction Records and
Procedures manual, Foundation Manual, and Concrete Technology Manual, provide
guidelines for inspecting, measuring, and paying for contract item work. These guidelines
describe the construction details and associated inspection requirements necessary to confirm
that product work is acceptable. Also see Appendix A, “Caltrans Quality Assurance
Documents.”
The level of engineering inspection depends on the type of work being performed and is
categorized into three basic levels:
• Continuous Inspection—Inspect 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 Inspection—Inspect 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 Inspection—Inspect 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 assure that the
proper inspection and testing have been performed before starting, or before proceeding to the
next phase or stage of that construction activity. No work can proceed beyond each critical
activity point until approved by Caltrans.
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California Department of Transportation • Division of Construction
May 2023 Page 65
2.3.7 Warranty Provisions
Warranty is a guarantee of the integrity of a product and the maker’s 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 Work Quality Warranty
A material and work quality warranty holds the contractor responsible for correcting defects in
work elements within the contractor’s 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 work 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, 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
predefined standards or will be repaired or replaced if, during the period of the warranty, the
material’s 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 5-1.47, “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 contractor’s control, including normal wear and tear and improper operation.
Refer to Section 3-526, “Guarantee,” of the Construction Manual for the resident engineer’s
duties related to guarantees.
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Chapter 3—Construction Quality Assurance Long-Range Plan
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Page 66 May 2023
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 broken down as follows: long-
term objectives by functional units, establishment of a construction quality assurance
database; adoption of a system-based acceptance process; implementation of performance
specifications; and adoption of risk-based acceptance criteria.
3.1 Long-Range Objective—Construction Quality Assurance Database
3.1.1 Data Interchange for Materials Engineering, METS
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 or disincentive plans.
While most highway departments have established and maintained construction-related
databases for many years, only within the past decade have they realized the need for more
integrated systems to accommodate the requirements of new quality assurance programs.
Caltrans has several 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.
METS’ mission is to provide quality material engineering solutions that are safe, sustainable,
and efficient for California's transportation infrastructure. To achieve this mission, METS
established a long-range plan that focuses on a set of strategic priorities. METS works to
integrate and align project delivery and incorporate materials engineering products and
services across Caltrans. METS strives to make sure that its operations and decision-making
processes are effective, coordinated, and efficient across its offices.
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Chapter 3—Construction Quality Assurance Long-Range Plan
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3.1.1.a Construction Quality Assurance Database Requirements
Data Interchange for Materials Engineering (DIME) is a web application developed by the
METS to allow material testing laboratories the ability to easily submit sample information and
test data to Caltrans' database through the website:
https://dime.dot.ca.gov/
DIME’s materials testing results are accessible for projects statewide, which negates the need
to spend time and money retesting materials that may have been used for other projects.
Results in DIME may be used for material acceptance decisions. METS has developed a
statewide implementation plan to require Caltrans staff to adopt DIME into their workflow as of
January 1, 2023. This effort requires training and participation of both districts and contractors.
3.1.1.b Team Culture and Innovation
To make sure that there is continuous and uninterrupted operation, METS seeks to sustain its
materials engineering expertise and knowledge through teams rather than individuals. METS
uses the Repository of Common Knowledge (ROCK) database to store and document its
ongoing findings and efforts, and to make this knowledge accessible to its members.
Examples of documents stored in ROCK include, but are not limited to METS Representative
Reports, Reference Sample Program Reports, interlaboratoy studies reports, Corroboration
Sample Program Reports, and Materials Innovation Reports. In addition, METS thrives to
create a culture that sustains an energized and engaged workforce. METS works to foster
innovation in materials engineering and science, by using state of the art and practice
knowledge in Caltrans projects.
3.1.1.c Environmental Product Declaration
Another initiative in METS’ long-term plans is to advance the Environmental Product
Declaration program, which plays an important role in achieving California’s goals in battling
climate change. This requires collaboration with external agencies, and extensive data
collection from manufacturers in variety of industries.
3.1.2 Construction Quality Assurance Database, Division of Construction
The Division of Construction Office of Performance and Innovation (OPI) maintains databases
that contain information relating to contract payments, for example the Contract Administration
System (CAS) and the Internet Extra Work Bill (iEWB) system. OPI also maintains a document
management system called FalconDMS, contract administration milestone dates in CAS and
the Construction Contract Information System, and potential claims in the Electronic Potential
Claim Records System. OPI is currently developing additional databases that will track safety
and contract time data. Information from these databases is shared throughout Caltrans to
support statewide and district needs including contract management support, research,
internal reporting, external stakeholder reports, and other data collection efforts. The data from
these databases is also used in applications created and maintained by other Caltrans offices.
