US DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION

CAUFORNIA DIVISION 650 Capitol Mall Suite 4-100

Sacramento CA 95814

September 21 2007 lN REPLY REFER TO

HDA-CA File 443

Document S50764

Mr Will Kempton Director California Depaitment of Transportation 1120 N Street Sacramento CA 95814

Attention Federal Resources Office Room 3 500 For Bob Pie plow Chief Division of Construction

Dear Mr Kempton

SUBJECT Joint Process Review on Quality Assurance Program

For the past six months we have been coordinating with your Materials Engineering Testing Services (METS) and Division of Construction to finalize a Process Review for Quality Assurance Program The review was conducted with the assistance of various individuals within your Departments METS Local Assistance and Construction as well as selected Independent Assurance staff and Resident Engineers in the field to whom we would like to express our sincere appreciation

In summary the purpose of this review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance (QA) review performed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accomplish these objectives the FHW A California Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (City of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

We have identified the following six areas for State and Local Agencies to evaluate and act upon in the short term

A) CaJtrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on cmrent Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

f1 ti I l N r- SI i - -

AMERICAN ECONOMY

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E)

G)

B) Caltrans should complete development of and implement the on-line and web-enabled database for tester ce1tification or Caltrans should develop and implement a standard spreadsheet for projects on the NHS that will be used until such time as a database goes online

C) Caltrans should develop and implement an action plan on frequency for retesting the written po1tion of the ce11ification program

D) Caltrans should implement that the full name of the tester be identified on all Caltrans forms

E) Caltrans should increase IA resources in District 10 and 7 F) Caltrans should review procedures to ensure that Project Ce1tification Memorandums are

generated after each construction project and forwarded to FHWA

We have identified seven recommendations that can be incorporated into your existing annual constmction monitoring efforts

A) Caltrans should implement shadow testing to run gradations on the aggregate obtained from the ignition oven

B) Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

C) Caltrans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

D) Caltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

F)

Caltrans should develop and implement procedures to have the Central materials laboratory review all test procedures and equipment calibration in District laboratories Caltrans Local Assistance should update and implement a revised Chapter 16 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training Caltrans should develop and implement an action plan to expand the minimum conoboration testing to include Hot Mix Asphalt sampling (CT I 25) and for Portland Cement Concrete such as Air Content (CT 504) Unit Weight (CT 518) and Penetration (CT 533)

Please review the recommendations and provide us with an implementation plan by December 3 2007 If you have any questions or would like to meet with us to discuss anything fmther please contact Jason Dietz Construction and Materials Engineer at (916) 498-5886

t1 44J

Enclosures

Sincerely

ivTVnlpoundj

Gene K Fong Division Administrator

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cc (E-mail wEnclosures) Teny Abbott Caltrans Gene Mallette Caltrans Phil Stolarski Caltrans Terrie Bressette Caltrans Chuck Suszko Caltrans Eugene Shy Caltrans Don Roberts Caltrans Sandra Garcia-Aline FHW A Jason Dietz FHW A Bren George FHW A

JDietzjh

Joint Process Review On

Quality Assurance Program

September 2007

0 Fetleml Higlnv11y A1111i11istmtio11 (FHWA-CA) (S50765)

California Department of Tranpoltation (Division of Local Assistance 07-08)

Approved -SANifM

California Division Director of Field Operations Officer

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PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

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County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

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I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

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sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

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implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

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Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

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For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

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Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

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The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

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VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

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hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

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2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

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e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

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Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

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Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

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4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

2

E)

G)

B) Caltrans should complete development of and implement the on-line and web-enabled database for tester ce1tification or Caltrans should develop and implement a standard spreadsheet for projects on the NHS that will be used until such time as a database goes online

C) Caltrans should develop and implement an action plan on frequency for retesting the written po1tion of the ce11ification program

D) Caltrans should implement that the full name of the tester be identified on all Caltrans forms

E) Caltrans should increase IA resources in District 10 and 7 F) Caltrans should review procedures to ensure that Project Ce1tification Memorandums are

generated after each construction project and forwarded to FHWA

We have identified seven recommendations that can be incorporated into your existing annual constmction monitoring efforts

A) Caltrans should implement shadow testing to run gradations on the aggregate obtained from the ignition oven

B) Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

C) Caltrans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

D) Caltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

F)

Caltrans should develop and implement procedures to have the Central materials laboratory review all test procedures and equipment calibration in District laboratories Caltrans Local Assistance should update and implement a revised Chapter 16 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training Caltrans should develop and implement an action plan to expand the minimum conoboration testing to include Hot Mix Asphalt sampling (CT I 25) and for Portland Cement Concrete such as Air Content (CT 504) Unit Weight (CT 518) and Penetration (CT 533)

Please review the recommendations and provide us with an implementation plan by December 3 2007 If you have any questions or would like to meet with us to discuss anything fmther please contact Jason Dietz Construction and Materials Engineer at (916) 498-5886

t1 44J

Enclosures

Sincerely

ivTVnlpoundj

Gene K Fong Division Administrator

3

cc (E-mail wEnclosures) Teny Abbott Caltrans Gene Mallette Caltrans Phil Stolarski Caltrans Terrie Bressette Caltrans Chuck Suszko Caltrans Eugene Shy Caltrans Don Roberts Caltrans Sandra Garcia-Aline FHW A Jason Dietz FHW A Bren George FHW A

JDietzjh

Joint Process Review On

Quality Assurance Program

September 2007

0 Fetleml Higlnv11y A1111i11istmtio11 (FHWA-CA) (S50765)

California Department of Tranpoltation (Division of Local Assistance 07-08)

Approved -SANifM

California Division Director of Field Operations Officer

2

PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

3

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

3

cc (E-mail wEnclosures) Teny Abbott Caltrans Gene Mallette Caltrans Phil Stolarski Caltrans Terrie Bressette Caltrans Chuck Suszko Caltrans Eugene Shy Caltrans Don Roberts Caltrans Sandra Garcia-Aline FHW A Jason Dietz FHW A Bren George FHW A

JDietzjh

Joint Process Review On

Quality Assurance Program

September 2007

0 Fetleml Higlnv11y A1111i11istmtio11 (FHWA-CA) (S50765)

California Department of Tranpoltation (Division of Local Assistance 07-08)

Approved -SANifM

California Division Director of Field Operations Officer

2

PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

3

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Joint Process Review On

Quality Assurance Program

September 2007

0 Fetleml Higlnv11y A1111i11istmtio11 (FHWA-CA) (S50765)

California Department of Tranpoltation (Division of Local Assistance 07-08)

Approved -SANifM

California Division Director of Field Operations Officer

2

PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

3

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Approved -SANifM

California Division Director of Field Operations Officer

2

PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

3

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

PARTICIPANTS OF THE QUALITY ASSURANCE REVIEW

Review performed May 7 - 10 2007 and May 14 - 18 2007

TEAM Federal Highway Administration (FHW A) California Division (CA) - Jason Dietz Construction amp Materials Engineer Bren George Field Operations Engineer

Caltrans Headqua11ers and Materials Engineering Testing Services (METS) - Rick Gifford Special Funded Projects Engineer Eugene Shy and Don Roberts Local Assistance Engineers Catluina Barros and Liza Valencia Flexible Pavement Materials -Independent Assurance (IA) Oversight Lerose Lane District Materials Engineer - D02 IA Supervisor

DISTRICT AND LOCAL AGENCY STAFF INTERVIEWED Caltrans District 8 San Bernardino - Bruce Kean District Materials Engineer - D08 IA Supervisor Terry Chapman IA Wael Faqih Resident Engineer (08-327504) Ken Loncharich Resident Engineer (08-474404)

Caltrans District 7 Los Angeles - Eric Collar Robert Jarquin Robe11 Achuela and Arnold Truong IA Alex Perez Quality Control I Quality Assurance (QCQA) Coordinator Jagdish Patel Resident Engineer (07-201204) Fred Young Resident Engineer (07-122004)

Caltrans District 4 Oakland - Alex Sotoudehnik and Victor Antido IA Patel Bharat Resident Engineer (04-249044)

Caltrans District 10 Stockton - Robert Rogers IA Greg Berry Senior Oversight Civil Engineer Normer Gutierrez Oversight Resident Engineer (10-445404) Rick Demi Resident Engineer for Parsons-Brinkerhoff-Consultant Ken Blake Area Resident Engineer for Parsons-Brinkerhoff Paul Lukkarila Engineer for Kleinfelder

Caltrans District 3 Marysville - Terry Stratford and Del Com1ney IA Kyle lngvoldsen Senior Resident Engineer (03-3822V4)

City of Redlands -Sean Yeung Local Assistance Engineer Liang Tang Local Assistance Engineer Bill Hemsley Capital Projects Manager

County of Los Angeles - Eric Samaniego Local Assistance Engineer Greg Kelley Assistant Deputy Director Hung Nguyen Resident Engineer Ramon Robles IA Anthony Nyivih Principal Engineer (PE) Joel Zaragoza Pavement Management Issa Adawiya Area Supervisor Joel Zaragoza Associate CE Paul Axanmonu Principal CEA Raymond Fraser Senior Construction Inspector Bei Li Transportation Engineer

3

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

County ofSoJano-Johnson Lee Local Assistance Engineer William Lindenberger Senior Engineer Technician Ken Flores Engineering Services Supervisor County of San Joaquin- Yousef Yousef Local Assistance Engineer Jeff Woltkamp Accountant Auditor II David Wang Associate CE Jess Foronda Accountant Auditor II Peter Nuon Engineer III

County of Sacramento - Steve Prnpst Local Assistance Engineer Frances Worth Senior CE Ali Chehade Supervisor Constrnction Inspector Cannencita Dimal Municipal Service Agency (MSA) Senior Accountant Christopher Abruscato MSA Principal Engineer Technician Harmail Nijjar MSA Supervisor Engineer Technician Gilberto Penales Principal Construction Inspector Refugio Razo Senior CE Hardeep Sidhu Senior CE Ken Wilk Associate CE Robert Van Dyke Associate CE

4

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

I EXECUTIVE SUMMARY

Depaiiments of Transportation have come to real ize the impo1iance of Quality Assurance (QA) based on their experience that failure to confo1111 to e ither material or construction specifications can result in the early failure of highway components Construction QA programs are intended to ensure that the quality of the materials and construction incorporated into highway products fully comply with the specifications QA programs have evolved since the 1960s into what are now sometimes second or third generation QA programs The umbrella of any QA program contains tlumiddotee main elements Qual ity Control (QC) Acceptance Testing (AT) and Independent Assurance (IA) testing The manner in which these elements are administered will have an impact of the overal l quality of the program

The objectives of this process review were to examine the effectiveness of Caltrans implementation of findings and recommendations resulting from a Quality Assurance review pe1formed in January 2004 review Local Agencies QA processes and to verify the proper implementation of quality assurance measures To accompl ish these obj ectives the FHWA Califomia Division Office jointly with Caltrans conducted a QA process review of five Caltrans Districts (8 7 4 10 and 3) and five Local Agencies (Ci ty of Redlands County of Los Angeles County of Solano County of San Joaquin and County of Sacramento) in May 2007

The outcome of this review is repo1ted as follows I Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency proj ects 3 Observations and recommendat ions aris ing as a result o f the review and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding - A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be corrected by Caltrans or the Local Agency

2 Observation - The FHWA reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Caltrans

3 Recommendation - A process or activi ty that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient qual ity assurance process Reconunendations do not require an action on the part of Caltrans

The review found that Caltrans effo1is to comply with requirements for IA test ing are rated satisfactory and their efforts to meet the requirements for sampl ing and testing are satisfactory However the review found some deficiencies in the Caltrans materials

5

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

sampling and testing program On the Local Agency level the Caltrans oversight and Local Agency IA requirements of projects on the State Highway System (SHS) only reflect a satisfactory ra ting on those local agency administered projects In general sampling testing and IA efforts on local agency projects (on and off the SHS) need improvement

Since 2004 the Materials Engineering Testing Services (METS) has taken a very active role in implementing the Caltrans IA Program resulting in major improvements to the Reference Sampling Program (RSP) However the Acceptance Sampling and Testing Program on the SHS which is the responsibili ty of Caltrans Constrnction and Local Agencies doing work on the SHS has shown li ttle improvement from past process reviews that were documented in 1 988 1 99 1 1 992 and 2004 process reviews

The following finding and recommendat ions are a result of this review The Team developed the following recommendations which are explained in detail later to assist Caltrans in their oversight and stewardship responsibil i ty for the quality assurance program

Recommendations from Findings

Recommendation Cal trans needs to implement a record retention procedure to ensure compliance with 49 CFR 1 842 which requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period of litigation whichever is later

Recommendation Caltrans should develop and implement an action plan to create a Final Material Certification (FMC) form for each proj ect which will then comply with the 23 CFR 637207 requirements

Recommendations resulting from Observations

Recommendation 1 Caltrans should implement shadow testing to acqu ire gradations on the aggregate obtained from the ignition oven

Recommendation 2 Caltrans should continue the training which has been found to be beneficial on a regular basis to educate both existing and new personnel on current Quality Control Quality Assurance (QCQA) state-of-the-art practices and procedures

Recommendation 3 Caltrans should have a QCQA Coordinator in each District

Recommendation 4 Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

Recommendation 5 Caltrans should complete development of and implement the onshyline and web-enabled database for tester certification or Caltrans should develop and

6

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

implement a standard spreadsheet for proj ects on the NHS that will be used until such time as a database goes online

Recommendation 6 Cal trans should identify basic videotaping of California Test Methods (CTMs) for addressing the limitations in the existing tester certification process

Recommendation 7cCaltrans should develop and implement an action plan to review if each District should have a separate Independent Assurance (IA) structural person

Recommendation 8 Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

Recommendation 9 Caltrans should develop and implement procedures to have the Central materials laboratmy review all test procedures and equipment calibration in District laboratories

Recommendation 10 Caltrans should implement that the full name of the tester be identified on all Cal trans fo1ms

Recommendation 1 1 Caltrans Local Assistance should update and implement a revised Chapter 1 6 Administer Construction Contracts of the Local Procedures Manual for QAP (for projects on the NHS) and continue to provide training

Recommendation 12 Caltrans should develop and implement an action p lan for further cmrnboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Portland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 1 8) and Penetration (CT 533) are the minimum tests

Recommendation 13 Caltrans needs to revise the CTMs to English

Recommendation 1 4 Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

Recommend ation 15 Caltrans needs to provide FHWA with an update on PACRS

Recommendation 16 Caltrans should increase IA resources in D istricts 7 and 10

Recommendation 17 Caltrans should review the IA program in all 1 2 Districts annually

Recommendation 18 Calrrans should provide Project Certification Memorandums to FHWA after each construction project

Recommendation 19 Caltrans update i ts tester certification written exams

7

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

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bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

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need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

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Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Recommendation 20 Caltrans should develop a risk-based evaluation for creating a statewide tester ce11ification program

I I INTRODUCTION

The role of a Quality Assurance (QA) program i s to ensure that the quality of the materials and constrnction incorporated on all Federal-aid highway projects on the National Highway System (NHS) are in conformity with the requirements of approved plans and specifications The QA programs developed by the State DOTs must adhere to 23 CFR 637 and be approved by Federal Highway Administration (FHWA) for projects on the NHS These programs lay out systematic actions necessary to provide confidence that the material and workmanship incorporated into a project will satisfy given requirements

The 2005 Financial Integrity Review and Evaluation (FIRE) Program established oversight procedures to ensure that Federal-aid funds are properly managed and effectively used and that safeguards are in place to protect against minimize fraud waste and abuse Proper quality assurance procedures are safeguards and essential to providing the fiscal accountability and oversight required by the FIRE program

In 2006 a National Review Program (NRP) report Quality Assurance in Materials and Construction was written by FHW A to evaluate at the corporate level program effectiveness ensure more program consistency and ident ify successful QA practices across the Nation The NRP is an annual program of reviews conducted by teams comprising experienced FHWA personnel Review topics were selected through an annual call followed by a solicitation for Team members from FHWA unit offices QA was selected for review in 2006 because the program ranked as one of the top five areas of interest for review by FHW A

Quality construction i s fundamental t o meeting the mission of the FHWA and QA i s the primary means by which the FHW A ensures that it has confidence in the qual ity of the highway products delivered

I l l REFERENCES

In spring 2006 FHW A Field Operations (FO) performed a risk analysis and identified construction materials quality as a high-risk area pru1icular1y in light of the findings of recent QA National Review and limited Federal and State oversight for transpOL1ation projects Thus the FHW A California Division management and FO engineers supported a follow-up review on the implementation of the findings and recommendations of the 2004 QA review

8

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

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hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

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e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

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Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

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4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

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Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

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Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

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need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

For this follow-up review the Team reviewed records and interviewed staff from bull Five Cal trans District IA offices - Districts 8 7 4 3 and 10 bull Materials Engineering Testing Services (METS) - Statewide IA oversight bull Seven Caltrans on-going projects 08-327504 08-4 74404 07-201204

07122004 04-249044 l0-4454U4 03-3822V4 bull Five Local Agency projects

One project (County of San Joaquin) on the National Highway System Four projects in the City ofRedland County of Los Angeles County of

Solano and Sacramento County

Since the 2004 report mainly focused on Caltrans projects it was dete1mined to examine if Caltrans Quality Assurance Program (QAP) was being followed on Local Agency projects on the NHS and if Local Agencies were following their own QAPs off the NHS

During November 2006 the process of developing a work plan began in January 2007 the draft work plan was forwarded to Caltrans METS and the Division of Local Assistance for review and comments A final approved work plan was distributed to Cal trans in early in February 2007 as shown in Appendix A The QA review team conducted its review from May in to the 18th

At the States request an FHWA led Peer Review Team was created in March 2007 lo assist Cal trans on the remaining issues regarding the rewrite of the Standard Specifications Section 39 Hot Mix Asphalt This team also reviewed and advised Caltrans on the specification areas which pertained to important factors in QCQA recommendations in the 2004 report The purpose of the team was to advise and resolve issues to provide for a joint Caltrans and Industry completion of the re-write This QA Process report was delayed to provide an opportunity to include the outcome in this summary The specifications were completed and moved into implementation in August 2007

IV PROCESS OBJECTIVES

The objective of this process review was to evaluate the effectiveness of Caltrans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHW A California Division Office Constrnction and Materials engineer that directed a foll ow-up meeting or letter from Cal trans that addresses whether any of the reconunendations have been considered or implemented As a result a meeting took place in October 2004 during which Caltrans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of recommendations In March 2006 they hired a new Independent Assurance Manager to run the RSP program which seems to be improving