The information is also used for data visualizations, primarily dashboards, that display various
performance measures as well as manage the quality of contract management tasks.
The goal is to transition to a more modern and comprehensive Construction Management
System solution in the future that incorporates the aforementioned information along with
additional items including, but not limited to, Building Information Modeling for Infrastructure,
automated workflows, and enhanced contract management tools. The databases setup to
support any future systems will incorporate existing data needs and expand to include new
reporting analytics through dashboards and reports.
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3.1.2.a Contract Payments
OPI manages databases that contain data related to contract payments made using CAS,
sometimes referred to as “the progress pay system.” The payment system also uses the iEWB
system, which involves payments made to contractors on highway construction projects for
work performed for contract change orders as well as emergency contracts. The primary
purpose of CAS is to help administer Caltrans construction projects. Functional units within the
Division of Construction update and maintain records on individual contracts in CAS from the
award and approval of the contract through to the completion and final payment. Multiple
reports can be generated directly in CAS and iEWB, but many of the data points are also
maintained in a database that can be accessed via direct connections to the database or using
the Discoverer Business Intelligence tool.
3.1.2.b Construction Document Management System
FalconDMS is the Electronic Document Management System currently utilized by Construction
to manage and store all project records. The system was implemented and required for use on
all construction contracts awarded on or after July 1, 2021. The electronic storage of project
records in FalconDMS follows the uniform filing system identified in Section 5-102,
“Organization of Project Documents,” of the Construction Manual to maintain consistency and
assure auditability.
FalconDMS is a Windows-based document management application that stores and tracks
any type of document. Falcon is accessible through a web-based application and a client-
based application. The applications provide a standardized, user-friendly searchable interface
in which documents can be filed, retrieved, shared, tracked, revised, and distributed. Users
add metadata tags to each file upon upload which allows Falcon users to search the
databases for specific documents based on criteria such as expenditure authorization number,
postmile, document type, and keywords.
The management of files within FalconDMS will allow for a seamless transition of designated
files as described and listed in Section 5-104, “Final Construction Project Records,” of the
Construction Manual to the project history file in DRS at such time as outlined in the policy and
retention schedule.
FalconDMS is currently being used in conjunction with other construction applications and
tracking tools such as Tableau. OPI has integrated a feature that allows for the automatic filing
of documents directly into FalconDMS from some of the applications once a document is
ready to be filed, which reduces the need for users to upload some forms manually.
Dashboards to track and monitor the status of key documents have been created for staff and
manager use. The dashboards can serve as a reminder to upload key information in the
contract folders so that it isn’t missed during the project.
3.1.2.c Data Visualization and Reporting Systems
The current data visualization tool OPI uses is Tableau to display, analyze and report on
construction contract information. Dashboards are built and updated to help office and field
staff track and manage multiple aspects of the construction phase including contract costs,
milestone dates, document management and risk management. OPI has also incorporated a
Data Quality Management Plan to manage the quality of the data in the databases and fully
participates in statewide data governance efforts to continue to improve the quality and
availability of Construction data. As a result of these efforts, OPI has created dashboards to
track and monitor data quality throughout the databases.
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The CAS and iEWB systems have pre-built reports that can be generated as needed and are
used extensively by district staff. CAS and iEWB database information can also be accessed
via direct database connections or using the Discoverer Business Intelligence tool.
3.1.3 Construction Quality Assurance Database—Pavement Program
Caltrans began collecting automated pavement condition data annually for every available
mainline mile on the State Highway Systsem using an automated pavement condition
assessment in 2011. When National Highway System automated condition reporting was
expanded to include many local roadways, Caltrans extended the Automated Pavement
Condition Survey (APCS) evaluation to include the outer lane in the primary direction of all
locally owned National Highway System pavement. Data collected through APCS includes
pavement type, profiles, distresses, and images.
Data collected through APCS considers several variables that affect pavement condition
evaluation. Data from APCS are used in Caltrans’ Pavement Management System (PaveM).