9

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Essentially this process review shall 1 Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct constrnction personnel to

monitor contractor QC testing procedmes and documentation d Procedures for verifying contractor test results need to be revised to ensure that

AC pay is ran after each State verification test is ran e The specification should be revised to ensure that the contractor retains records

for 3 years f The specification should be revised to direct the contractor to amend the QC plan

to incorporate updated tester ce11ificates g The State should consider running gradations on the aggregate obtained from the

ignition oven h The State should consider developing training for the QCQA specification i Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide unifom1 application of the specifications between Districts

J In the long tenn the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix

2 Verify improvements in the tester cer1ification program a Distribution of list of ce11ified testers are properly filled in the project records b Training for tester certification was encouraged to be further developed c The structmal testers need to be instructed on the requirements for certification d Procedmes need to be reviewed to ensure proper distribution oflists of certified

testers and proper filing in project records e Consideration should be given to increase the resources in District 6 IA f Caltrans should develop a frequency for retesting the written p011ion of the

certification program g Calttans should expand policy and procedmes for the overall certification

program to cover decertification procedures h METS should review the IA certification program performed in the districts to

promote uniformity 3 Caltrans needs to develop a procedure to have the Central materials laboratory to

review test procedmes and equipment in district laboratories 4 Test reports submitted by outside laboratories need to indicate the person testing the

material 5 We have concerns that the review of Local Agency construction projects by Caltrans

District Local Assistance may not be performed on a consistent basis 6 Caltrans should add some additional collaborative testing to the IA program

This evaluation re port contains summaries of the responses from resident engineers project engineers and various other key personnel during interviews It is also based on the review of relevant project documents

10

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

3

The outcome of this review is reported as follows l Results of the review as they relate to the follow-up of the 2004 Review 2 Results of the review of the Local Agency projects 3 Observations and recommendations arising as a result of the leview and the

Section 39 Team review

FHWA will frame the outcome of the review as follows 1 Finding -A determination of an activity andor process that do not meet

Federal Requirements In other words they are more compliance based and their associated recommendations are listed Findings must be conected by Caltrans or the Local Agency

2 Observatbullon -The FHW A reviewers observations of a process or activity that was a result of the process review Observations may be related to a given topic or regarding a new topic Observations do not require an action on the part of Ca1trans Recommendation -A process or activity that FHWA is suggesting for Caltrans consideration to enhance or result in a more effective and efficient quality assurance process Recommendations do not require an action on the part of Cal trans

The genera1 recommendations suggested in this report are presented to the Deputy District D irectors of Construction and Di vision Chiefs of Constrnction for their use in development and implementation of action plans to address recommendations in each di strict region and headquarters

V SCOPE AND APPROACHES

During the course of this evaluation the Team explored whether proper implementation of quality assurance measures were conducted The scope consisted of evaluating the 2004 findings (Appendix B) reviewing Caltrans and local agency processes administration activities and control of the quality assurance procedures through site visits and to verify that Cahrans and the Local Agencies are meeting commitments for quality assurance These site visits were coordinated with Caltrans and included interviews with appropriate district and headquaiters personnel

This review involved interviews with Caltrans Headquarters and D1strict personnel and City ai1d County employees all who had direct or indirect involvement in QA projects The panel also evaluated applicable procedmal guidance and policy memoranda Interviews were conducted with the following QCQA personnel and oversight managers (see page 2 for a list of the staff involved) 1 District 1A Contacts

2 District Construction Resident Engineers andor Project Managers 3 District Local Assistance Engineers (DLAEs) 4 City and County Engineers

1 1

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

g

VI 2004 REVIEW FOLLOW-UP

Unless specifically noted the finding and recommendations are for Caltrans and Local Agency projects on the NHS

1 The following improvements to the existing Caltrans QCQA program should be exa mined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes Resolved through latest

rewrite of Specification Section 39 Hot Mix Asphalt Standard

Specification was posted on July 27 2007 which incorporates this change

b The State should consider revising the ratio of State tests to contractor test results used for verification to approximately 1 in 5 Resolved through latest rewrite of

Specification Section 39 Hot Mix Asphalt Standard Specification was

posted on July 27 2007 which incorporates this change

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation Resolved through current in place procedmmiddotes

d The procedure for verifying contractor test results needs to be revised to ensure that AC Pay is run after each State verification test is ran Resolved through current in-plaee procedures

e The specification should be revised to ensure that the contractor retains records for 3 years Resolved through current Standard Specifications of May 2006

New Finding Record retention according to 49 CFR 1 842 requires that Cal trans maintains records for three years subsequent to final voucher reimbursement or through the period oflitigation whichever is later

Recommendation FHWA will work with Caltrans to implement the appropriate process

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester ce1tificates Resolved through the State QC manual and local agency QAP manual

The State should consider running gradations on the aggregate obtained from the ignition oven Not resolved through latest rewrite of Specification Section 39

bullHot Mix Asphalt Standard Specification

New Observation The QCQA2 specifications allowed the contractor to run gradations after ignition testing but the gradation tests were not required It was

12

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

hoped that this would provide Caltrans with the data necessary for a complete analysis However from this review it appeared that this attempt was unsuccessful as no data has been acquired from the contractors as a result

Recommendation Caltrans should implement specifications that will require shadow testing of gradations based on the aggregate obtained from the ignition oven

h The State should consider developing training for the State QCQA specification Resolved through Caltrans will be including QCQA Training in the statewide joint training for the new Section 39 to be conducted October 2007 through February 2008 for Caltrans Industry and local agencies

New Observation Districts lacked the understanding of the cunent version of the QCQA specifications

Recommendation Caltrans should continue training on a regular basis to educate both existing and new personnel on current QCQA state-of-the-ait practices and procedures

1 Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts Not resolved through the interviews of this review by 5 State projects

New Observation Following implementation of Section 39 training will be available for both existing coordinators and the new ones

Recommendation The Team recommends that each District have a QCQA coordinator

J Tn the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt content in the mix Resolved through latest rewrite of Specification Section 39 Hot Mix Asphalt Standard Specification Volumetrics are required in mix design and production sta11 up and the slate will be collecting data from for information only submittals by the contractor and state during production

New Observation The State plans to conve11 to volumetrics in one to two years following the implementation of Section 39

Recommendation Caltrans should develop and implement an action plan toward using volumetrics for asphalt acceptance replacing gradation

1 3

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

2 The following improvements to the existing tester certification program should be considered a Verify if the distribution of list of certified testers are properly filed in project

records Not resolved by the 5 State projects that were reviewed None of the projects reviewed had adequate tracking systems for qualified testers and lab oratories

New Observation From the review it was found that a previous statewide database is no longer collecting info1mation and a newer database version has not been implemented But FHWA has been assured that the new on-line web enabled database is nearing completion

Recommendation Caltrans should complete the on-line web-enabled database before next construction season If the database will not be completed prior to the start of the construction season 2008 Caltrans should develop and implement a standard spreadsheet that will be used until such time as a database goes online (see Appendix C D E)

b Training for tester certification was encouraged to be further developed Not resolved by the 7 State projects that were reviewed

New Observation Since there is no fmmal certification training testers need to be qualified in a timely manner to ensure quality of CT Ms Caltrans Consultant Contract will review Caltrans and other States programs for tester training and certification TI1e review will off er alternatives for the Caltrans management and once one is chosen will assist Caltrans in establishing joint tester training and ce1tification

Recommendation Caltrans should identify basic videotaping of CTMs for addressing the limitations in the existing tester certification process

c The structural testers need to be instructed on the requirements for ce11ification Not resolved by the 7 State projects that were reviewed

New Observation The benefit of such recommendation has been observed in District 3 where the additional person has extra knowledge and background on structural-related test methods which alleviates the amount of the workload for the IA contact (see Appendix F)

Recommendation Caltrans should develop and implement an action plan to review if each District should have a separate lA structural person

d Consideration should be given to increase the resources to District 6 IA Resolved through findings and recommendations of the Quality Assurance review completed in 2004

14

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

e The State should develop a frequency for retesting the written portion of the certification program Not resolved

New Observation Caltrans needs to evaluate this fm1her This topic will be discussed as part of the review of the IA program being conducted by the consultant contract

Recommendation Caltrans should develop and implement an action plan on frequency for retesting the written portion of the certification program

f The State should expand its policy and procedures for the overall cettification progran1 to cover decei1ification procedures Resolved with the revised 2005 IA Manual that now covers the decertification procedures

g METS should review the IA certification program performed in the Districts to promote uniformity Resolved by HQ IA 2006 review of 3 Districts IA

3 l11e State needs to develop a procedure to have the Central materials laboratory review test procedures and equipment in District laboratories Partially ResolvedishyMETS staff calibrates all large equipment arid reviews ruaintenance records and procedures in all District and Local Agency laboratories but not small equipment

New Obsen-ation The condition and calibration of small equipment is reviewed by the requirement that each laboratory participate in the RSP Proficiency Testing program outlined in the IA Manual Each laboratory receives at least 3 samples to test each year and their results are compared to Caltrans local agencies and private laboratories on a statewide basis Failme to meet the necessary standards of testing within this program is investigated by the METS IA staff in conjunction with the Distlicts laboratory supervisor

However METS does not provide a review of the District laboratories for all test procedures and small equipment calibration l11is practice much like the AMRL review would make the extension of the Central laboratorys AMRL certification much stronger And as has been experienced in other states will laise the quality of the District laboratories

Recommendations Caltrans should develop and implement procedwmiddotes to have METS review all test procedures and equipment in District laboratories

4 Test rep011s submitted by outside laboratories need to indicate the person testing the material Not 1middotesolvd by the 7 State and 5 Local Agency proje(ts that were reviewed

Nw Observation It is necessary and imp011ant that the tester be easily and clearly identified on all test rep011s

15

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Recommendations Caltrans should implement that the full name of the tester be identified on all Caltrnns forms This issue might be resolved by the use of P ACRS which requires an electronic signatme for each test submitted

5 We have concerns that the review of construction projects by District Local Assistance Engineers ( ofathe SHS) are not being perfom1ed Not resolved by the 4 local assistance projects off the SHS that were reviewed

New Observation The current Local Assistance QAP program should be updated to include the following 1) 5 out of 5 Local Agencies had Ce1tificates of Proficiency 2) 4 out of 5 Local Agencies reviewed were not keeping project files updated and available for review in one central location 3) 5 out of 5 Local Agencies reviewed were not keeping Independent Assurance stafK and labequipment separate from the regular day to day acceptance testing 4) 5 out of 5 Local Agencies reviewed were not keeping Log summary testing frequency information available upon request and 5) 2 out of 5 Local Agencies reviewed were not keeping Certificate of Proficiency ce1tifications readily available

Recommendations Caltrans Local Assistance should develop and implement a revised Quality Assurance Program (QAP) prnvide training and perfmm construction monitoring of local agency projects on the NHS

6 The State should add some additional corroborative testing to the IA program Not rsolved by the State and Local Assistance manuals

New Observation The IA now perfo1ms corroboration tests at annual intervals for CTMs of Sieve Analysis (CT 202) Sand Equivalent (CT 217) and Cleanness Value (CT 227) - three of the basic soils and aggregate tests

Recommendations Caltrans should develop and implement an action plan for fiuther coffoboration test methods for Hot Mix Asphalt would be Sampling (CT 125) Po1tland Cement Concrete Air Content (CT 504) Unit Weight (CT 5 18) and Penetration (CT 533) are the minimum tests

VII ADDITIONAL FINDINGSOBSERVA TIONS AND

RECOMMENDA TIONS

The following finding and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Finding CutTently the FHWA Califomia Division Office is not receiving the Final Materials Certification (FMC) fonn on a regular basis for Federal-aid projects on the NHS

16

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Recommendation Caltrans should develop and implement an action plan to create a Final Materials Ce11ification (FMC) form which will then comply with the 23 CFR 637207 requirements The Local Assistance Procedures Manual should be revised to require a copy of the Materials Certificate (Exhibit 17-G) be routed to the FHWA California Division for projects on the NHS

The FMC form will certify the results of quality assurance testing of the specifications material and assurance testing personnel and equipment used on a project Note See Appendix I for example of a log summary testing frequency table Also it applies to Local agencies with projects on the NHS For Local Agency projects off the NHS a Material Certificate which is not submitted to FHWA is included as Exhibit 17-G in the LAPM for Local Agencies to complete

The following observations and resulting recommendations were made as a result of the QA Process Review Follow-up

1 Observation In the 2006 Standard Specifications Caltrans officially changed from metric to English units However it appears that many if not all of the CTMs are still in metric units

Recommendation Caltrans needs to revise its CTMs to English units as appropriate

2 New Observation QCQA specifications require that the Contractor submit copies of their tests within 24 hours of completion for review by the Engineer This process will be enhanced by the use of a new web-based Pavement Asphalt Concrete Record System ( P ACRS) program that will provide both the Contractor and Engineer a tool for recording and reviewing test results against the specifications and testing requirements

Recommendation Insure the implementation of PACRS for all QCQA projects to assist in timely reporting of test results

3 Observation Beginning with projects bid in 2007 Caltrans QCQA projects are anticipated to be administered with the assistance of P ACRS This web-based program will give both the Engineer and the contractor real time access to data The data will be entered by engineer (verification) and contractor ( quality control) and the analysis for quality factors verification and pay will be perfo1med immediately

Recommendation It is suggested that Caltrans provide the California Division Office with updated information on the PACRS development and how it will enhance the implementation process

17

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

4 Observation Consideration should be given to increase the resources to District 10 due to its inadequate certification filing system Also to avoid a conflict of interest District 7 needs to have a separate laboratory to run its IA program

Recommendation Cal trans should increase resources in District 10 and 7 for ]A

5 Observation I n 2006 METS reviewed 3 Districts ]A and certification programs with 2 primary objectives 1) Compliance with ]A policy and procedutes and 2) Uniformity statewide The Districts with deficiencies were notified of their deficiencies and changes were made to bring them into compliance

The remaining Districts will be reviewed in 2007 and 2008

Recommendation All 12 Districts should be reviewed on a yearly basis I f Cal trans resomces at METS are an issue they could have the District Laboratories AASHTO Accredited A number of States have done this including Florida Nevada Virginia and Minnesota

6 Observation Cm1ently the FHWA California Division Office is not receiving the Project Certification Memorandum on a regular basis for Federal-aid projects on the NHS

Recommendation Caltrans should identify that a Project Certification Memorandum shall be generated for each construction

( Construction Manual Example 6-11 ) For any material in which a change order is written to accept out of specification material that material is to be added to the certification as an exception For Local Agency projects off the NHS a HPSampE Certification Exhibit 12-C in the LAPM is completed and submitted to the DLAE when requested Authorization of Construction

7 Observation From interviewing headqua11ers IA staff and the five District IA staff they rated the existing written examination as satisfactory1 and needs to be improved

Recommendation Caltrans should develop and implement an action plan to improve the existing tester qualification written examinations

By creating a tracking mechanism one can evaluate written tests on a yearly basis (see Appendix H) This could also apply to Local agencies as well (for projects on the NHS)

VIII CONCLUSION

1 8

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Overall the Team found that Caltrans has not adequately addressed 9 of the 21 issues raised in the 2004 review

Furthermore w e found that there is two new finding and 7 new concems These concerns will be challenges to be faced by the local agencies as well Overall Local Program Agency administered projects are ca1ried out in accordance with Federal requirements however recommendations are included for Local Agencies to improve their QAPs We recommend that State and Local Agencies start taking actions on the identified findings and recommendations to improve their QAPs

Caltrans and Local Assistance will be provided a copy of this report Pending the corrective actions and the response another review may be necessary

IX ACKNOWLEDGEMENTS

The Federal Highway Califomia Division Office greatly appreciates the participation comtesy and assistance provided by Caltrans METS Constrnction and Local Assistance staff during our visits and in completing this review

X APPENDICES

A Work Plan for Process Review on Quality Assurance B 2004 Quality Assurance Review C Master List of Caltrans Qualified Testers D Master List of Caltrans Qualified Laboratories E Certificates of Proficiency F Certificates of Proficiency for Structures Construction G Rating Scale H Practicals New Rece1tifications and Administered Examinations I Log Stimmary Testing Frequency (example)

19

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Appendix A - Work Plan for Process Review on Quality Assurance

FEDERAL HIGHWAY ADMINISTRATION CALIFORNIA DIVISION

Process Review on Quality Assurance Program (Follow-up) Review Work Plani Scope Statement

(S49904)

OBJECTIVEPURPOSE

Through Risk Analysis the California Division of the Federal Highway Administration (FHW A) has identified construction materials quality to be one of its highest risks particularly in light of the findings of recent Quality Control QualityQuality Assurance (QCQA) national reviews and limited oversight for transportation projects

The Quality Assurance procedures for construction are structured around 23 CFR 637 The overall purpose of these procedures is to assure the quality of materials and construction in all Federal-aid highway projects by Caltrans or a local agency

The purpose of this process review is to evaluate the effectiveness of Cal trans implementation of findings and recommendations of a July 8 2004 memorandum signed by the FHWA Division Office Construction and Materials engineer (Attachment A) that directed a follow-up meeting or letter from Cal trans that addresses whether any of the recommendations have been considered or implemented Thus a meeting took place in October 2004 which Cal trans agreed they would in time implement these recommendations however with them recently reinitiating their Reference Sampling Program (RSP) and updating their QCQA and standard specifications it will take some time to implement all of them On March 2006 they hired a new independent assurance manager to nm the RSP program and things seem to be improving

Essentially this process shall review bull Verify the following QCQA improvements

a Setting the maximum size of a lot to 20 contractor test results b Revising the ratio of State tests used for verification to approximately l in 5 c If a State procedure has been developed to direct construction personnel to

monitor contractor QC testing procedures and documentation d Procedures for verifying contactor test results needs to be revised to ensure

that AC pay is nm after each State verification test is run e The specification should be revised to direct the contractor to amend the QC

plan to incorporate updated tester certificates f The State should consider developing training for the QCQA g Consideration should be given to METS providing increased oversight and

training of the District QCQA Coordinators to provide uniform application of the specifications between Districts

bull Verify if the distribution of list of certified testers are properly filled in project records

bull Confirm construction projects by district local assistance are being reviewed on a consistent basis

1

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

bull Validate test reports submitted by outside laboratories need to indicate the person testing the material

bull Review whether the State has developed procedures to have the Central materials laboratory review test procedures and equipment in District laboratories

bull Verify if the State has developed policy and procedures for frequency for retesting the written portion of the ce1iification program and dece1tification procedures

bull Corroborate that the structural testers need to be instructed on the requirements for certification