PaveM is a software tool at Caltrans used to model pavement deterioration and prioritize
pavement treatment priorities statewide. With the implementation of the PaveM system in
2015, Caltrans can analyze and predict SHS needs statewide based on distress conditions
and evaluate funding scenarios. PaveM supports decision-making based on project
optimization that analyzes benefit and cost considerations considering pavement condition,
pavement type, climate, traffic, and project history to identify potential treatments that achieve
the desired State Highway System Management Plan performance targets.
PaveM uses input from various data sources including APCS, pavement projects’ as-built
records, Transportation Systems Network, and funding programs such as the State Highway
Operation and Protection Program and Highway Maintenance Funding. PaveM’s optimization
tool, known as Pavement Analyst, uses current condition, segmentations, and decision trees
to maximize or minimize objectives (depending on the type of objective) while meeting funding
constraint(s).
The approach to predicting pavement condition includes treatments types, effects on
condition, and costs. The statewide approach to the management of pavements begins with
preservation after initial construction of new pavement, followed by timely repeated
maintenance and minor rehabilitation treatments until the pavement requires major
rehabilitation or reconstruction. Unit costs for the treatments are based on historical project
data and are updated as needed. Unit costs include materials, labor, traffic handling, and other
required costs to construct pavement including mobilization, contingency, state furnished
materials and supplemental work.
The results from PaveM provide District Maintenance engineers the recommended pavement
needs for potential project development. Engineering analysis, judgment, and cost analysis
are used to validate the needs and the preferred alternative that is advertised for construction.
Project work plans are based on PaveM recommendations and district priorities for preserving,
rehabilitating and reconstructing pavements to achieve legislatively mandated performance
targets. Maintenance work is critical to overall system health and helps sustain the state of
good repair.
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3.1.4 Construction Quality Assurance Database—Structural Construction
3.1.4.a Project Data Management System (ProDMS)
ProDMS is a web-based enterprise solution for managing construction project data. It supports
eConstruction in Caltrans by integrating data management needs across all of Caltrans Project
Delivery in a unified, easy-to-use, and mobile-friendly environment that conforms with existing
Caltrans business practices. It is built on a hub-and-spoke model, where the application’s core
hub provides simple extensibility and seamless integration between all its connected modules
(the spokes). ProDMS also provides role-based authorization that is customizable at the
project level to provide different levels of access and operational privileges for each user.
The daily reports module, which is used for creating and reviewing Form DOT CEM-4601,
“Assistant Resident Engineer’s Daily Report,” is the first module developed for ProDMS and is
one of the primary modules currently in use. Access to create a daily report for a project, as
well as the ability to review and approve a daily report, are based on the role-based
authorization rules. Below are several examples of how this module interacts with other
modules and data sources:
• The project administration module allows users to manage data that is used by the daily
reports module, such as bid items, locations, labor and equipment.
• As field engineers input data into the daily reports module, they can link source inspection
and testing records directly from METS databases on materials delivered to the job site
and provide additional data on when and where the materials were incorporated into the
job. This detailed as-built data is then made available to materials engineers for any
necessary post-construction follow up.
• Labor hours entered into the daily reports module is also made available to labor
compliance officers in a format that facilitates verification against certified payrolls.
Using the reports module, users can pull a quantity summary sheet listing all quantities
reported during a pay period and get a full force account summary for bid items, change
orders, laborers or contractors.
3.1.4.b Future Development on ProDMS
• A native mobile app for tablets or smart phones that will allow complete offline use, for
when cellular data is not available.
• Progress pay module that will generate qantity calculation sheets with detailed breakdown.
• Contractors portal that will allow contractors to submit documents and data for review.
• Enhanced reporting on project assignment status, and photos.
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3.2 Long-Range Objective—System-Based Acceptance Process
Caltrans uses 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 project-based 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
by 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.
Materials from such sources might still be subject to source inspection before the release
depending on the outcome of the risk assessment performed by the METS representative.
Pre-approved sources would be shown on a Caltrans approved list of sources for a specific
time until a renewed approval was established by the Division of Engineering Services,
Materials Engineering and Testing Services, Office of Quality Assurance and Source
Inspection (OQASI). The current list would be available online at:
https://dot.ca.gov/programs/engineering-services/authorized-materials-lists
3.2.2 Unapproved Source
If a source listed on the contractor’s Form DOT CEM-3101, “Notice of Materials to Be Used,”
is not on the Authorized Materials List, OQASI 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 Approval—Sampling of a specific lot would be arranged and, in most instances, would
be submitted with Form TL-101, “Sample Identification Card,” and a DIME identification
number. Necessary information is entered into DIME, which can be traced using DIME
identification for project-level documentation and to support the project materials
certification when the pay item is completed.