A repmi will be prepared documenting the teams findings and if necessary recommendations to improve processes and better ensure full quality assurance measures

SCOPEAPPROACH

During the course of this evaluation the team wil explore whether proper implementation of quality assurance measures were conducted The scope consists of evaluating the 2004 findings and reviewing Caltrans and local agencies processes administration activities and control of the quality assurance proced1u-es through site visits to verify that Caltrans is meeting those commitments These s ite visits will be closely coordinated with Caltrans and will include interviews with appropriate d istrict and headqua1iers persmmel It is anticipated that besides reviewing the States central lab at least three District labs (including tlu-ee local agencies) wil l be visited

This process review will examine the certified testers quaHfied labs reference sampling program acceptance testing material certification etc

RESPONSIBILITIES

A mul ti-discipline team with representation from FHW A - California Division and Caltrans will conduct this review Team members and others with applicable expertise will assist on an as needed basis The basic team is identified below

FHWA-CA bull Jason Dietz - ConstructionMateria ls Engineer amp F ield Operations Engineer (

Central Region) bull Bren I George - Field Operations Engineer (Dist 7 amp 8)

Caltrans bull State side - TBD bull Local Assistance - Eugene Shy Donald Roberts

TRAVEL

It is anticipated that the team will need to travel to Southem California (Districts 8 and 1 1 ) Central Region (District 1 0) and N01th Region (District 4 and 3 ) In order to review files documentation and interview Caltrans s staff it is likely that the team will

2

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

-- -

need at least one night accommodation in each location Therefore travel costs for the FHWA team are expected to be $3500

SCHEDULEMILESTONES

Tl ME LINES December 2006

MILESTONES Final work plan approved

January 2007 Identify Caltrans and Local Assistance team members FebrnaryMarch 2007 Conduct site visits interviews etc April - May 2007 Review and analyze data Prepare Draft Report May l 2007 Complete Draft Repo1t Circllate for management review

Circulate Final Draft Report for Signature June 1 2007 June 15 2007 Condlct Closeout Conference July 2 2007 I Issue and distribute final signed rep01t

RECOMMENDATIONSAPPROVAL _1

-- - - bull l

_)ll

r middot I( )lbull--middot Date Recommendation - e-n ___ _ J_son-Dletz C_911structioMaterials Engr

c

Approval Date 1froJo7 1 Dennis A Scovill Chief Operating Officer

3

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

Appendix B - 2004 Quality Assurance Review

Quality Assurance review of the California Departmeut of Transportation (S45405)

Review performed January 12 2004 thrn January 16 2004

Repoit by Michael Rafalowski

FHW A Contacts John Dewar Director Field Operations Dennis Dvorak Materials Engineer Kansas Division Office Jason Dietz California Division Office

California DOT Contacts

Headquarters Phil Stolarski Materials Engineering and Testing Services Terrie Bressette Flexible Pavement Materials Agustin Petmiddotez Construction Chuck Suszko Constnction Albe11 Vasquez Flexible Pavement Materials Sam KianfarFlexible Pavement Materials Liza Valencia IA Ebi Fini Nahid Hosseinazadeh Eugene Shy Local Assistance Engineer

District 12 Orange County Behdad Baseghi District MaterialsEnginee Ahiy haw IA John Warrick IA Farhad Hadjibaie Mehrdad Mahda-vian TH Wa1ig Randy Reiche1t assoc MampR Engr Homa Nouri Local assistance Engineer Bill Gilchrist Resident Engineer

District 7 Los Angelest Gerardo Medina Robe1to Jarquin IA Amie Ehtemam Eric Samaniego Eric Collar IA Terry Chapman IA Ron Longazo IA Patricia Galvan Resident Engineer

District 6 Fresno Ron Sekhon Materials Engineer Kirit Dave IA Kevin Reisz Resident Engineer Tod George Construction Engineer Fayad Al Masri1 District Local assistance Engineer Marv Johnson District Local assistance Engineer

The objective of this assessment and information sharing will be to review the State Agencies Quality Assurance Program practices and prpcedures and to ascertain the status of the States implementation of the Quality-Assurance regulation The review will be looking at the entire Quality Assurance Program in the State with an emphasis on the use of Contractor QC test data in thegnjff Pance decision i

Material practices involving the regulation were examined at the State Headquarters district and project levels 111lee districts District 6 Fresno District 7 Los Angeles and District 1 2 Orange County and a total of 6 projects were reviewed

r -- - - middot

Itinerary

Januruy 1 2 - District 1 2 meeting January 1 3 - project reviews in District 1 2 District 7 meeting January 1 3 - proj ect reviews in Pistrict 7 January 1 4 c- District 6 meeting proj ect reviews in District 6 Januaimiddoty 1 5 middotc1itEa)Bllting and closeout

Organizational Structure

The Materials function is located in Materials Engineering and Testing Services (METS) which is in the Engineering Services Division There are 1 2 districts in California There are different organizational structures in the Districts as it relates to materials There is a single Materials engineer that covers Districts 5 and 6 In District 7 there are 5 leaders not one of which is the district materials engineer and District 1 2 and the remaining dis tricts which have a District Materials Engineer

The METS has quarterly meetings with the District Materials Engineers

Quality Assurance program

The sampling and testing frequency guides for normal acceptance proj ects appear in the Chapter 6 of the State Construction Manual and some of the standard specifications

The Independent Assurance Program is coved)n a separate publication the Independent Assurance Program Manual dated J11uary 200 1 This manual also covers the technician ce11ification prograni themiddot labimiddotit6middotqualfrication program and the equipment calibration procedures

The State s Quality Assurance procedures for asphalt are outlined in the publication Quality Control Quality Assurance Manual and the special provisions

Technician Qualification Program

The METS is responsible for the overall administration of the IA program The District IA testers are certified by the METS certification program At the local level the Independent Assurance (IA) testers in each of the Districts administer the State s technician ce11ification program The certification program includes a proficiency portion and a written test for each test that a technician is certified in A certification is good for one year The recertification process includes a proficiency test for each test that a technician is ce11ified in The following tests are performed on collaborative samples sieve analysis sand equivalent and cleanliness The IA testers witness the remaining tests

Each District keeps a list of qualified tecJinieirt$ f tecbnician working for a private laboratory cannot be qualified unles they worklbflqiilified laboratory The State is middot middot - 1 middot middot- middot lJ i working on a statewide list

The list of qualified technicians is not always getting into the project files Also i nformation on teclmicians that were qttalified in other districts is also not readily available to project personnel

District 6 has developed some training aids for materials technicians that are very good

It was noted that at least in one district there was a problem in having the structural testers recertified

The current policy does not have a procedure for disqualifying technicians 1 1

There currently is no requirement for retakig- tmiddot)vittcenth pait of the test for recertification

Laborn tory Qualification

The Central laboratory in Sacramento is AASHTO accredited

The State has d istrict laboratories in all but one district (District 12 which covers Orange County) The district laboratories have the capability of performing gradations Rvalue PI compression testing ignition ovens and asphalt mixture tests The State does not have a laboratory qualification program for the district laboratories

The laboratory qualification program is outlined in chapter 5 of the Independent Assurance Program The Independent assurance testers in each District are responsible for qualifying labs within the geographical area of the District Each lab is required to develop and maintain a Quality manual The District IA staff also inspects the laboratories All laboratories are required to participate in the reference sample program in order to become and maintain qualification Each District keeps a list of qualified laboratories for the laboratories within the geogFaph_ical area of the District If a District uses a laboratory located within another Pistr_iffJlj pistrict needs to contact the District that would qualify the laboratory in ordetmiddot ii1su1emiddottf1afthey were qualified The lab qualification process must be renewed yearly

The State has recently restarted their reference sample program This program is critical for ensuring the competence of laboratories

Equipment Ca libration

The procedures for calibrating and documenti ng calibration are in Chapter 7 of the Independent Assurance Program Manual

The State calibrates the stabilometers and nuclear gauges for their use Scales and compression machines are calibrated by outside vendors

-

All testing equipment whether it is State owned or private laboratory owned is required to have a label indicating the due date for calibration

Quality Control Program

The State uses contractor tests in the acceptance decision on asphalt paving projects that have over 1 0000 tons of mix The State requires Quality Control plans for asphalt projects that use contractor tests in the acceptance decision

The requirements for quality control plans are contained in the publication Quality Control Quality Assurance Manual dated June 2002

The Contractor is required to submit QC plans to the State for approval

There cu1Tently are no requirements for the contractor to update hi s quality control program when technicians are rece11ified or the laboratories are requalified

Independent Assurance Program - - middot i

The Independent Assurance Progran is p1tainf i th publicat ion Independent Assurance Program Manual dated January 200 1s

The Flexible Pavement Materials section in METS manages the IA program The Independent Assurance testers are qualified by METS The Independent Assurance testers operate out of the District offices

The Independent Assurance Program includes the reference sample program collaborative testing and witnessing of test procedures

The States Independent Assurance testing is based on the system approach The IA program covers contractor consultant State and local personnel All testers are witnessed for the tests that they perform once a year Collaborative testing which is perfonned on fabricated samples are performed once a year on sieve analysis sand equivalent and cleanliness values

In addition to the traditional functions for IA the IA testers in the Districts are used to qualify testers and laboratories

I I

In District 6 it was noted that the Ifa testr V-GPVyrin 90 testers and 25 laboratories and completed 2698 written and practicl testsauiihg 2003

In the system approach annual reports are a critical aspect of monitoring the overall effectiveness of the IA program

Hot Mix Asphalt

The State specifies asphalt binder using the AR grading system and specifies asphalt mix design using the California kneading compactor

The State uses QCQA procedures on projects which have over 1 0000 tons of mix On QCQA projects the contactor is required to perform a mix design and it is verified by the State The asphalt content for mixdesii is cl_et1iJ1ind on stability and voids The verification process i s performed in the aistricflttboiatories In addition the mix properties are also verified by the State on mix from initial production A density test strip is also constructed during initial production

The total quantity of material placed on a project is considered a lot There are no limits on the size of lots Contractor quality control tests are taken every 500 tonnes The State performs the testing at a rate of 1 test per 10 contractor tests on samples taken independently of the contractor s quality control tests Verification is based on the t test and is performed by a program called AC Pay A dispute resolution system is in place If the contractor and State cannot resolve the differences a third party is used

Pay is based on asphalt content gradation mix moisture and compaction Gradations are based on cold feeds asphalt content is determined from the ignition oven A percentshywithin-limits type specification is used to determine a composite pay factor The validated contractors test results are used to determine pay

Mat density testing is performed with nuclear density gauges All gauges that are used for acceptance must be COlTelated with middottest re-i 1 middotI

middot I hmiddot l bull _ i bull The State currently does not obsene c011racto(trig9r examme contractor source documentation There cunently is no requirememufor the contractor to retain source documentation

It was noted that some test reporis that were being submitted by the contractors do not indicate the person that was testing the material

Portland Cement Concrete

Aggregate quality testing

Quality testing for concrete aggregate include LA abrasion cleanliness soundness freeze-thaw testing Alkali-Silica Reactivity and sand equivalent

Mix Design

Mix designs are developed and submitted by the cotractor Trial batches are performed by the contractor and must be witnessed by State personnel The State currently requires that fly ash be used in all concrete due tcconce-1rts over alkali silica reactivity

I

Structural Concrete

Acceptance is based on compressive strength air content yield and penetration ball performed by the State The smoothness of the decks is determined with a bridge profilagra ph

Paving concrete

Acceptance is based on beams air content yield penetration ball a11d thickness 1 I I

performed by the State Thickness is muret -Y rrs taken and tested by the State Ride is also tested using the California profilagraph_ -The profilagraph testing is performed by the contractor in the presence ofthe-ngineer

Structural fill density is placed in 8inch l ifts Density is based on 95 of modified proctor Density in the field is detennined by nuclear gages

Aggregate

Aggregates that are used for bases and sub bases are tested for gradation R-value sand equivalent and durability index

Manufactured Materials

The State approves a number of products on a qualified products list that is published on the State s web site

Computer Programs - _1

1 _ U middot

The State uses a computer prograni ACmiddot f yayen 1contractor s test results _c

Findings and Recommendations

Overall the States Quality Assurance program meets the requirements of 23 CFRc637

2 The start of the RSP program is good I t strengthens the laboratory accreditation program as a means to show the quality of laboratories test reports

3 The DME meetings are good 4 The QCQA program is one of the few in the country that uses an appropriate

statistical process to verify contractor test results However several improvements to the program should be examined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes

j r

5

6

7

8

9

I bull bull_ bull

b The State should consider revising the ratio of State tests used for verification to approximately 1 in 5

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation

d The procedure for verifying contractor test results needs to be revised to ensure that AC pay is run after each State verification test is run

e The specification should be revised to ensure that the contractor retains records for 3 years

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester certificates

g The State should consider running gradations on the aggregate obtained from the ignition oven

h The State should considet developing training for the QCQA specification

i Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts

J middot In the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt c01ite11t in the mix

The State should be commended for the development of the tester certification program a The Districts that have been reviewed have good tracking systems for

ce11ified testers The State should be commended for the work that has been done to develop a statewide database however it needs to be completed and implemented

b The State should be commended for the training that was developed for tester certification in Distrtct 6 and are encouraged to develop more

c The structural testers need to be instructed on the requirements for certification

d Procedures need to be revised to ensure proper distribution oflists of certified testers and proper filing in project records

e Consideration should be given to increase the resources in District 6 IA f The State should develop a frequency for retesting the written portion of

the certification program g The State should expand policy and procedures for the overall certification

program to cover decrtificat1on Rrodi res l h ES should revie t1e IAif_iioi1 program performed in the _ 1

d1stncts to promote umfonmty i

The State needs to develop a procedure to have the Central materials laboratory to review lest procedures and equipment in District laboratories Test reports submitted by outside laboratories need to indicate the person testing the material We have concerns that the review of construction projects by district local assistance may not be performed on a consistent basis The State should add some additional collaborative testing to the IA program

-

All testing equipment whether it is State owned or private laboratory owned is required to have a label indicating the due date for calibration

Quality Control Program

The State uses contractor tests in the acceptance decision on asphalt paving projects that have over 1 0000 tons of mix The State requires Quality Control plans for asphalt projects that use contractor tests in the acceptance decision

The requirements for quality control plans are contained in the publication Quality Control Quality Assurance Manual dated June 2002

The Contractor is required to submit QC plans to the State for approval

There cu1Tently are no requirements for the contractor to update hi s quality control program when technicians are rece11ified or the laboratories are requalified

Independent Assurance Program - - middot i

The Independent Assurance Progran is p1tainf i th publicat ion Independent Assurance Program Manual dated January 200 1s

The Flexible Pavement Materials section in METS manages the IA program The Independent Assurance testers are qualified by METS The Independent Assurance testers operate out of the District offices

The Independent Assurance Program includes the reference sample program collaborative testing and witnessing of test procedures

The States Independent Assurance testing is based on the system approach The IA program covers contractor consultant State and local personnel All testers are witnessed for the tests that they perform once a year Collaborative testing which is perfonned on fabricated samples are performed once a year on sieve analysis sand equivalent and cleanliness values

In addition to the traditional functions for IA the IA testers in the Districts are used to qualify testers and laboratories

I I

In District 6 it was noted that the Ifa testr V-GPVyrin 90 testers and 25 laboratories and completed 2698 written and practicl testsauiihg 2003

In the system approach annual reports are a critical aspect of monitoring the overall effectiveness of the IA program

Hot Mix Asphalt

The State specifies asphalt binder using the AR grading system and specifies asphalt mix design using the California kneading compactor

The State uses QCQA procedures on projects which have over 1 0000 tons of mix On QCQA projects the contactor is required to perform a mix design and it is verified by the State The asphalt content for mixdesii is cl_et1iJ1ind on stability and voids The verification process i s performed in the aistricflttboiatories In addition the mix properties are also verified by the State on mix from initial production A density test strip is also constructed during initial production

The total quantity of material placed on a project is considered a lot There are no limits on the size of lots Contractor quality control tests are taken every 500 tonnes The State performs the testing at a rate of 1 test per 10 contractor tests on samples taken independently of the contractor s quality control tests Verification is based on the t test and is performed by a program called AC Pay A dispute resolution system is in place If the contractor and State cannot resolve the differences a third party is used

Pay is based on asphalt content gradation mix moisture and compaction Gradations are based on cold feeds asphalt content is determined from the ignition oven A percentshywithin-limits type specification is used to determine a composite pay factor The validated contractors test results are used to determine pay

Mat density testing is performed with nuclear density gauges All gauges that are used for acceptance must be COlTelated with middottest re-i 1 middotI

middot I hmiddot l bull _ i bull The State currently does not obsene c011racto(trig9r examme contractor source documentation There cunently is no requirememufor the contractor to retain source documentation

It was noted that some test reporis that were being submitted by the contractors do not indicate the person that was testing the material

Portland Cement Concrete

Aggregate quality testing

Quality testing for concrete aggregate include LA abrasion cleanliness soundness freeze-thaw testing Alkali-Silica Reactivity and sand equivalent

Mix Design

Mix designs are developed and submitted by the cotractor Trial batches are performed by the contractor and must be witnessed by State personnel The State currently requires that fly ash be used in all concrete due tcconce-1rts over alkali silica reactivity

I

Structural Concrete

Acceptance is based on compressive strength air content yield and penetration ball performed by the State The smoothness of the decks is determined with a bridge profilagra ph

Paving concrete

Acceptance is based on beams air content yield penetration ball a11d thickness 1 I I

performed by the State Thickness is muret -Y rrs taken and tested by the State Ride is also tested using the California profilagraph_ -The profilagraph testing is performed by the contractor in the presence ofthe-ngineer

Structural fill density is placed in 8inch l ifts Density is based on 95 of modified proctor Density in the field is detennined by nuclear gages

Aggregate

Aggregates that are used for bases and sub bases are tested for gradation R-value sand equivalent and durability index

Manufactured Materials

The State approves a number of products on a qualified products list that is published on the State s web site

Computer Programs - _1

1 _ U middot

The State uses a computer prograni ACmiddot f yayen 1contractor s test results _c

Findings and Recommendations

Overall the States Quality Assurance program meets the requirements of 23 CFRc637

2 The start of the RSP program is good I t strengthens the laboratory accreditation program as a means to show the quality of laboratories test reports