• Source Approval—Source 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 are
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essential because they initiate tracking of the material approval process through project
implementation and project materials certification.
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 enter test
results and observations into DIME using the DIME Identification assigned to the sample at the
time of sampling. DIME data would be available to all Caltrans districts and 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.
Aside from Caltrans test results, DIME stores additional information, such as precast quality
control test results, temperature monitoring information, and Environmental Product
Declarations. 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, OQASI would notify the manufacturer or producer. The material corresponding to
the tested sample is required to be released before shipping to the job site. Upon release, the
manufacturer or producer is required to provide a Certificate of Compliance (COC) as
minimum evidence of inspection to demonstrate delivered materials are from an approved lot
or approved source. The resident engineer uses the COC to verify the delivered material.
3.2.5 Field Release of Manufactured Items
For materials identified by OQASI with Form TL-0028, “Notice of Materials To Be Inspected At
Job Site,” the manufacturer is required to issue a COC, certifying compliance of the material
with contract requirements. The resident engineer is responsible for field inspection and
release of these materials based on the information provided in the COC.
3.2.6 Project-Level Documentation
With few exceptions, all off-site materials used in Caltrans construction would be tested and
approved to meet the contract specifications before they were delivered to the project. The
resident engineer would verify that 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. Materials 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 is lacking (such
as the material arrives at the job site without a proper orange tag), or minimum documentation
is not received (such as the release documents are missing or incomplete), or if there is any
doubt about a material’s acceptability (for example, there’s damage to the material during
shipping), a METS representative for the project is immediately contacted before the material
is accepted.
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
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office engineer would again be required to verify the shipping document referenced the
appropriate laboratory numbers.
3.2.7 Final Materials Certification
Section 6-106, “Project Materials Certification,” of the Construction Manual describes the
process to certify that the results of tests performed on acceptance samples show that the
materials used in the work controlled by sampling and testing conform to the approved plans
and specifications. Section 6-107, “Materials Acceptance Sampling and Testing,” of the
Construction Manual details the minimum sampling and testing requirements for materials
acceptance. Once construction work is complete and materials acceptance has been verified,
Form CEM-6302, “Final Materials Certification,” is completed and placed in the project files.
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3.3 Long-Range Objective—Performance Specifications
The term performance specification can be used as an umbrella term to capture several types
of specifications, including end-result specifications, quality assurance specifications,
performance-related specifications, and performance-based specifications. The basic
concepts of each subset of performance specifications are discussed below. More detailed
descriptions on these various performance specification types can be found in “Major Types of
Transportation Construction Specifications—A Guideline to their Evolution and Application,” by
AASHTO.
• End-result specifications assign to the contractor complete responsibility and flexibility in
selecting the procedures and equipment for supplying a product or an item of construction.
Agency’s responsibility is to either accept or reject the final in-place product or to apply a
pay adjustment commensurate with the degree of compliance with the specifications.
Because end-result specifications offer the contractor flexibility in exercising options for
new materials, techniques, and procedures to improve the quality or economy, or both, of
the end product, they are often incorporated into design-build contracts as performance
specifications.
• Quality assurance specifications require contractor quality control and agency acceptance
activities throughout the production and placement of a product. Final acceptance of the
product is usually based on a statistical sampling of the measured quality level for key
quality characteristics.
• The critical aspect of quality assurance specifications is identifying the material attributes
that are essential to good performance and the associated limits within which the material
or work can be produced to suggest good performance over the design life of the product.
For example, quality characteristics of concrete pavement could include concrete strength,
air content, and smoothness.
• Performance-related specifications (PRS) are essentially improved quality assurance
specifications that describe the desired levels of key materials and construction quality
characteristics that have been found to correlate with fundamental engineering properties
that predict performance. PRS identify and quantify those particular technical factors that
influence product performance. They may use 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 specify product quality characteristics, for
example flexural strength of concrete, that lend themselves to acceptance testing at the
time of construction. They do not specify the desired long-term product performance. The
“ideal” PRS use mathematical models to predict performance based on the measured
quality characteristics and design variables, for example traffic loading and climate. The
models provide the rationale for acceptance and pay adjustments based on life-cycle
costs.