3 The DME meetings are good 4 The QCQA program is one of the few in the country that uses an appropriate

statistical process to verify contractor test results However several improvements to the program should be examined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes

j r

5

6

7

8

9

I bull bull_ bull

b The State should consider revising the ratio of State tests used for verification to approximately 1 in 5

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation

d The procedure for verifying contractor test results needs to be revised to ensure that AC pay is run after each State verification test is run

e The specification should be revised to ensure that the contractor retains records for 3 years

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester certificates

g The State should consider running gradations on the aggregate obtained from the ignition oven

h The State should considet developing training for the QCQA specification

i Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts

J middot In the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt c01ite11t in the mix

The State should be commended for the development of the tester certification program a The Districts that have been reviewed have good tracking systems for

ce11ified testers The State should be commended for the work that has been done to develop a statewide database however it needs to be completed and implemented

b The State should be commended for the training that was developed for tester certification in Distrtct 6 and are encouraged to develop more

c The structural testers need to be instructed on the requirements for certification

d Procedures need to be revised to ensure proper distribution oflists of certified testers and proper filing in project records

e Consideration should be given to increase the resources in District 6 IA f The State should develop a frequency for retesting the written portion of

the certification program g The State should expand policy and procedures for the overall certification

program to cover decrtificat1on Rrodi res l h ES should revie t1e IAif_iioi1 program performed in the _ 1

d1stncts to promote umfonmty i

The State needs to develop a procedure to have the Central materials laboratory to review lest procedures and equipment in District laboratories Test reports submitted by outside laboratories need to indicate the person testing the material We have concerns that the review of construction projects by district local assistance may not be performed on a consistent basis The State should add some additional collaborative testing to the IA program

The State specifies asphalt binder using the AR grading system and specifies asphalt mix design using the California kneading compactor

The State uses QCQA procedures on projects which have over 1 0000 tons of mix On QCQA projects the contactor is required to perform a mix design and it is verified by the State The asphalt content for mixdesii is cl_et1iJ1ind on stability and voids The verification process i s performed in the aistricflttboiatories In addition the mix properties are also verified by the State on mix from initial production A density test strip is also constructed during initial production

The total quantity of material placed on a project is considered a lot There are no limits on the size of lots Contractor quality control tests are taken every 500 tonnes The State performs the testing at a rate of 1 test per 10 contractor tests on samples taken independently of the contractor s quality control tests Verification is based on the t test and is performed by a program called AC Pay A dispute resolution system is in place If the contractor and State cannot resolve the differences a third party is used

Pay is based on asphalt content gradation mix moisture and compaction Gradations are based on cold feeds asphalt content is determined from the ignition oven A percentshywithin-limits type specification is used to determine a composite pay factor The validated contractors test results are used to determine pay

Mat density testing is performed with nuclear density gauges All gauges that are used for acceptance must be COlTelated with middottest re-i 1 middotI

middot I hmiddot l bull _ i bull The State currently does not obsene c011racto(trig9r examme contractor source documentation There cunently is no requirememufor the contractor to retain source documentation

It was noted that some test reporis that were being submitted by the contractors do not indicate the person that was testing the material

Portland Cement Concrete

Aggregate quality testing

Quality testing for concrete aggregate include LA abrasion cleanliness soundness freeze-thaw testing Alkali-Silica Reactivity and sand equivalent

Mix Design

Mix designs are developed and submitted by the cotractor Trial batches are performed by the contractor and must be witnessed by State personnel The State currently requires that fly ash be used in all concrete due tcconce-1rts over alkali silica reactivity

I

Structural Concrete

Acceptance is based on compressive strength air content yield and penetration ball performed by the State The smoothness of the decks is determined with a bridge profilagra ph

Paving concrete

Acceptance is based on beams air content yield penetration ball a11d thickness 1 I I

performed by the State Thickness is muret -Y rrs taken and tested by the State Ride is also tested using the California profilagraph_ -The profilagraph testing is performed by the contractor in the presence ofthe-ngineer

Structural fill density is placed in 8inch l ifts Density is based on 95 of modified proctor Density in the field is detennined by nuclear gages

Aggregate

Aggregates that are used for bases and sub bases are tested for gradation R-value sand equivalent and durability index

Manufactured Materials

The State approves a number of products on a qualified products list that is published on the State s web site

Computer Programs - _1

1 _ U middot

The State uses a computer prograni ACmiddot f yayen 1contractor s test results _c

Findings and Recommendations

Overall the States Quality Assurance program meets the requirements of 23 CFRc637

2 The start of the RSP program is good I t strengthens the laboratory accreditation program as a means to show the quality of laboratories test reports

3 The DME meetings are good 4 The QCQA program is one of the few in the country that uses an appropriate

statistical process to verify contractor test results However several improvements to the program should be examined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes

j r

5

6

7

8

9

I bull bull_ bull

b The State should consider revising the ratio of State tests used for verification to approximately 1 in 5

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation

d The procedure for verifying contractor test results needs to be revised to ensure that AC pay is run after each State verification test is run

e The specification should be revised to ensure that the contractor retains records for 3 years

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester certificates

g The State should consider running gradations on the aggregate obtained from the ignition oven

h The State should considet developing training for the QCQA specification

i Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts

J middot In the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt c01ite11t in the mix

The State should be commended for the development of the tester certification program a The Districts that have been reviewed have good tracking systems for

ce11ified testers The State should be commended for the work that has been done to develop a statewide database however it needs to be completed and implemented

b The State should be commended for the training that was developed for tester certification in Distrtct 6 and are encouraged to develop more

c The structural testers need to be instructed on the requirements for certification

d Procedures need to be revised to ensure proper distribution oflists of certified testers and proper filing in project records

e Consideration should be given to increase the resources in District 6 IA f The State should develop a frequency for retesting the written portion of

the certification program g The State should expand policy and procedures for the overall certification

program to cover decrtificat1on Rrodi res l h ES should revie t1e IAif_iioi1 program performed in the _ 1

d1stncts to promote umfonmty i

The State needs to develop a procedure to have the Central materials laboratory to review lest procedures and equipment in District laboratories Test reports submitted by outside laboratories need to indicate the person testing the material We have concerns that the review of construction projects by district local assistance may not be performed on a consistent basis The State should add some additional collaborative testing to the IA program

I

Structural Concrete

Acceptance is based on compressive strength air content yield and penetration ball performed by the State The smoothness of the decks is determined with a bridge profilagra ph

Paving concrete

Acceptance is based on beams air content yield penetration ball a11d thickness 1 I I

performed by the State Thickness is muret -Y rrs taken and tested by the State Ride is also tested using the California profilagraph_ -The profilagraph testing is performed by the contractor in the presence ofthe-ngineer

Structural fill density is placed in 8inch l ifts Density is based on 95 of modified proctor Density in the field is detennined by nuclear gages

Aggregate

Aggregates that are used for bases and sub bases are tested for gradation R-value sand equivalent and durability index

Manufactured Materials

The State approves a number of products on a qualified products list that is published on the State s web site

Computer Programs - _1

1 _ U middot

The State uses a computer prograni ACmiddot f yayen 1contractor s test results _c

Findings and Recommendations

Overall the States Quality Assurance program meets the requirements of 23 CFRc637

2 The start of the RSP program is good I t strengthens the laboratory accreditation program as a means to show the quality of laboratories test reports

3 The DME meetings are good 4 The QCQA program is one of the few in the country that uses an appropriate

statistical process to verify contractor test results However several improvements to the program should be examined a Consideration should be given to setting the maximum size of a lot to 20

contractor test results at least for verification purposes

j r

5

6

7

8

9

I bull bull_ bull

b The State should consider revising the ratio of State tests used for verification to approximately 1 in 5

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation

d The procedure for verifying contractor test results needs to be revised to ensure that AC pay is run after each State verification test is run

e The specification should be revised to ensure that the contractor retains records for 3 years

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester certificates

g The State should consider running gradations on the aggregate obtained from the ignition oven

h The State should considet developing training for the QCQA specification

i Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts

J middot In the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt c01ite11t in the mix

The State should be commended for the development of the tester certification program a The Districts that have been reviewed have good tracking systems for

ce11ified testers The State should be commended for the work that has been done to develop a statewide database however it needs to be completed and implemented

b The State should be commended for the training that was developed for tester certification in Distrtct 6 and are encouraged to develop more

c The structural testers need to be instructed on the requirements for certification

d Procedures need to be revised to ensure proper distribution oflists of certified testers and proper filing in project records

e Consideration should be given to increase the resources in District 6 IA f The State should develop a frequency for retesting the written portion of

the certification program g The State should expand policy and procedures for the overall certification

program to cover decrtificat1on Rrodi res l h ES should revie t1e IAif_iioi1 program performed in the _ 1

d1stncts to promote umfonmty i

The State needs to develop a procedure to have the Central materials laboratory to review lest procedures and equipment in District laboratories Test reports submitted by outside laboratories need to indicate the person testing the material We have concerns that the review of construction projects by district local assistance may not be performed on a consistent basis The State should add some additional collaborative testing to the IA program

5

6

7

8

9

I bull bull_ bull

b The State should consider revising the ratio of State tests used for verification to approximately 1 in 5

c A State procedure should be developed to direct State construction personnel to monitor contractor QC testing procedures and documentation

d The procedure for verifying contractor test results needs to be revised to ensure that AC pay is run after each State verification test is run

e The specification should be revised to ensure that the contractor retains records for 3 years

f The specification should be revised to direct the contractor to amend the QC plan to incorporate updated tester certificates

g The State should consider running gradations on the aggregate obtained from the ignition oven

h The State should considet developing training for the QCQA specification

i Consideration should be given to METS providing increased oversight and training of the District QCQA Coordinators to provide a uniform application of the specification between Districts

J middot In the long term the State should move toward using volumetrics for asphalt acceptance replacing gradation This will address concerns with contractor adjustments to asphalt c01ite11t in the mix

The State should be commended for the development of the tester certification program a The Districts that have been reviewed have good tracking systems for

ce11ified testers The State should be commended for the work that has been done to develop a statewide database however it needs to be completed and implemented

b The State should be commended for the training that was developed for tester certification in Distrtct 6 and are encouraged to develop more

c The structural testers need to be instructed on the requirements for certification

d Procedures need to be revised to ensure proper distribution oflists of certified testers and proper filing in project records

e Consideration should be given to increase the resources in District 6 IA f The State should develop a frequency for retesting the written portion of

the certification program g The State should expand policy and procedures for the overall certification

program to cover decrtificat1on Rrodi res l h ES should revie t1e IAif_iioi1 program performed in the _ 1

d1stncts to promote umfonmty i

The State needs to develop a procedure to have the Central materials laboratory to review lest procedures and equipment in District laboratories Test reports submitted by outside laboratories need to indicate the person testing the material We have concerns that the review of construction projects by district local assistance may not be performed on a consistent basis The State should add some additional collaborative testing to the IA program

$t Alt OF CALIFORNIA oEPJtiRTrwENT or=TRAH5-JlOrtlifl TtOH

Master List of Caltrans Qualified Testers TL-0100-T tEVt0U)1) itD SlnC B lndont As11rancc-ItMte Hammor Ten) Cni)pmiuDavtd F1r-doCi ltOrllcc (goQ) 38619 Fax (909)383- 335

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Appendix C - Master List of Caltrans Qualified Testers

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04-27- 2007 - Paqo 1 er 13

ST ATE OF CALJO RN PA OtPARTMDH D F TlltANSPORT A TIOr-t

Master list of Callrans Qualified laboratories Appendix D - Master List of Caltrans Qualified Laboratories Apri27 2007

TL0108L IACI l)JiO Orricl DS tnde-p11ndcni As11111i1nCc (IA) l ferry Ch11Pm31n )rd 0lvld Fudcn Phono (909 3MbullbullUHi Fox (909) 363-lt533S

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Malnuining CaltYn Quailbullticaillon of laiboriori lt is tho abonltory1 s rosponzibility to mainta n thoir Ciltrins Labor3tory Quii(citon sows on anriuJi bosis by upditina tho 1nforrnaion on record w11 li i i ii l i i I iitho Distriit I A monto n lg soltlSfG)Clory RS P parlioipG)ti on nd schcdu[tng G) ye 1riy lobora Qy 1np eic L1 on by th a l A stltf Up on succ ossfu[ comPlcti on o i ii l i 1

l i ii -the nouilroviw the IA stoff will rrJisuo 1Cattrgtris QuJlircd Jlhorc1t0Jy lrsrioction Rapeirl Form TLiOil3 votd (or ono yoar

- Coocroto PrG-Cosl M1nulcrumg Plnl

Pago 1 ol 1

ST ATE OF CALJO RN PA OtPARTMDH D F TlltANSPORT A TIOr-t

Master list of Callrans Qualified laboratories Appendix D - Master List of Caltrans Qualified Laboratories Apri27 2007

TL0108L IACI l)JiO Orricl DS tnde-p11ndcni As11111i1nCc (IA) l ferry Ch11Pm31n )rd 0lvld Fudcn Phono (909 3MbullbullUHi Fox (909) 363-lt533S

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Malnuining CaltYn Quailbullticaillon of laiboriori lt is tho abonltory1 s rosponzibility to mainta n thoir Ciltrins Labor3tory Quii(citon sows on anriuJi bosis by upditina tho 1nforrnaion on record w11 li i i ii l i i I iitho Distriit I A monto n lg soltlSfG)Clory RS P parlioipG)ti on nd schcdu[tng G) ye 1riy lobora Qy 1np eic L1 on by th a l A stltf Up on succ ossfu[ comPlcti on o i ii l i 1

l i ii -the nouilroviw the IA stoff will rrJisuo 1Cattrgtris QuJlircd Jlhorc1t0Jy lrsrioction Rapeirl Form TLiOil3 votd (or ono yoar

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----- - - i

Appendix E - Certificate of Proficiency TL-01 1 1 (Rv 07-00)

CALIFORNIA DEPARTMENT OF TRANSPORTATION

Presents this

I CERTIFICATE OF PROFICIENCY I

to

Robert Shipman

Kleinfelder-Sacramento

wha is qualffied to perfonn the following tests 216 Relative Compaction Soils amp Aggregates 23 1 Relative Compaction of Soils amp Aggregates (Nucle0r) 226 Determination of Moisture Content by Oven Drying 504 AJf Contettt_Freshly J1lxed CniretemiddotPSSI- middot middot middot -518 Density of Fresh Concrete 511 Ball Penetration in Fresh Portland Cement Concrete 519 Sampling Freshly Mixed Concrete

556 540 543 Air Content of Freshly Mixed Concrete -Volumetric Method

PCC Cylinder Fabrication

Slump of Fresh Portland Cement Concrete 557 Temperature of Freshley Mixed Portland Cement Concrete 375 In-Place Density amp Relative Compaction AC Pavement

I bull -

I

I I EXPIRES

January 19 2008 January 19 2008 January 19 2008

middot Jammcymiddot l9 2_0q8 _ January 19 1 2008 January 19 2008 I January 19 2008

I

I January 19 2008 I January 19 2008 January 19 2008 January 19 2008 J1muary 19 2008

_ TL-Old l Issuede 19 January 2007

bull t [A Phone No (209) 481 -5248

Certified IndependentAssurance [A Certificate No 054

note This certificate is valid as long il3 lhe Accepance Tester complies with applicable requirements in Ca trans I nde pend en AJs11rtn1ce Program M auual

- ----- __)

Appendix E - Certifica te of Proficiency (Cont) 1

CALIFORNIA DEPARTMENT O F TRANSPORTATION

CERTIFICATE middotOF PROFIC IENCY

for an ACCEPTANCE TESTER

This certifies that

Richard Ashbaugh 7Pnn1 name)

Fugro West Finl agency)

is qualified to pert orm the following tests Cert Recert Cert Recert

Cal if Test Method Date_ middot Calif Test Method Date [] 1 OS-Calculations 706 707 [] 504-Air Content(PCC) 407 4108

[j 1 25-Sampling (AC Only) 407 4108 5 1 8-Unit Weight(PCC) 407 4108

I] 201 -Sampling 706 707 I] 521 -Comp ressive Strength 4107 408

202-Sieve Analysis 706 707 533-Ball Panetration (PCC) 407 408

407

[] 2 1 7-Sand Equivalent 7106 707 l] 540-Concrete Specimens 407 408

l 21 6Re lative Compaction(Soils) 407 4108 [] 539- Sampling 4108

[] 226degMoisture Content 407 408 523 - Beam Breaking 407 408

227-C leanness Value 407 408 Add CTM 524 Apr 07

D 205-Crushed Particle I] 23 1 -Relative Compaction(Soil) 4107 408

middot 229middot Durability Al l test methods expi re 1 year from date shown 375-Relailve Compaction (AC) 407 408

JOSEPH PETERSON District 03 Materials Engineer

1 6 80

Certified Independent Assu rance AST Certificate No District 3 Marysvi l le CA

Note Th is certificate is valid as long as the Acceptence

D lssue Tester complies with app r icable requirements in Caltrans Qua l i ty Assurance Programs Manual

Appendix F - Certificate of Proficiency for Structures Construction

C E bull i f i c A T E o f P R o f i c i E N c y

F o n S T R U C T U R E S C

TT

ll

o N S T R U C T i o N

Th is CERTi fiEs ThAT MA CRETE is ouAli fi Ed TO pERfoRM ThE

Fo owiNG CTM 1s

CAli foRNiA TEST METhod CERTi ficATE DATE RECERT DA

FEb 2007 FEb 2008 bull O4Ai R CONTENT FEb 2007 FEb 2008 bull 1 8DENSiT of fRESlt

CoMCRETE FEb 2007 a ffJBAll PENETRATiON FE b 2007 1- H9Makod of SAMpli Nq

f RESlt CONCRETE fEb 2007 4OMAkiNG HANdliNG

SToRiNG SpEciMENS FEb 2007 FEb 2008 bull 41 GROUT MiXTURES

Flow CoNE FEb 2007 FEb 2008 47 0pERATioN of BRidqE

PRofi LoqRAplt FEb 2007 FEb 2008 bull 6SluMp of PCC fEb 2007 FEb 2008 bull 7TEMpERATURE of FREslt

PCC

FEB 2 1 2007

Date Issued CCrcified Independent Assurance Sampler and Tester

IAST CCrtificate No

File Copy in Category 39 Materials Testing

Certification of Employees Note This

Certificate is valid as long as the Acceptance

Tester complis with applicable requirements

in Caltrans IA Program anual

middot middot middot

This Certifies that

David Clark

Is qualified to perform the follo wing tests

California Test Method Certificate Date Re-Cert Date A 504- Air Content PCC May 2006 May 2007

Steve Harvey 5 1 8-Density of FreshConcrete May 2006 May 2007

Senior Bridge Engineer

533-Ball Penetrat ion PCC Maya2006 May 2007 middot middot

- middot -539- Method of Sampling Fresh Concrete May 2006 Mav 2007

540-Making Handling Storing Specimens May 2006 Mav 2007

54ila-Grout Mixtures (Flow Cone) Maya2006 May 2007 Certified Independent Assurance Sampler

547-0peration of Bridge Profilograph May 2006 Maypound007 and Tester

556- Slump of Pee May 2006 May 2007 Date Issued FEB 2 4 2006 557- Temperature of Fresh PCC Maya2006 Mav 2007 middot

IAST Certificate 083

All test Methods expire 1 year from date shown F i l e Copy in Category 3 9 Materials Testing Certification of Employees

Noe This certificate is valid as long as the Acceptance tester complies with the applicable requirements in Caltrans Independent Assurance Program Manual

Appendix F - Certificate of Proficiency for Structures Construction (Cont)

Appendix G - Rating Scale

Rating would be determined as follows

0-2 points

3A points

5-6 points

7-8 point

9- 1 0 point

unsatisfactory a rating of 0 means the program is not active in this area A rating of 2 would mean minimal some activity in one of the three items

needs improvement a rat ing of3-4 would mean some activity in two of the three items

satisfactory a rating of 5-6 would mean the program is meeting the expectation of an average service

highly satisfactory a rating of 7-8 would mean the program is providing very good service to the department

excellent a rating of9- 1 0 would mean that the program is extremely committed to the service component mission of the department

bull I middotbull J bull

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

Appendix E - Certifica te of Proficiency (Cont) 1

CALIFORNIA DEPARTMENT O F TRANSPORTATION

CERTIFICATE middotOF PROFIC IENCY

for an ACCEPTANCE TESTER

This certifies that

Richard Ashbaugh 7Pnn1 name)

Fugro West Finl agency)

is qualified to pert orm the following tests Cert Recert Cert Recert

Cal if Test Method Date_ middot Calif Test Method Date [] 1 OS-Calculations 706 707 [] 504-Air Content(PCC) 407 4108

[j 1 25-Sampling (AC Only) 407 4108 5 1 8-Unit Weight(PCC) 407 4108

I] 201 -Sampling 706 707 I] 521 -Comp ressive Strength 4107 408

202-Sieve Analysis 706 707 533-Ball Panetration (PCC) 407 408

407

[] 2 1 7-Sand Equivalent 7106 707 l] 540-Concrete Specimens 407 408

l 21 6Re lative Compaction(Soils) 407 4108 [] 539- Sampling 4108

[] 226degMoisture Content 407 408 523 - Beam Breaking 407 408

227-C leanness Value 407 408 Add CTM 524 Apr 07

D 205-Crushed Particle I] 23 1 -Relative Compaction(Soil) 4107 408

middot 229middot Durability Al l test methods expi re 1 year from date shown 375-Relailve Compaction (AC) 407 408

JOSEPH PETERSON District 03 Materials Engineer

1 6 80

Certified Independent Assu rance AST Certificate No District 3 Marysvi l le CA

Note Th is certificate is valid as long as the Acceptence

D lssue Tester complies with app r icable requirements in Caltrans Qua l i ty Assurance Programs Manual

Appendix F - Certificate of Proficiency for Structures Construction

C E bull i f i c A T E o f P R o f i c i E N c y

F o n S T R U C T U R E S C

TT

ll

o N S T R U C T i o N

Th is CERTi fiEs ThAT MA CRETE is ouAli fi Ed TO pERfoRM ThE

Fo owiNG CTM 1s

CAli foRNiA TEST METhod CERTi ficATE DATE RECERT DA

FEb 2007 FEb 2008 bull O4Ai R CONTENT FEb 2007 FEb 2008 bull 1 8DENSiT of fRESlt

CoMCRETE FEb 2007 a ffJBAll PENETRATiON FE b 2007 1- H9Makod of SAMpli Nq

f RESlt CONCRETE fEb 2007 4OMAkiNG HANdliNG

SToRiNG SpEciMENS FEb 2007 FEb 2008 bull 41 GROUT MiXTURES

Flow CoNE FEb 2007 FEb 2008 47 0pERATioN of BRidqE

PRofi LoqRAplt FEb 2007 FEb 2008 bull 6SluMp of PCC fEb 2007 FEb 2008 bull 7TEMpERATURE of FREslt

PCC

FEB 2 1 2007

Date Issued CCrcified Independent Assurance Sampler and Tester

IAST CCrtificate No

File Copy in Category 39 Materials Testing

Certification of Employees Note This

Certificate is valid as long as the Acceptance

Tester complis with applicable requirements

in Caltrans IA Program anual

middot middot middot

This Certifies that

David Clark

Is qualified to perform the follo wing tests

California Test Method Certificate Date Re-Cert Date A 504- Air Content PCC May 2006 May 2007

Steve Harvey 5 1 8-Density of FreshConcrete May 2006 May 2007

Senior Bridge Engineer

533-Ball Penetrat ion PCC Maya2006 May 2007 middot middot

- middot -539- Method of Sampling Fresh Concrete May 2006 Mav 2007

540-Making Handling Storing Specimens May 2006 Mav 2007

54ila-Grout Mixtures (Flow Cone) Maya2006 May 2007 Certified Independent Assurance Sampler

547-0peration of Bridge Profilograph May 2006 Maypound007 and Tester

556- Slump of Pee May 2006 May 2007 Date Issued FEB 2 4 2006 557- Temperature of Fresh PCC Maya2006 Mav 2007 middot

IAST Certificate 083

All test Methods expire 1 year from date shown F i l e Copy in Category 3 9 Materials Testing Certification of Employees

Noe This certificate is valid as long as the Acceptance tester complies with the applicable requirements in Caltrans Independent Assurance Program Manual

Appendix F - Certificate of Proficiency for Structures Construction (Cont)

Appendix G - Rating Scale

Rating would be determined as follows

0-2 points

3A points

5-6 points

7-8 point

9- 1 0 point

unsatisfactory a rating of 0 means the program is not active in this area A rating of 2 would mean minimal some activity in one of the three items

needs improvement a rat ing of3-4 would mean some activity in two of the three items

satisfactory a rating of 5-6 would mean the program is meeting the expectation of an average service

highly satisfactory a rating of 7-8 would mean the program is providing very good service to the department

excellent a rating of9- 1 0 would mean that the program is extremely committed to the service component mission of the department

bull I middotbull J bull

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

Appendix F - Certificate of Proficiency for Structures Construction

C E bull i f i c A T E o f P R o f i c i E N c y

F o n S T R U C T U R E S C

TT

ll

o N S T R U C T i o N

Th is CERTi fiEs ThAT MA CRETE is ouAli fi Ed TO pERfoRM ThE

Fo owiNG CTM 1s

CAli foRNiA TEST METhod CERTi ficATE DATE RECERT DA

FEb 2007 FEb 2008 bull O4Ai R CONTENT FEb 2007 FEb 2008 bull 1 8DENSiT of fRESlt

CoMCRETE FEb 2007 a ffJBAll PENETRATiON FE b 2007 1- H9Makod of SAMpli Nq

f RESlt CONCRETE fEb 2007 4OMAkiNG HANdliNG

SToRiNG SpEciMENS FEb 2007 FEb 2008 bull 41 GROUT MiXTURES

Flow CoNE FEb 2007 FEb 2008 47 0pERATioN of BRidqE

PRofi LoqRAplt FEb 2007 FEb 2008 bull 6SluMp of PCC fEb 2007 FEb 2008 bull 7TEMpERATURE of FREslt

PCC

FEB 2 1 2007

Date Issued CCrcified Independent Assurance Sampler and Tester

IAST CCrtificate No

File Copy in Category 39 Materials Testing

Certification of Employees Note This

Certificate is valid as long as the Acceptance

Tester complis with applicable requirements

in Caltrans IA Program anual

middot middot middot

This Certifies that

David Clark

Is qualified to perform the follo wing tests

California Test Method Certificate Date Re-Cert Date A 504- Air Content PCC May 2006 May 2007

Steve Harvey 5 1 8-Density of FreshConcrete May 2006 May 2007

Senior Bridge Engineer

533-Ball Penetrat ion PCC Maya2006 May 2007 middot middot

- middot -539- Method of Sampling Fresh Concrete May 2006 Mav 2007

540-Making Handling Storing Specimens May 2006 Mav 2007

54ila-Grout Mixtures (Flow Cone) Maya2006 May 2007 Certified Independent Assurance Sampler

547-0peration of Bridge Profilograph May 2006 Maypound007 and Tester

556- Slump of Pee May 2006 May 2007 Date Issued FEB 2 4 2006 557- Temperature of Fresh PCC Maya2006 Mav 2007 middot

IAST Certificate 083

All test Methods expire 1 year from date shown F i l e Copy in Category 3 9 Materials Testing Certification of Employees

Noe This certificate is valid as long as the Acceptance tester complies with the applicable requirements in Caltrans Independent Assurance Program Manual

Appendix F - Certificate of Proficiency for Structures Construction (Cont)

Appendix G - Rating Scale

Rating would be determined as follows

0-2 points

3A points

5-6 points

7-8 point

9- 1 0 point

unsatisfactory a rating of 0 means the program is not active in this area A rating of 2 would mean minimal some activity in one of the three items

needs improvement a rat ing of3-4 would mean some activity in two of the three items

satisfactory a rating of 5-6 would mean the program is meeting the expectation of an average service

highly satisfactory a rating of 7-8 would mean the program is providing very good service to the department

excellent a rating of9- 1 0 would mean that the program is extremely committed to the service component mission of the department

bull I middotbull J bull

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

middot middot middot

This Certifies that

David Clark

Is qualified to perform the follo wing tests

California Test Method Certificate Date Re-Cert Date A 504- Air Content PCC May 2006 May 2007

Steve Harvey 5 1 8-Density of FreshConcrete May 2006 May 2007

Senior Bridge Engineer

533-Ball Penetrat ion PCC Maya2006 May 2007 middot middot

- middot -539- Method of Sampling Fresh Concrete May 2006 Mav 2007

540-Making Handling Storing Specimens May 2006 Mav 2007

54ila-Grout Mixtures (Flow Cone) Maya2006 May 2007 Certified Independent Assurance Sampler

547-0peration of Bridge Profilograph May 2006 Maypound007 and Tester

556- Slump of Pee May 2006 May 2007 Date Issued FEB 2 4 2006 557- Temperature of Fresh PCC Maya2006 Mav 2007 middot

IAST Certificate 083

All test Methods expire 1 year from date shown F i l e Copy in Category 3 9 Materials Testing Certification of Employees

Noe This certificate is valid as long as the Acceptance tester complies with the applicable requirements in Caltrans Independent Assurance Program Manual

Appendix F - Certificate of Proficiency for Structures Construction (Cont)

Appendix G - Rating Scale

Rating would be determined as follows

0-2 points

3A points

5-6 points

7-8 point

9- 1 0 point

unsatisfactory a rating of 0 means the program is not active in this area A rating of 2 would mean minimal some activity in one of the three items

needs improvement a rat ing of3-4 would mean some activity in two of the three items

satisfactory a rating of 5-6 would mean the program is meeting the expectation of an average service

highly satisfactory a rating of 7-8 would mean the program is providing very good service to the department

excellent a rating of9- 1 0 would mean that the program is extremely committed to the service component mission of the department

bull I middotbull J bull

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

Appendix G - Rating Scale

Rating would be determined as follows

0-2 points

3A points

5-6 points

7-8 point

9- 1 0 point

unsatisfactory a rating of 0 means the program is not active in this area A rating of 2 would mean minimal some activity in one of the three items

needs improvement a rat ing of3-4 would mean some activity in two of the three items

satisfactory a rating of 5-6 would mean the program is meeting the expectation of an average service

highly satisfactory a rating of 7-8 would mean the program is providing very good service to the department

excellent a rating of9- 1 0 would mean that the program is extremely committed to the service component mission of the department

bull I middotbull J bull

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

2rd Trm riil 1

Appendix H - Practicals New Recertifications and Administered Written Examinations

District 08 Independent Assurance January 01 thrn April 27 2007

Practicals New

n 430

2-llmiddot(iS 8

Pracbcals R1cer1 Tcmiddot rtB 669

1bullintPM 649

211d Timt-ra- 19

Wr t tense ilotiilifuts

11fIITPlIH 2nrJ Tre PIU

Grand Tolas 2111

1756

120 middotmiddot1 IT Sdeg31-r- Pss 0 l3 Trre Pa5 0 31d Tir PIU 13

bull--nm agt5 0 4- TrrPJoss 0 4h lrTI I Pin 2 1

FAILURE$ FAILURoa ILURES ~ bullbullbullbull r i1r Fil 0 2nd li

llt Fal I) 3rd lrne fiilt I) i 41hlH1te-ffl [)

189

20 ZO 3 1 Tirn F1 0

e e 8 d lirn Fll I

4middotmiddot11nmiddoti8 fiill 0 (th limeFll t

Check Total 44 Check Totae 6GS ChecltTotal US 2111 l

Total No of CT Labs Accred

Total No or CountyC ty iL1b1 Accred

Total No of Private Labs Accred

Expired In Proetss

l f) I ) imiddot

Nole Ptactcal ea m refers 10 le1e practecal ea n a rte r Ule init al wrillen e am W tness refers 10 llle annual le i i iere ualiecat on of nu lesterinc[ud n coonOoraleon l ie i ie

Total no or Labs w lsputbull Resolution (YESNO and RevokedSuspended Acred comments

I I D

Total no or Lab w RevokedSuspended Accred

Dipute Resolut on (YESNO and icomments)

0

- -

4 9 70

STATE ROL TE 4 BlPASS

SEGMENTA I PACKAGE 1

Report No Samp le N o Mic No Oate Cast Age

( days) Break PSI

2 2 1 8 2 A 1 2850

22 1 8 2 6 7 2960

4 9 2 2 1 8 2 C 221 82 D

2 20 0 60506 14 14

3490 3370

22 j 82 E

72 llll F 29

29 4460 4290

22183 A 7 3690 2 2 1 8 3 B 7 3770

so 221 83 C 22 1 83 0

556 060506 1 4 1 4

4 3 6 0 4 3 1 0

Z 2 1 1l3 E 29 5030 7 -1 13 F 79 5180 22225 A 2 2n s e

7 7

2S30 7590

5 1 2 2 2 2 5 C 22225 D

272V13 0 60B06 1 4 14

3660

3710 22225 E 2 8 4380 t_S r 28 4 2_50 2 2 3 4 1 A 7 3720

2 2 3 4 2 B 7 3790 2 2 2 4 2 C 1 2 4 1 5 0

5 2 2 2 3 4 2 D 22342 E

5S6 062106 1 2 14

4 1 00 4 1 90

22342 F 1 4 4 1 6 0 2234 2 G 28 4 3 1 0 2 2_34 ] H 28 4270

22343 A 7 3450 U343 B 7 3380

5 223 4 3 C 22343 D

S56 C62 l06 1 4 1 4

4 2 5 0 3980

22343 E 28 4160 22_343 F 28 4 1 20 22379 A 7 3250

54 223 19 B 22379 C

346 0 6 1 906 7

2B 3 1 6 0 3640

n79_D 2_8 4 _8_0 2 2 4 1 01 A 7 2840 2 24 1 1 6 7 2800

55 224 1 l C 2 24 1 1 D

220 0 62706 14 14

3540 3360

2 24 1 1 E 28 3870 224 1 1 f 2$ 3560 22592 A 7 3270 22 5 9 2 B 7 3230

56 2 2 S 9 2 C 2 2 592 D

220 0 7 1 2DG 1 4 14

4380 4 300

22592 E 28 72592 F 78 4 9 1 A 2 2 593 A 7 3290 22593 B 7 3450

Req u i red

Pass Fa i l Ke l ly Ba ll

Pen

__ Spec Pen

Req Micliemp Ite m No

NA NA 2 2 84 1 52

NA

4061 4 0f l

NA

Pas Pffbull

1 7 5 2 83 1 5 1

NA

4061 4061

NA

Pass Pa_s_

4 4 1 4 6

NA NA 1 S 2 8 4 1 5 1

4061

406J Pass Pa_ss

NA

4061 4061

NA

Pass Pc1s_s

l 2 82 1 5 1

roA NA 4 2 5 4 so 163

f-ltA NA l 75 2 89 1 5 7

NA NA 3 2 82 1 5 7

Lociti o n Remirks

Retai n ing Wal l II S Stag e 2 Wll l l

Rou te 2699 P ier Wal Be n t 2

-

Sou n d watl 11 2 CI D H P i l e

Hzmmer lane DC D ec Po u r - S tage l

H i m mer La nlt OC Deck Po u r A Stie l

Sound Wa l l l

Sou n d Wall 11 l bull Foo t ing

Sound w a l l l - Foot ing

NA NA 22 593 C 1 4 44 60 57 5S6 0 1206 3 2 8 0 1 5 1 H mmer Lne O C - PT B lock o u ts J2S93 D 1 4 4 580

2 2 593 E 28 5070 4061 Pass 22593 F 28 493 0 4061 Pass 22974 A 7 26S0 22974 B 7 2760 NA NIA 22974 C l 4

Sou n d Wa l l 11 2 CDH P I i e 34 20 1 5 2 B O 1 4 G 2 72V13 06 1 506 bull Can n o t use 28 day dMa 1 sa mple s unsufflc lent 1 4 2 2974 0 3490

22974 E 2 2 974 F

WIii w a i t for S6 day bre a k to mae a d ete rm i na t i on 28 3450 4D61 Fal l middot 56 5 _90 l0_6 1 Pa_s_s

Appendix I - Log Summary Testing Frequency (example)