• Performance-based specifications (PBS) are quality assurance specifications that describe
the desired levels of fundamental engineering properties, for example elastic modulus,
creep properties, and fatigue properties, that are predictors of performance and appear in
primary prediction relationships, such as models that can be used to predict pavement
stress, distress, or performance from combinations of predictors that represent traffic,
environmental, roadbed, and structural conditions. PBS differ from PRS in that they specify
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the desired levels of fundamental engineering properties, rather than key quality
characteristics.
3.3.1 Concrete Pavements
The current Caltrans specifications for concrete pavements are in a combination of the
subsets of performance specifications, mostly quality assurance specifications and some
forms of performance-related specifications. Efforts have been made in the past years and
continue to be made for the development and implementation of more improved performance
specifications.
For concrete pavements, Caltrans is currently exploring the opportunity of moving towards
more performance-based specifications with the considerations of environmental performance
as part of the performance characteristics in addition to the engineering properties.
Implementation of the refined engineering and environmental performance requirements would
help achieve more sustainable concrete pavements through enhanced long-term durability as
well as reduced carbon footprint.
For concrete pavements, however, Caltrans does not have a plan at this point to use
performance prediction models or life-cycle cost analysis for pay adjustment when
implementing performance specifications.
3.3.2 Asphalt Pavements
Performance specifications reflect the values for materials characteristics or engineering
properties used in the design process to predict the design performance life of a pavement.
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 from respective good or poor performance.
The current Caltrans performance specifications are either performance-related (calculations
of performance life are based on engineering properties) or non-performance-related
specifications (calculations of performance life are related to materials quality characteristics).
Implementing performance specifications would be most feasible in coordination with
development of a new construction quality database system in which to collect and analyze
data (such as PaveM 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
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3.3.2.a Non-Performance-Related Specifications
Non performance-related specifications (non-PRS) are “specifications that use quantified
quality characteristics and life-cycle cost analysis (LCCA) relationships that are correlated to
product performance.”
Non-PRS identify and quantify the technical factors that influence product performance.
Empirical data, engineering judgment, mechanistic modeling, and life-cycle costing are used
as the basis for determining the potential for performance. As with quality assurance
specifications, non-PRS only specify quality characteristics that lend themselves to
acceptance testing at the time of construction. They do not specify the desired long-term
product performance.
Mathematical models help predict 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 on data, non-PRS models
present a clear and realistic picture of what influences a constructed product’s performance.
These models are also the means through which enhanced or diminished life is estimated
from results of acceptance tests and, when combined with appropriate economic principles,
how rational payment factors are determined. Implementation of non-PRS depends on the
development and validation of such models. Correctly applied, non-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.
3.3.2.a (1) Advantages and Requirements of Non-Performance-Related Specifications
The advantages of using non-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.
Non-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 criteria. Typically, non-
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.
Non-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.
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Non-performance-related specifications for pavement, as an example, require four major
elements:
1. Pavement management system (PaveM)
2. Mechanistic-empirical design and CalME software
3. Life-cycle cost analysis (LCCA)
4. Material management system (DIME, Materials Library)
Non-performance-related specifications for pavement rely upon inter-relationships among
these major elements:
• A pavement management system that tracks pavement performance.
• The mechanistic empirical formulation for pavement design relates material quality
characteristics to pavement performance.
• The pavement management system data is used to calibrate the mechanistic empirical
formulation for the local materials.
• Field measurement data entered in DIME, for material quality characteristics for each
project, is compared to those used in the mechanistic empirical design formulation.
• The differences between the material quality characteristics used in the mechanistic
empirical 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, mechanistic empirical method is used to develop the
parameters for a 40-year or 20-year pavement life, and the actual field production results
show that the pavement would only have a life of 35 or 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.
3.3.2.a (2) Status of Non-Performance-Related Specifications
Caltrans is already working to implement three of the four elements in the numbered list. In
2013, Caltrans’ PaveM became functional and was used with the automated pavement
condition survey (APCS) database. Specially equipped vehicles are used to collect APCS data
annually. Use of the CalME software for flexible pavement was fully implemented by May
2022, and the Highway Design Manual was updated. CalME software is calibrated periodically
to include APCS data added over time. Caltrans is conducting experimental work for rigid
pavement using mechanistic empirical design. LCCA has been performed since 2007. In 2022,
Life Cycle Assessment was implemented. Caltrans is evaluating more asphalt mixtures to
include in the Materials Library.
3.3.2.b Performance-Related Specifications
Performance-related specifications (PRS) 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
PRS, 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
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traffic, environmental, and structural conditions. In the true sense, PRS is concerned with the
performance of the final in-place product, not how it was built.