5 8

• Structure Bookmarks
• 1. undefined
  2. December 2006
  3. Final work plan approved
  4. January 2007
  5. Conduct site visits interviews etc
  6. April May 2007
  7. May 1 2007
  8. June 1 2007
  9. June 15 2007
  10. Conduct Closeout Conference
  11. July 2 2007
  12. Issue and distribute final signed rep01i
  13. JaonDietz Co structionfMaterials Engr
  14. Nmn
  15. Employor
  16. undefined_2
  17. BrownDennis
  18. lAMEC
  19. AMEC
  20. 0 NAMEC
  21. AMEC_2
  22. AMEC_3
  23. AMEC_4
  24. 0 AMEC
  25. AMEC
  26. AMEC_5
  27. NAMEC
  28. N
  29. fill_12
  30. fill_13
  31. fill_14
  32. fill_15
  33. g
  34. fill_17
  35. Row1
  36. g Row1
  37. fill_20
  38. fill_21
  39. fill_22
  40. 5
  41. fill_24
  42. fill_25
  43. fill_26
  44. fill_27
  45. S
  46. N_2
  47. a
  48. i
  49. 5_2
  50. fill_33
  51. i_2
  52. i_3
  53. i_4
  54. l
  55. fill_38
  56. fill_39
  57. 0
  58. Conner KcviD
  59. AMEC_6
  60. 100
  61. fill_41
  62. fill_42
  63. fill_43
  64. IQI
  65. undefined_3
  66. undefined_4
  67. N_3
  68. a_2
  69. i_5
  70. undefined_5
  71. 01101
  72. undefined_6
  73. undefined_7
  74. undefined_8
  75. 001
  76. undefined_9
  77. undefined_10
  78. 1>12Jl1
  79. ll01
  80. D1vid Errc11
  81. 12l1AMEC
  82. AMEC_2
  83. fill_50
  84. fill_51
  85. fill_52
  86. fill_53
  87. IQI_2
  88. 1
  89. 1211
  90. fill_58
  91. Row1
  92. g007
  93. undefined_11
  94. Undivcrdc Miriu
  95. AMEC_7
  96. 107
  97. undefined_12
  98. fill_61
  99. ll01_2
  100. N_4
  101. i_6
  102. 1_>12Jl1_2
  103. 1m
  104. N Row4
  105. aRow4
  106. 1_Row_2>11Row2
  107. iRow4
  108. iRow4_2
  109. iRow4_3
  110. lRow4
  111. 1211Row2
  112. 1101Row2
  113. 0Row4
  114. 007
  115. undefined_13
  116. Lw1dn1Crdc TOlIIUS
  117. AMEC_8
  118. fill_74
  119. lll
  120. lll_2
  121. Row1_2
  122. undefined_14
  123. Oll
  124. fill_79
  125. fill_80
  126. 11ll
  127. N_5
  128. a_3
  129. i1ZAJ7
  130. undefined_15
  131. 01m
  132. undefined_16
  133. undefined_17
  134. undefined_18
  135. undefined_19
  136. 1IOT
  137. 12QT
  138. 171
  139. bru1iw1 Roush
  140. 1101AMC
  141. 1001Row1
  142. fill_87
  143. lll_3
  144. fill_89
  145. fill_90
  146. fill_417
  147. 1ClJl
  148. undefined_20
  149. W2
  150. W2_2
  151. OllW2
  152. wz
  153. 1201wz
  154. N_6
  155. 1m_2
  156. M1xIJ11nc
  157. 1101Brutoro
  158. Row1_3
  159. lllRow2
  160. Row3
  161. Row7
  162. Row1_4
  163. 1ClJlRow2
  164. undefined_21
  165. W2_3
  166. Row3_2
  167. Row2
  168. OllRow3
  169. undefined_22
  170. undefined_23
  171. undefined_24
  172. Row1_5
  173. 001_2
  174. undefined_25
  175. undefined_26
  176. MilsDn Dallid
  177. 1101DtuOCO
  178. DtuOCO
  179. undefined_27
  180. DtuOCO_2
  181. lllDtuOCO
  182. undefined_28
  183. undefined_29
  184. undefined_30
  185. 1ClJlDtuOCO
  186. undefined_31
  187. undefined_32
  188. Row4
  189. Row3_3
  190. undefined_33
  191. undefined_34
  192. undefined_35
  193. undefined_36
  194. Row2_2
  195. undefined_37
  196. undefined_38
  197. undefined_39
  198. Solo JilDll
  199. 11018ooro
  200. 8ooro
  201. 8ooro_2
  202. lll8ooro
  203. 8ooro_3
  204. 8ooro_4
  205. 8ooro_5
  206. 1ClJl8ooro
  207. 8ooro_6
  208. W28ooro
  209. 0078ooro
  210. 8ooro_7
  211. 8ooro_8
  212. undefined_40
  213. undefined_41
  214. undefined_42
  215. undefined_43
  216. 8ooro_9
  217. a_4
  218. 12QT_2
  219. 171_2
  220. 1ZAJ7
  221. i_7
  222. i_8
  223. i_9
  224. fill_137
  225. 11
  226. 1m_3
  227. 0_2
  228. Dudlcv liric
  229. lvMvJom
  230. undefined_44
  231. Row4_2
  232. lllRow5
  233. Row4_3
  234. undefined_45
  235. undefined_46
  236. undefined_47
  237. Row6
  238. Row5
  239. Row5_2
  240. undefined_48
  241. undefined_49
  242. Row4_4
  243. undefined_50
  244. undefined_51
  245. undefined_52
  246. undefined_53
  247. Lu Kcvi11
  248. Byerly John
  249. ltl1
  250. 1007
  251. 1007_2
  252. undefined_54
  253. undefined_55
  254. undefined_56
  255. W2Row5
  256. 1_2
  257. undefined_57
  258. fill_149
  259. 7
  260. undefined_58
  261. fill_150
  262. 10107
  263. undefined_59
  264. 17107ll07
  265. ll07
  266. undefined_60
  267. fill_152
  268. undefined_61
  269. undefined_62
  270. undefined_63
  271. AasGtct
  272. 1107Bvcrlv John
  273. ltl1Bvcrlv John
  274. 1007Bvcrlv John
  275. 1007Bvcrlv John_2
  276. mBvcrlv John
  277. Bvcrlv John
  278. 1007_3
  279. 1007_4
  280. undefined_64
  281. undefined_65
  282. undefined_66
  283. fill_161
  284. 7
  285. fill_163
  286. fill_164
  287. undefined_67
  288. undefined_68
  289. fill_165
  290. undefined_69
  291. undefined_70
  292. undefined_71
  293. WClj1jL Souuy
  294. Byerly John_2
  295. undefined_72
  296. 1007_5
  297. 101
  298. 1001
  299. 1001_2
  300. 1001_3
  301. 1007_6
  302. 201
  303. 17107201
  304. undefined_73
  305. 201_2
  306. undefined_74
  307. undefined_75
  308. i201
  309. undefined_76
  310. undefined_77
  311. undefined_78
  312. Adado Ere
  313. Gil1Jlnr
  314. fill_171
  315. 1007Row1
  316. 007Row1
  317. 101Row1
  318. undefined_79
  319. undefined_80
  320. 1001_4
  321. 1001_5
  322. 1001_6
  323. fill_176
  324. fill_177
  325. undefined_81
  326. undefined_82
  327. undefined_83
  328. Row8
  329. 12QTRow9
  330. Ah1m Mnlffunl
  331. Cattrms
  332. Cattrms_2
  333. 7>12Jl7
  334. 7>100712Jl7
  335. 7>00712Jl7
  336. undefined_84
  337. undefined_85
  338. 7>12Jl7_2
  339. undefined_86
  340. undefined_87
  341. undefined_88
  342. undefined_89
  343. undefined_90
  344. 7>12Jl7_3
  345. 7>12Jl7_4
  346. undefined_91
  347. undefined_92
  348. undefined_93
  349. undefined_94
  350. 7>12Jl7_5
  351. r07
  352. undefined_95
  353. iRow14
  354. undefined_96
  355. undefined_97
  356. i_10
  357. undefined_98
  358. undefined_99
  359. AJipa1111h Fcydo011
  360. a_5
  361. a_6
  362. 7_a>12Jl7a
  363. 1007a
  364. 007a
  365. 101Row3
  366. Row2_3
  367. Row10
  368. 1001Row3
  369. 1001Row3_2
  370. undefined_100
  371. undefined_101
  372. undefined_102
  373. undefined_103
  374. Row10_2
  375. undefined_104
  376. undefined_105
  377. fill_201
  378. i_11
  379. undefined_106
  380. undefined_107
  381. Ci1tntm
  382. Ci1tntm_2
  383. 7_Ci1tntm>12Jl7Ci1tntm
  384. 1007Ci1tntm
  385. 007Ci1tntm
  386. undefined_108
  387. 101Ci1tntm
  388. Ci1tntm_3
  389. Ci1tntm_4
  390. undefined_109
  391. undefined_110
  392. Row12
  393. undefined_111
  394. AlSoadoo1t JU
  395. Ciltt1111i
  396. Ciltt1111i_2
  397. 12ll
  398. 100712ll
  399. 101Row5
  400. Row4_5
  401. Row12_2
  402. A111ira1odi AlitCU
  403. Caltrons
  404. Caltrons_2
  405. 1007Row6
  406. Row5_3
  407. 01
  408. undefined_112
  409. undefined_113
  410. Row13
  411. undefined_114
  412. undefined_115
  413. undefined_116
  414. Row11
  415. undefined_117
  416. Row1_6
  417. iRow17
  418. undefined_118
  419. undefined_119
  420. undefined_120
  421. fill_222
  422. r071UII
  423. ian
  424. undefined_121
  425. undefined_122
  426. undefined_123
  427. Row14
  428. 1UIIRow1
  429. undefined_124
  430. Row14_2
  431. AnnffllocJ Hcmid
  432. Oihnms
  433. Oihnms_2
  434. 101_2
  435. 1007101
  436. fill_235
  437. undefined_125
  438. undefined_126
  439. Row15
  440. Row1_7
  441. Row1_8
  442. 1UIIRow2
  443. S1Row1
  444. Row1_9
  445. Ill
  446. undefined_127
  447. Row15_2
  448. undefined_128
  449. BnshmKtjk K
  450. C11ltrJ11S
  451. C11ltrJ11S_2
  452. 101C11ltrJ11S
  453. 1007C11ltrJ11S
  454. undefined_129
  455. undefined_130
  456. 101_3
  457. 101_4
  458. undefined_131
  459. undefined_132
  460. undefined_133
  461. undefined_134
  462. fill_248
  463. undefined_135
  464. fill_249
  465. fill_250
  466. 1UII
  467. S1
  468. fill_253
  469. undefined_136
  470. undefined_137
  471. fill_254
  472. undefined_138
  473. Bcrrcvin Mike
  474. CHr11n1
  475. CHr11n1_2
  476. 101CHr11n1
  477. 1007CHr11n1
  478. undefined_139
  479. Row17
  480. undefined_140
  481. fill_260
  482. fill_261
  483. 1UII_2
  484. undefined_141
  485. undefined_142
  486. 8rit1imhn111 Lcu
  487. Qalta11f
  488. Qalta11f_2
  489. undefined_143
  490. 1007_7
  491. undefined_144
  492. undefined_145
  493. fill_266
  494. undefined_146
  495. Row18
  496. Row1_10
  497. undefined_147
  498. 1UII_3
  499. undefined_148
  500. undefined_149
  501. undefined_150
  502. Buni Vicente
  503. OJlitint
  504. 1007Row11
  505. undefined_151
  506. undefined_152
  507. Row10_3
  508. undefined_153
  509. undefined_154
  510. undefined_155
  511. undefined_156
  512. Row19
  513. Row2_4
  514. 111_Row_1>111Row1
  515. 1UIIRow6
  516. undefined_157
  517. undefined_158
  518. undefined_159
  519. undefined_160
  520. C111011 frimc is
  521. ca11ri1ns
  522. 1007Row12
  523. undefined_161
  524. undefined_162
  525. undefined_163
  526. Row20
  527. Row3_4
  528. 111_Row_2>111Row2
  529. undefined_164
  530. 1UIIRow7
  531. undefined_165
  532. undefined_166
  533. 0101 S1crli11Ji
  534. Caltrur
  535. undefined_167
  536. 1007Row13
  537. undefined_168
  538. undefined_169
  539. undefined_170
  540. undefined_171
  541. undefined_172
  542. undefined_173
  543. fill_284
  544. fill_285
  545. undefined_174
  546. 17
  547. undefined_175
  548. undefined_176
  549. Od Ou Jaanilo
  550. Cutlrum
  551. 1001_7
  552. 10071001
  553. Row1_11
  554. Row22
  555. Row5_4
  556. undefined_177
  557. fill_291
  558. I01J7
  559. undefined_178
  560. <11r-ad>011dnlluA11rad
  561. CQ11111m
  562. 1001Row1_2
  563. 1007Row15
  564. undefined_179
  565. Row2_5
  566. Row23
  567. Row6_2
  568. 1017Row1
  569. undefined_180
  570. 1007_8
  571. fill_299
  572. undefined_181
  573. HeidDri Alirc71
  574. ClllrJUtS
  575. undefined_182
  576. oor
  577. 1007oor
  578. undefined_183
  579. Row3_5
  580. undefined_184
  581. Row24
  582. Row7_2
  583. 1017Row2
  584. undefined_185
  585. 1007Row2
  586. Row1_2
  587. Row3_6
  588. undefined_186
  589. undefined_187
  590. undefined_188
  591. undefined_189
  592. oora1uaos
  593. 1007a1uaos
  594. undefined_190
  595. undefined_191
  596. undefined_192
  597. Row8_2
  598. 1017Row3
  599. undefined_193
  600. 1007Row3
  601. Row2
  602. Row4_6
  603. undefined_194
  604. undefined_195
  605. undefined_196
  606. Jcncu W1v11c
  607. Cuttrun
  608. undefined_197
  609. 1007Row18
  610. Row9
  611. undefined_198
  612. 1007Row4
  613. undefined_199
  614. undefined_200
  615. kawvu Jubrn
  616. Cullru1rn
  617. undefined_201
  618. undefined_202
  619. 1007_9
  620. undefined_203
  621. undefined_204
  622. undefined_205
  623. Row10_4
  624. WI
  625. 20
  626. or
  627. undefined_206
  628. undefined_207
  629. undefined_208
  630. LmLRd
  631. Oihr11rts
  632. undefined_209
  633. undefined_210
  634. 1007_10
  635. undefined_211
  636. undefined_212
  637. undefined_213
  638. undefined_214
  639. Row11_2
  640. undefined_215
  641. 2lIIIRow1
  642. undefined_216
  643. undefined_217
  644. undefined_218
  645. 6
  646. Lenart EIYi
  647. Oilllans
  648. Liu Gcorrc
  649. Cdtn111s
  650. undefined_219
  651. ZOB
  652. Row12_3
  653. 20Row2
  654. WIRow2
  655. 2lIIIRow2
  656. orRow2
  657. Row1_12
  658. fill_329
  659. undefined_220
  660. undefined_221
  661. undefined_222
  662. Row13_2
  663. 20I
  664. undefined_223
  665. 2lIII
  666. undefined_224
  667. undefined_225
  668. undefined_226
  669. Low Sl11un
  670. Callrnnli
  671. undefined_227
  672. Row14_3
  673. undefined_228
  674. 20IRow1
  675. undefined_229
  676. Row1_13
  677. undefined_230
  678. undefined_231
  679. Luu Frw1k
  680. Cllnll
  681. undefined_232
  682. undefined_233
  683. undefined_234
  684. Row15_3
  685. undefined_235
  686. 20IRow2
  687. undefined_236
  688. undefined_237
  689. fill_337
  690. undefined_238
  691. undefined_239
  692. MartimJoc
  693. CullluUI
  694. am
  695. Row16
  696. undefined_240
  697. 20IRow3
  698. OJ
  699. undefined_241
  700. undefined_242
  701. Conipnny
  702. Loutiou
  703. Ontario
  704. undefined_243
  705. undefined_244
  706. X
  707. X_2
  708. Row1_14
  709. X_3
  710. X_4
  711. X_5
  712. X_6
  713. X_7
  714. iX
  715. X_8
  716. Row1_15
  717. X_9
  718. X_10
  719. Fontanil
  720. x12i
  721. Row2_6
  722. Row1_16
  723. XRow1
  724. iRow2
  725. Row2_7
  726. XRow1_2
  727. e
  728. Bedl Joho tnc
  729. Bloomlnton
  730. X_11
  731. XIX
  732. XX
  733. X_12
  734. X_13
  735. X_14
  736. Xi
  737. XXi
  738. X_15
  739. X_16
  740. X_17
  741. XX_2
  742. XX_3
  743. XX_4
  744. X_18
  745. X_19
  746. Row2_8
  747. X_20
  748. x1
  749. XRow2
  750. iRow3
  751. X_21
  752. X_22
  753. X_23
  754. XX_5
  755. X_24
  756. XX_6
  757. XX_7
  758. X_25
  759. JX
  760. X_26
  761. Caltrms Construction
  762. Barstow
  763. XX_8
  764. X_27
  765. X_28
  766. XX_9
  767. Row3_7
  768. iX_2
  769. XX_10
  770. X_29
  771. X_30
  772. X_31
  773. X_32
  774. X_33
  775. Callrans Consrruction
  776. Riveridc
  777. X_34
  778. XIXX
  779. XIXX_2
  780. undefined_245
  781. X_35
  782. X_36
  783. XX_11
  784. X_37
  785. XX_12
  786. undefined_246
  787. Row4_7
  788. X_38
  789. iX_3
  790. XX_13
  791. XX X
  792. X_39
  793. X_40
  794. X_41
  795. X_42
  796. X X
  797. X_43
  798. Ciltrns Conitniction
  799. Victorville
  800. X_44
  801. XX_14
  802. Caltrnns Matcrinls Lib
  803. undefined_247
  804. X_45
  805. X_46
  806. undefined_248
  807. X_47
  808. X_48
  809. undefined_249
  810. X_49
  811. XX_15
  812. X_50
  813. XX_16
  814. X_51
  815. X_52
  816. XX_17
  817. X_53
  818. X_54
  819. X_55
  820. XX_18
  821. X_56
  822. XX_19
  823. Row5_5
  824. X_57
  825. iX_4
  826. X XX
  827. X_58
  828. XX_20
  829. X_59
  830. X_60
  831. X_61
  832. X X_2
  833. X_62
  834. X_63
  835. X_64
  836. iX_5
  837. X_65
  838. X XX_2
  839. XX_21
  840. XX_22
  841. X_66
  842. XX_23
  843. X_67
  844. undefined_250
  845. Cnltrnns METS
  846. Norwolk
  847. X071107
  848. X071107_2
  849. X071107_3
  850. X071107_4
  851. XXRow1
  852. XRow1_3
  853. XRow1_4
  854. X_68
  855. X_69
  856. X_70
  857. X_71
  858. X_72
  859. X_73
  860. X_74
  861. XX_24
  862. X_75
  863. Ctltrop CnlWet Coisullnnb
  864. Uolond
  865. X_76
  866. fill_84
  867. X_77
  868. XRow2_2
  869. Riverside
  870. X_78
  871. XX_25
  872. X_79
  873. undefined_251
  874. X XRow2
  875. lx
  876. X Xlx
  877. X XRow2_2
  878. undefined_252
  879. XRow2_3
  880. X_80
  881. X_81
  882. X_82
  883. X_83
  884. XX_26
  885. XRow1_5
  886. X_84
  887. X_85
  888. XX_27
  889. X_86
  890. X_87
  891. X_88
  892. XX_28
  893. XRow2_4
  894. X_89
  895. CHJ lncorpornled
  896. Colton
  897. XX_29
  898. X_90
  899. X_91
  900. X_92
  901. X_93
  902. X XX_3
  903. X_94
  904. XXI
  905. X_95
  906. X_96
  907. X_97
  908. X_98
  909. CHJ lncoroororccl
  910. Victorville_2
  911. X_99
  912. X_100
  913. X XRow5
  914. x
  915. X X_3
  916. undefined_253
  917. X_101
  918. undefined_254
  919. X X_4
  920. undefined_255
  921. xx
  922. X_102
  923. XX_30
  924. XX_31
  925. X_103
  926. Corfm30 Specialties Jnc
  927. MobHe
  928. XRow1_6
  929. X XRow1
  930. undefined_256
  931. undefined_257
  932. XRow1_7
  933. undefined_258
  934. X XRow6
  935. X X X X X
  936. I
  937. XRow3
  938. X_104
  939. X X xxX
  940. XX_32
  941. X_105
  942. XX_33
  943. XRow2_5
  944. XRow1_8
  945. undefined_259
  946. Conrnd Confitructors
  947. RioIto
  948. 100606
  949. XRow2_6
  950. X XRow2_3
  951. undefined_260
  952. 1_3
  953. undefined_261
  954. XRow2_7
  955. undefined_262
  956. undefined_263
  957. X XRow7
  958. X X X X X_2
  959. undefined_264
  960. I_2
  961. XX X X X X
  962. X_106
  963. XX_34
  964. X_107
  965. X_108
  966. XX_35
  967. X_109
  968. Convcre Co111ulttmts
  969. RcdlOlds
  970. X_110
  971. XX X_2
  972. XIX_2
  973. X_111
  974. X X_5
  975. X_112
  976. XX_36
  977. X_113
  978. X XX_4
  979. X X X X X_3
  980. X_114
  981. XX_37
  982. X_115
  983. XI
  984. XXI_2
  985. X_116
  986. XX_38
  987. X_117
  988. X_118
  989. XX_39
  990. XRow1_9
  991. XXj
  992. Coreslab Structures
  993. Perris
  994. XRow1_10
  995. X XRow1_2
  996. X XRow9
  997. X X X X X_4
  998. undefined_265
  999. XIRow1
  1000. XRow6
  1001. XXRow1_2
  1002. XX_40
  1003. XX_41
  1004. XXX
  1005. XXX_2
  1006. X X xxXX
  1007. XIX_3
  1008. XXIX
  1009. GcoTcL Inc
  1010. Riverside_2
  1011. X_119
  1012. X_120
  1013. X_121
  1014. XX_42
  1015. X XRow2_4
  1016. X_122
  1017. X_123
  1018. X_124
  1019. X_125
  1020. X XX_5
  1021. X X X X X_5
  1022. XX_43
  1023. undefined_266
  1024. X_126
  1025. XX_44
  1026. X_127
  1027. X_128
  1028. X X xx
  1029. XIX_4
  1030. fill_155
  1031. X_129
  1032. XRow1_11
  1033. xRow1
  1034. Grani le Construction Co
  1035. 9 Palms
  1036. X_130
  1037. X XRow3
  1038. XRow1_12
  1039. X_131
  1040. undefined_267
  1041. >X X_6
  1042. 7_2
  1043. X_132
  1044. XXX_3
  1045. undefined_268
  1046. XX_45
  1047. XX_46
  1048. X X xxX_2
  1049. XIXX_3
  1050. X_133
  1051. XX_47
  1052. XRow2_8
  1053. xRow2
  1054. Grnnitc Conslruction Co
  1055. Indio
  1056. X_134
  1057. X_135
  1058. X X_7
  1059. X_136
  1060. X XX_6
  1061. X_137
  1062. XX_48
  1063. X_138
  1064. X_139
  1065. X_140
  1066. X_141
  1067. X_142
  1068. XX_49
  1069. undefined_269
  1070. X_143
  1071. X_144
  1072. X X xx_2
  1073. undefined_270
  1074. fill_177_2
  1075. X_145
  1076. XRow3_2
  1077. X_146
  1078. liill1op Gcotcehniool lnc
  1079. liighlnnd
  1080. X XX_7
  1081. XX_50
  1082. X XX_8
  1083. XX_51
  1084. X_147
  1085. X_148
  1086. X XX_9
  1087. X_149
  1088. X_150
  1089. XX X X X X_2
  1090. T
  1091. X_151
  1092. XXX_4
  1093. undefined_271
  1094. XX_52
  1095. XX_53
  1096. X X xxX_3
  1097. X_152
  1098. XX_54
  1099. XRow4
  1100. X_153
  1101. Kicwil Picific Co
  1102. X_154
  1103. XX_55
  1104. X XX_10
  1105. XX_56
  1106. XRow1_13
  1107. X_155
  1108. X_156
  1109. X XX_11
  1110. X_157
  1111. XRow2_9
  1112. Kleinfelder Inc
  1113. X_158
  1114. X_159
  1115. X X_8
  1116. X X_9
  1117. X X_10
  1118. X_160
  1119. X_161
  1120. X X X
  1121. X X X_2
  1122. X_162
  1123. X_163
  1124. XXX_5
  1125. XX_57
  1126. XX_58
  1127. X X xxX_4
  1128. undefined_272
  1129. X_164
  1130. XX_59
  1131. XRow5
  1132. undefined_273
  1133. XRow1_14
  1134. X_165
  1135. X_166
  1136. X_167
  1137. X X_11
  1138. X X_12
  1139. XX X_3
  1140. X_168
  1141. XX_60
  1142. XX_61
  1143. XRow6_2
  1144. X_169
  1145. X_170
  1146. XX_62
  1147. Redlands
  1148. X0212808
  1149. X0212808_2
  1150. X X0212808
  1151. X0212808_3
  1152. X0212808_4
  1153. X0212808_5
  1154. 0212808
  1155. X X X0212808
  1156. X X X0212808_2
  1157. XX X X X X_3
  1158. XRow1_15
  1159. XRow1_16
  1160. XIRow1_2
  1161. XRow1_17
  1162. XRow10
  1163. XRow1_18
  1164. XRow1_19
  1165. X X xxRow11
  1166. Row18_2
  1167. undefined_274
  1168. XRow7
  1169. XRow3_3
  1170. X X XRow2
  1171. X XRow2_5
  1172. XRow2_10
  1173. XXRow2
  1174. XXRow2_2
  1175. I_3
  1176. XRow4_2
  1177. X_171
  1178. X_172
  1179. i_12
  1180. X_173
  1181. undefined_275
  1182. X_174
  1183. X_175
  1184. X_176
  1185. X_177
  1186. undefined_276
  1187. X_178
  1188. X X_13
  1189. X_179
  1190. X_180
  1191. X_181
  1192. f
  1193. X_182
  1194. undefined_277
  1195. XRow1_20
  1196. f_2
  1197. Xf
  1198. undefined_278
  1199. undefined_279
  1200. MtichCom
  1201. Redlands_2
  1202. X_183
  1203. X_184
  1204. undefined_280
  1205. X_185
  1206. undefined_281
  1207. undefined_282
  1208. undefined_283
  1209. undefined_284
  1210. undefined_285
  1211. XRow2_11
  1212. X_186
  1213. f_3
  1214. X_187
  1215. undefined_286
  1216. undefined_287
  1217. Onttrio
  1218. XD810107
  1219. X_188
  1220. undefined_288
  1221. undefined_289
  1222. XX_63
  1223. X_189
  1224. undefined_290
  1225. undefined_291
  1226. undefined_292
  1227. undefined_293
  1228. undefined_294
  1229. X_190
  1230. undefined_295
  1231. X_191
  1232. X_192
  1233. XX X_4
  1234. fX
  1235. XX_64
  1236. undefined_296
  1237. undefined_297
  1238. Odcn UT
  1239. Ni nvo Moore
  1240. Ontirio
  1241. X_193
  1242. X04i07
  1243. undefined_298
  1244. X_194
  1245. undefined_299
  1246. X_195
  1247. undefined_300
  1248. undefined_301
  1249. undefined_302
  1250. undefined_303
  1251. undefined_304
  1252. undefined_305
  1253. undefined_306
  1254. XX XRow1
  1255. XRow1_21
  1256. X_196
  1257. XXRow1_3
  1258. undefined_307
  1259. undefined_308
  1260. XX_65
  1261. undefined_309
  1262. X_197
  1263. X_198
  1264. X X_14
  1265. X X_15
  1266. X_199
  1267. undefined_310
  1268. undefined_311
  1269. undefined_312
  1270. undefined_313
  1271. undefined_314
  1272. undefined_315
  1273. X_200
  1274. X_201
  1275. XX X_5
  1276. X_202
  1277. I X
  1278. X_203
  1279. Ont11rio
  1280. XX_66
  1281. undefined_316
  1282. I_4
  1283. undefined_317
  1284. undefined_318
  1285. XRow6_3
  1286. r
  1287. undefined_319
  1288. undefined_320
  1289. undefined_321
  1290. XRow1_22
  1291. XRow1_23
  1292. X XRow1_3
  1293. X_204
  1294. XX_67
  1295. XX_68
  1296. X_205
  1297. X_206
  1298. PB Amcricu lnc
  1299. Socrnrncnto
  1300. XRow1_24
  1301. XRow2_12
  1302. undefined_322
  1303. undefined_323
  1304. undefined_324
  1305. undefined_325
  1306. undefined_326
  1307. undefined_327
  1308. undefined_328
  1309. undefined_329
  1310. XRow7_2
  1311. undefined_330
  1312. undefined_331
  1313. undefined_332
  1314. X_207
  1315. XX_69
  1316. X_208
  1317. X X_16
  1318. X_209
  1319. X_210
  1320. X_211
  1321. X_212
  1322. Petr Gcolechnical lnc
  1323. Mcrricli
  1324. In Process
  1325. XIn Process
  1326. XIn Process_2
  1327. undefined_333
  1328. undefined_334
  1329. undefined_335
  1330. undefined_336
  1331. undefined_337
  1332. undefined_338
  1333. undefined_339
  1334. undefined_340
  1335. undefined_341
  1336. XIn Process_3
  1337. undefined_342
  1338. undefined_343
  1339. undefined_344
  1340. undefined_345
  1341. undefined_346
  1342. XRow1_25
  1343. XRow1_26
  1344. XRow4_3
  1345. XRow1_27
  1346. XRow1_28
  1347. X_213
  1348. Pomcrov Coruoration
  1349. Perri
  1350. X_214
  1351. X_215
  1352. undefined_347
  1353. undefined_348
  1354. undefined_349
  1355. XX_70
  1356. XI_2
  1357. undefined_350
  1358. undefined_351
  1359. undefined_352
  1360. XX X_6
  1361. undefined_353
  1362. undefined_354
  1363. undefined_355
  1364. undefined_356
  1365. undefined_357
  1366. XRow2_13
  1367. X X_17
  1368. XX X_7
  1369. XX X_8
  1370. X_216
  1371. X X_18
  1372. X_217
  1373. X X_19
  1374. X_218
  1375. Procast Product
  1376. Hihland
  1377. undefined_358
  1378. undefined_359
  1379. undefined_360
  1380. XIn Process_4
  1381. undefined_361
  1382. undefined_362
  1383. undefined_363
  1384. XIn Process_5
  1385. undefined_364
  1386. X X X X X_6
  1387. undefined_365
  1388. undefined_366
  1389. X X_20
  1390. XI_3
  1391. XXI_3
  1392. X_219
  1393. X_220
  1394. XX_71
  1395. X_221
  1396. Riverside County
  1397. Riverside_3
  1398. In Process_2
  1399. undefined_367
  1400. undefined_368
  1401. undefined_369
  1402. XRow6_4
  1403. undefined_370
  1404. undefined_371
  1405. undefined_372
  1406. undefined_373
  1407. I_5
  1408. XRow11
  1409. X X X X X_7
  1410. undefined_374
  1411. undefined_375
  1412. undefined_376
  1413. X XRow1_4
  1414. X XRow1_5
  1415. XRow7_3
  1416. XRow1_29
  1417. XRow2_14
  1418. undefined_377
  1419. X_222
  1420. RMAGrouo
  1421. X_223
  1422. X_224
  1423. X_225
  1424. undefined_378
  1425. undefined_379
  1426. XRow7_4
  1427. X_226
  1428. X_227
  1429. undefined_380
  1430. undefined_381
  1431. XX_72
  1432. X X X X X_8
  1433. undefined_382
  1434. undefined_383
  1435. X_228
  1436. undefined_384
  1437. X_229
  1438. X_230
  1439. XX_73
  1440. XX_74
  1441. undefined_385
  1442. XX_75
  1443. undefined_386
  1444. undefined_387
  1445. RMAGrouo_2
  1446. X_231
  1447. undefined_388
  1448. XRow8
  1449. X_232
  1450. X_233
  1451. undefined_389
  1452. undefined_390
  1453. XX_76
  1454. X X X X X_9
  1455. undefined_391
  1456. X_234
  1457. XIRow3
  1458. XX_77
  1459. XX_78
  1460. undefined_392
  1461. undefined_393
  1462. RMAGrouo_3
  1463. X_235
  1464. X_236
  1465. undefined_394
  1466. XRow9
  1467. X_237
  1468. X_238
  1469. undefined_395
  1470. undefined_396
  1471. XX_79
  1472. undefined_397
  1473. undefined_398
  1474. RMAGrouo_4
  1475. XIX_5
  1476. X X_21
  1477. XX X_9
  1478. XX X_10
  1479. X X X_3
  1480. X X X_4
  1481. undefined_399
  1482. X X_22
  1483. X_239
  1484. XIRow4
  1485. XX_80
  1486. XX_81
  1487. XX_82
  1488. undefined_400
  1489. undefined_401
  1490. XX_83
  1491. X_240
  1492. X_241
  1493. X_242
  1494. XX_84
  1495. xi
  1496. undefined_402
  1497. RMAGrouo_5
  1498. Redlands_3
  1499. XX_85
  1500. XX XRow1_2
  1501. X XRow1_6
  1502. X XRow1_7
  1503. X XRow1_8
  1504. X XRow1_9
  1505. XRow12
  1506. XRow1_30
  1507. XRow1_31
  1508. undefined_403
  1509. RMAGrouo_6
  1510. XX_86
  1511. undefined_404
  1512. undefined_405
  1513. XX XX X
  1514. XIX_6
  1515. undefined_406
  1516. undefined_407
  1517. X XXIX
  1518. X XXIX_2
  1519. undefined_408
  1520. undefined_409
  1521. X XXIX_3
  1522. X XXIX_4
  1523. undefined_410
  1524. XXIX_2
  1525. XXIX_3
  1526. undefined_411
  1527. XRow7_5
  1528. I_6
  1529. XX_87
  1530. X_243
  1531. undefined_412
  1532. undefined_413
  1533. X XRow1_10
  1534. XX XX
  1535. X_244
  1536. undefined_414
  1537. undefined_415
  1538. undefined_416
  1539. X XRow3_2
  1540. X XRow3_3
  1541. X_245
  1542. X_246
  1543. X_247
  1544. X X_23
  1545. XX X_11
  1546. X_248
  1547. XX_88
  1548. XX_89
  1549. X_249
  1550. X_250
  1551. XX_90
  1552. XX_91
  1553. San Bcmordi no Counrv
  1554. X X_24
  1555. X X_25
  1556. X_251
  1557. XX XX_2
  1558. X_252
  1559. X_253
  1560. undefined_417
  1561. X XRow4
  1562. X XRow4_2
  1563. XX_92
  1564. XX_93
  1565. X_254
  1566. X X_26
  1567. XRow9_2
  1568. undefined_418
  1569. XRow2_15
  1570. igncl Testing lobs Inc
  1571. X_255
  1572. XRow1_32
  1573. undefined_419
  1574. XRow1_33
  1575. X_256
  1576. XX XX_3
  1577. X X_27
  1578. X_257
  1579. undefined_420
  1580. X XRow5_2
  1581. X XRow5_3
  1582. undefined_421
  1583. X_258
  1584. XX_94
  1585. XX_95
  1586. XX_96
  1587. XX_97
  1588. X_259
  1589. X_260
  1590. XX_98
  1591. Surccast West
  1592. HiAhland
  1593. XRow1_34
  1594. XRow1_35
  1595. XRow2_16
  1596. undefined_422
  1597. XX XRow6
  1598. undefined_423
  1599. undefined_424
  1600. X XRow6_2
  1601. X XRow6_3
  1602. undefined_425
  1603. X_261
  1604. XX_99
  1605. XX_100
  1606. XX_101
  1607. X_262
  1608. XX X_12
  1609. X_263
  1610. X_264
  1611. Riverside_4
  1612. X X_28
  1613. X_265
  1614. XX_102
  1615. XX X_13
  1616. X_266
  1617. X_267
  1618. undefined_426
  1619. X_268
  1620. X XRow7_2
  1621. X XRow7_3
  1622. undefined_427
  1623. X_269
  1624. X X_29
  1625. XX X_14
  1626. XX X_15
  1627. XX_103
  1628. XRow1_36
  1629. XRow1_37
  1630. X_270
  1631. undefined_428
  1632. undefined_429
  1633. Utility Voult Hemlock
  1634. Fontnno
  1635. I_7
  1636. undefined_430
  1637. X_271
  1638. XX X_16
  1639. undefined_431
  1640. undefined_432
  1641. X_272
  1642. undefined_433
  1643. X XRow8
  1644. X XRow8_2
  1645. undefined_434
  1646. X_273
  1647. X XX_12
  1648. X_274
  1649. XX_104
  1650. XX_105
  1651. XX_106
  1652. X_275
  1653. XX_107
  1654. Utilitv Vault Ponlar
  1655. Fontann
  1656. 0327108
  1657. undefined_435
  1658. undefined_436
  1659. 0327108_2
  1660. undefined_437
  1661. X0327108
  1662. undefined_438
  1663. XX X0327108
  1664. undefined_439
  1665. undefined_440
  1666. undefined_441
  1667. XRow2_17
  1668. undefined_442
  1669. X XRow9_2
  1670. X XRow9_3
  1671. undefined_443
  1672. X_276
  1673. X XX_13
  1674. X_277
  1675. X_278
  1676. XX_108
  1677. XX_109
  1678. X_279
  1679. XX_110
  1680. X_280
  1681. X_281
  1682. XX_111
  1683. Woshinon GroupObovnshi
  1684. RivcrsJdc
  1685. 092807
  1686. undefined_444
  1687. X_282
  1688. X_283
  1689. X_284
  1690. undefined_445
  1691. undefined_446
  1692. X
  1693. undefined_447
  1694. X X_30
  1695. undefined_448
  1696. XX X X
  1697. undefined_449
  1698. undefined_450
  1699. undefined_451
  1700. XRow3_4
  1701. undefined_452
  1702. undefined_453
  1703. undefined_454
  1704. undefined_455
  1705. XRow1_38
  1706. XX_112
  1707. XX_113
  1708. XX_114
  1709. XRow1_39
  1710. XRow4_4
  1711. X_285
  1712. undefined_456
  1713. X_2
  1714. X_3
  1715. X_4
  1716. X X X_5
  1717. X X X_6
  1718. X X_31
  1719. X_286
  1720. X X_32
  1721. XX XX_4
  1722. X_287
  1723. XX_115
  1724. XX_116
  1725. XX_117
  1726. XX XX_5
  1727. X X XX
  1728. X X XX_2
  1729. X X XX_3
  1730. XX_118
  1731. X XRow11
  1732. X_288
  1733. X_289
  1734. X_290
  1735. XX_119
  1736. XX_120
  1737. X XX_14
  1738. XX_121
  1739. XX_122
  1740. XX_123
  1741. XX_124
  1742. XX_125
  1743. XX_126
  1744. XX_127
  1745. XRow2_18
  1746. XRow2_19
  1747. XRow5_2
  1748. Row1_17
  1749. BnraowRow1
  1750. Row1_18
  1751. XRow1
  1752. undefined_457
  1753. undefined_458
  1754. Row4_8
  1755. undefined_459
  1756. XRow5_3
  1757. XX XRow12
  1758. I_8
  1759. XX XRow12_2
  1760. undefined_460
  1761. XRow5_4
  1762. undefined_461
  1763. undefined_462
  1764. X XRow12
  1765. XRow3_5
  1766. undefined_463
  1767. undefined_464
  1768. XRow12_2
  1769. XRow6_5
  1770. undefined_465
  1771. XRow7_6
  1772. XRow3_6
  1773. undefined_466
  1774. XRow6_6
  1775. Row2_9
  1776. BnraowRow2
  1777. Row2_10
  1778. undefined_467
  1779. undefined_468
  1780. XRow2
  1781. undefined_469
  1782. undefined_470
  1783. Row5_6
  1784. undefined_471
  1785. XRow6_7
  1786. undefined_472
  1787. XX XRow13
  1788. undefined_473
  1789. XX XRow13_2
  1790. undefined_474
  1791. XRow6_8
  1792. undefined_475
  1793. undefined_476
  1794. X XRow13
  1795. undefined_477
  1796. undefined_478
  1797. XRow4_5
  1798. undefined_479
  1799. undefined_480
  1800. XRow13
  1801. I_9
  1802. XRow8_2
  1803. XRow4_6
  1804. undefined_481
  1805. XRow7_7
  1806. Row3_8
  1807. BnraowRow3
  1808. undefined_482
  1809. XRow3_7
  1810. Row6_3
  1811. Row6_4
  1812. Row6_5
  1813. undefined_483
  1814. XRow7_8
  1815. undefined_484
  1816. XX XRow14
  1817. undefined_485
  1818. undefined_486
  1819. undefined_487
  1820. undefined_488
  1821. X XRow14
  1822. undefined_489
  1823. undefined_490
  1824. XRow5_5
  1825. I_10
  1826. XRow4_7
  1827. XRow14
  1828. Row4_9
  1829. BnraowRow4
  1830. XRow4_8
  1831. X XRow8_3
  1832. XRow4_9
  1833. undefined_491
  1834. Row7_3
  1835. Row7_4
  1836. X XRow15
  1837. I_11
  1838. XRow11_2
  1839. XRow4_10
  1840. XX XRow15
  1841. undefined_492
  1842. undefined_493
  1843. undefined_494
  1844. undefined_495
  1845. undefined_496
  1846. undefined_497
  1847. undefined_498
  1848. XRow6_9
  1849. XRow5_6
  1850. XRow15
  1851. I_12
  1852. XRow9_3
  1853. XRow5_7
  1854. undefined_499
  1855. XRow8_3
  1856. undefined_500
  1857. XRow10_2
  1858. undefined_501
  1859. XRow9_4
  1860. Row5_7
  1861. BnraowRow5
  1862. undefined_502
  1863. XRow5_8
  1864. undefined_503
  1865. undefined_504
  1866. Row8_3
  1867. Row8_4
  1868. X XRow16
  1869. undefined_505
  1870. XX XRow16
  1871. undefined_506
  1872. undefined_507
  1873. undefined_508
  1874. undefined_509
  1875. undefined_510
  1876. undefined_511
  1877. undefined_512
  1878. XRow7_9
  1879. undefined_513
  1880. XRow6_10
  1881. XRow16
  1882. I_13
  1883. XRow11_3
  1884. undefined_514
  1885. XRow10_3
  1886. 407
  1887. 408
  1888. 407_2
  1889. 408_2
  1890. Certified Independent Assurance
  1891. undefined_515
  1892. undefined_516
  1893. H9Maltod of SAMpliNG
  1894. Total No of CT Labs AccredRow1
  1895. ExpiredI
  1896. Note Practical exam refers lo lhe practical exam after lhe initial written exam Nllness refers to the annual
  1897. days
  1898. 49
  1899. 7_3
  1900. 2
  1901. 2_2
  1902. 2_3
  1903. 7_4
  1904. 14
  1905. 78
  1906. 634
  1907. 7_5
  1908. 12
  1909. 12_2
  1910. 28
  1911. Himmer Lane DC Deck Pour Stige 1
  1912. 7_6
  1913. 14_2
  1914. SJ
  1915. 28_2
  1916. C62l06
  1917. 82
  1918. 7_7
  1919. 28_3
  1920. 7_8
  1921. 14_3
  1922. undefined_517
  1923. 3660
  1924. 157Row1
  1925. NA
  1926. NA_2
  1927. 3
  1928. 22592 F
  1929. NA_3
  1930. undefined_518
  1931. Pass
  1932. 272V13
  1933. 081506
  1934. Fail
  1935. 3490
  1936. 80
  1937. I i