3.3.2.b (1) Distinguishing Features of Performance-Related Specifications
• Acceptance based on measurement of the finished product’s 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 (2) Status of Performance-Related Specifications
Caltrans successfully completed five performance-related specifications projects, called Long
Life Projects in Caltrans Districts 2, 3 and 7. Caltrans is gradually implementing performance-
related specifications on selected large projects. Specifications in Superpave Performance
Graded Asphalt Binder Specifications and Testing, which were developed through the
Strategic Highway Research Program, are an example of performance-based specification for
asphalt binder. All of a product’s constituent materials and their related fundamental
engineering properties must be included to have complete models to predict performance of
that product. Performance-related test methods have yet to be developed to a user-friendly
level that would permit timely acceptance testing. Furthermore, development and validation of
performance-related tests are currently underway through research programs.
In addition, PRS requires more good quality PaveM data to generate and validate the models
required to determine pavement performance and price adjustments based on expected
LCCA. Caltrans management systems do not presently collect and evaluate all the data
necessary to develop the required pavement performance and cost models. Accordingly, PRS
has gradually been emerged as a viable tool in highway design and construction.
3.3.2.c Quality Assurance Program Changes
As performance specifications are gradually implemented, it will be necessary to make
changes to the CQAP accordingly, 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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3.4 Long-Range Objective—Risk-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 DIME.
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 all inherent in the
construction process, specification conformity levels will always be low.
An example of this situation can occur in the measurement of slump to determine the
consistency of plastic concrete. Research has found 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 found that approximately 32
percent of the test results would be out of specification for concrete with normal variability and
the average slump is equal to the specified target value.
To allow for normal variability, the tolerance limits in this example should be set at 1 inch, or
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. This will avoid having
unnecessary process changes. 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.
• Data collected using multiple random field samples under controlled conditions that reflects
the known variability of the materials produced for each quality characteristic.
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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 seller’s (or contractor’s) risk, alpha, and the buyer’s (or Caltrans’) risk,
beta.
The seller’s 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 buyer’s 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 or 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 AASHTO’s 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 5 percent. The more critical the application, the lower should be the
buyer’s risk. But only under rare circumstances should the buyer’s risk be lower
than the seller’s 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 possible increased sampling
frequencies should be considered to reduce the risk of accepting non-specification material.
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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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Appendix A: Caltrans Quality Assurance Documents
1. 2022 Standard Plans, Standard Specifications
https://design.onramp.dot.ca.gov/2022-construction-contract-standards#overlay-
context=construction-contract-standards
2. Bridge Construction Records and Procedures, Vol. 1 and Vol. 2
https://dot.ca.gov/programs/engineering-services/manuals
3. Bridge Deck Construction Manual
https://dot.ca.gov/programs/engineering-services/manuals
4. California Test Methods
https://dot.ca.gov/programs/engineering-services/california-test-methods
5. Concrete Technology Manual
https://dot.ca.gov/programs/engineering-services/manuals
6. Construction Manual
https://dot.ca.gov/programs/construction/construction-manual
7. Design-Build Demonstration Program, Quality Manual Outline
To request a copy of the Quality Manual Outline, email: Innovative[email protected]
8. Falsework Manual
https://des.onramp.dot.ca.gov/structure-construction/falsework-manual
9. Foundation Manual
https://des.onramp.dot.ca.gov/structure-construction/foundation-manual
10. Independent Assurance Manual, Procedures for Accreditation of Laboratories and
Qualification of Testers, July 2005.
To request a copy of the Independent Assurance Manual, Independent Assurance Manual
Amendments, and Annual Reports, email: IA.Service.Re[email protected].
11. Material Plant Quality Program Manual
https://dot.ca.gov/programs/construction/material-plant-quality-program
12. METS Authorized Materials Lists
https://dot.ca.gov/programs/engineering-services/authorized-materials-lists
13. Quality Control Manual for Hot Mix Asphalt Using Statistical Pay Factors
https://dot.ca.gov/programs/construction/hot-mix-asphalt-construction
14. METS Quality Manual
https://rock.dot.ca.gov/qualitysystem/documents/mets/oqasi/qasi/QASI_MANUAL.pdf
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Appendix B: Caltrans Quality Assurance Program Bulletin
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Appendix C: Caltrans Deputy Directives
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Appendix D: Charter: Contract Administration Process Evaluation (CAPE)