• Structure Bookmarks
• 1. undefined
  2. December 2006
  3. Final work plan approved
  4. January 2007
  5. Conduct site visits interviews etc
  6. April May 2007
  7. May 1 2007
  8. June 1 2007
  9. June 15 2007
  10. Conduct Closeout Conference
  11. July 2 2007
  12. Issue and distribute final signed rep01i
  13. JaonDietz Co structionfMaterials Engr
  14. Nmn
  15. Employor
  16. undefined_2
  17. BrownDennis
  18. lAMEC
  19. AMEC
  20. 0 NAMEC
  21. AMEC_2
  22. AMEC_3
  23. AMEC_4
  24. 0 AMEC
  25. AMEC
  26. AMEC_5
  27. NAMEC
  28. N
  29. fill_12
  30. fill_13
  31. fill_14
  32. fill_15
  33. g
  34. fill_17
  35. Row1
  36. g Row1
  37. fill_20
  38. fill_21
  39. fill_22
  40. 5
  41. fill_24
  42. fill_25
  43. fill_26
  44. fill_27
  45. S
  46. N_2
  47. a
  48. i
  49. 5_2
  50. fill_33
  51. i_2
  52. i_3
  53. i_4
  54. l
  55. fill_38
  56. fill_39
  57. 0
  58. Conner KcviD
  59. AMEC_6
  60. 100
  61. fill_41
  62. fill_42
  63. fill_43
  64. IQI
  65. undefined_3
  66. undefined_4
  67. N_3
  68. a_2
  69. i_5
  70. undefined_5
  71. 01101
  72. undefined_6
  73. undefined_7
  74. undefined_8
  75. 001
  76. undefined_9
  77. undefined_10
  78. 1>12Jl1
  79. ll01
  80. D1vid Errc11
  81. 12l1AMEC
  82. AMEC_2
  83. fill_50
  84. fill_51
  85. fill_52
  86. fill_53
  87. IQI_2
  88. 1
  89. 1211
  90. fill_58
  91. Row1
  92. g007
  93. undefined_11
  94. Undivcrdc Miriu
  95. AMEC_7
  96. 107
  97. undefined_12
  98. fill_61
  99. ll01_2
  100. N_4
  101. i_6
  102. 1_>12Jl1_2
  103. 1m
  104. N Row4
  105. aRow4
  106. 1_Row_2>11Row2
  107. iRow4
  108. iRow4_2
  109. iRow4_3
  110. lRow4
  111. 1211Row2
  112. 1101Row2
  113. 0Row4
  114. 007
  115. undefined_13
  116. Lw1dn1Crdc TOlIIUS
  117. AMEC_8
  118. fill_74
  119. lll
  120. lll_2
  121. Row1_2
  122. undefined_14
  123. Oll
  124. fill_79
  125. fill_80
  126. 11ll
  127. N_5
  128. a_3
  129. i1ZAJ7
  130. undefined_15
  131. 01m
  132. undefined_16
  133. undefined_17
  134. undefined_18
  135. undefined_19
  136. 1IOT
  137. 12QT
  138. 171
  139. bru1iw1 Roush
  140. 1101AMC
  141. 1001Row1
  142. fill_87
  143. lll_3
  144. fill_89
  145. fill_90
  146. fill_417
  147. 1ClJl
  148. undefined_20
  149. W2
  150. W2_2
  151. OllW2
  152. wz
  153. 1201wz
  154. N_6
  155. 1m_2
  156. M1xIJ11nc
  157. 1101Brutoro
  158. Row1_3
  159. lllRow2
  160. Row3
  161. Row7
  162. Row1_4
  163. 1ClJlRow2
  164. undefined_21
  165. W2_3
  166. Row3_2
  167. Row2
  168. OllRow3
  169. undefined_22
  170. undefined_23
  171. undefined_24
  172. Row1_5
  173. 001_2
  174. undefined_25
  175. undefined_26
  176. MilsDn Dallid
  177. 1101DtuOCO
  178. DtuOCO
  179. undefined_27
  180. DtuOCO_2
  181. lllDtuOCO
  182. undefined_28
  183. undefined_29
  184. undefined_30
  185. 1ClJlDtuOCO
  186. undefined_31
  187. undefined_32
  188. Row4
  189. Row3_3
  190. undefined_33
  191. undefined_34
  192. undefined_35
  193. undefined_36
  194. Row2_2
  195. undefined_37
  196. undefined_38
  197. undefined_39
  198. Solo JilDll
  199. 11018ooro
  200. 8ooro
  201. 8ooro_2
  202. lll8ooro
  203. 8ooro_3
  204. 8ooro_4
  205. 8ooro_5
  206. 1ClJl8ooro
  207. 8ooro_6
  208. W28ooro
  209. 0078ooro
  210. 8ooro_7
  211. 8ooro_8
  212. undefined_40
  213. undefined_41
  214. undefined_42
  215. undefined_43
  216. 8ooro_9
  217. a_4
  218. 12QT_2
  219. 171_2
  220. 1ZAJ7
  221. i_7
  222. i_8
  223. i_9
  224. fill_137
  225. 11
  226. 1m_3
  227. 0_2
  228. Dudlcv liric
  229. lvMvJom
  230. undefined_44
  231. Row4_2
  232. lllRow5
  233. Row4_3
  234. undefined_45
  235. undefined_46
  236. undefined_47
  237. Row6
  238. Row5
  239. Row5_2
  240. undefined_48
  241. undefined_49
  242. Row4_4
  243. undefined_50
  244. undefined_51
  245. undefined_52
  246. undefined_53
  247. Lu Kcvi11
  248. Byerly John
  249. ltl1
  250. 1007
  251. 1007_2
  252. undefined_54
  253. undefined_55
  254. undefined_56
  255. W2Row5
  256. 1_2
  257. undefined_57
  258. fill_149
  259. 7
  260. undefined_58
  261. fill_150
  262. 10107
  263. undefined_59
  264. 17107ll07
  265. ll07
  266. undefined_60
  267. fill_152
  268. undefined_61
  269. undefined_62
  270. undefined_63
  271. AasGtct
  272. 1107Bvcrlv John
  273. ltl1Bvcrlv John
  274. 1007Bvcrlv John
  275. 1007Bvcrlv John_2
  276. mBvcrlv John
  277. Bvcrlv John
  278. 1007_3
  279. 1007_4
  280. undefined_64
  281. undefined_65
  282. undefined_66
  283. fill_161
  284. 7
  285. fill_163
  286. fill_164
  287. undefined_67
  288. undefined_68
  289. fill_165
  290. undefined_69
  291. undefined_70
  292. undefined_71
  293. WClj1jL Souuy
  294. Byerly John_2
  295. undefined_72
  296. 1007_5
  297. 101
  298. 1001
  299. 1001_2
  300. 1001_3
  301. 1007_6
  302. 201
  303. 17107201
  304. undefined_73
  305. 201_2
  306. undefined_74
  307. undefined_75
  308. i201
  309. undefined_76
  310. undefined_77
  311. undefined_78
  312. Adado Ere
  313. Gil1Jlnr
  314. fill_171
  315. 1007Row1
  316. 007Row1
  317. 101Row1
  318. undefined_79
  319. undefined_80
  320. 1001_4
  321. 1001_5
  322. 1001_6
  323. fill_176
  324. fill_177
  325. undefined_81
  326. undefined_82
  327. undefined_83
  328. Row8
  329. 12QTRow9
  330. Ah1m Mnlffunl
  331. Cattrms
  332. Cattrms_2
  333. 7>12Jl7
  334. 7>100712Jl7
  335. 7>00712Jl7
  336. undefined_84
  337. undefined_85
  338. 7>12Jl7_2
  339. undefined_86
  340. undefined_87
  341. undefined_88
  342. undefined_89
  343. undefined_90
  344. 7>12Jl7_3
  345. 7>12Jl7_4
  346. undefined_91
  347. undefined_92
  348. undefined_93
  349. undefined_94
  350. 7>12Jl7_5
  351. r07
  352. undefined_95
  353. iRow14
  354. undefined_96
  355. undefined_97
  356. i_10
  357. undefined_98
  358. undefined_99
  359. AJipa1111h Fcydo011
  360. a_5
  361. a_6
  362. 7_a>12Jl7a
  363. 1007a
  364. 007a
  365. 101Row3
  366. Row2_3
  367. Row10
  368. 1001Row3
  369. 1001Row3_2
  370. undefined_100
  371. undefined_101
  372. undefined_102
  373. undefined_103
  374. Row10_2
  375. undefined_104
  376. undefined_105
  377. fill_201
  378. i_11
  379. undefined_106
  380. undefined_107
  381. Ci1tntm
  382. Ci1tntm_2
  383. 7_Ci1tntm>12Jl7Ci1tntm
  384. 1007Ci1tntm
  385. 007Ci1tntm
  386. undefined_108
  387. 101Ci1tntm
  388. Ci1tntm_3
  389. Ci1tntm_4
  390. undefined_109
  391. undefined_110
  392. Row12
  393. undefined_111
  394. AlSoadoo1t JU
  395. Ciltt1111i
  396. Ciltt1111i_2
  397. 12ll
  398. 100712ll
  399. 101Row5
  400. Row4_5
  401. Row12_2
  402. A111ira1odi AlitCU
  403. Caltrons
  404. Caltrons_2
  405. 1007Row6
  406. Row5_3
  407. 01
  408. undefined_112
  409. undefined_113
  410. Row13
  411. undefined_114
  412. undefined_115
  413. undefined_116
  414. Row11
  415. undefined_117
  416. Row1_6
  417. iRow17
  418. undefined_118
  419. undefined_119
  420. undefined_120
  421. fill_222
  422. r071UII
  423. ian
  424. undefined_121
  425. undefined_122
  426. undefined_123
  427. Row14
  428. 1UIIRow1
  429. undefined_124
  430. Row14_2
  431. AnnffllocJ Hcmid
  432. Oihnms
  433. Oihnms_2
  434. 101_2
  435. 1007101
  436. fill_235
  437. undefined_125
  438. undefined_126
  439. Row15
  440. Row1_7
  441. Row1_8
  442. 1UIIRow2
  443. S1Row1
  444. Row1_9
  445. Ill
  446. undefined_127
  447. Row15_2
  448. undefined_128
  449. BnshmKtjk K
  450. C11ltrJ11S
  451. C11ltrJ11S_2
  452. 101C11ltrJ11S
  453. 1007C11ltrJ11S
  454. undefined_129
  455. undefined_130
  456. 101_3
  457. 101_4
  458. undefined_131
  459. undefined_132
  460. undefined_133
  461. undefined_134
  462. fill_248
  463. undefined_135
  464. fill_249
  465. fill_250
  466. 1UII
  467. S1
  468. fill_253
  469. undefined_136
  470. undefined_137
  471. fill_254
  472. undefined_138
  473. Bcrrcvin Mike
  474. CHr11n1
  475. CHr11n1_2
  476. 101CHr11n1
  477. 1007CHr11n1
  478. undefined_139
  479. Row17
  480. undefined_140
  481. fill_260
  482. fill_261
  483. 1UII_2
  484. undefined_141
  485. undefined_142
  486. 8rit1imhn111 Lcu
  487. Qalta11f
  488. Qalta11f_2
  489. undefined_143
  490. 1007_7
  491. undefined_144
  492. undefined_145
  493. fill_266
  494. undefined_146
  495. Row18
  496. Row1_10
  497. undefined_147
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  499. undefined_148
  500. undefined_149
  501. undefined_150
  502. Buni Vicente
  503. OJlitint
  504. 1007Row11
  505. undefined_151
  506. undefined_152
  507. Row10_3
  508. undefined_153
  509. undefined_154
  510. undefined_155
  511. undefined_156
  512. Row19
  513. Row2_4
  514. 111_Row_1>111Row1
  515. 1UIIRow6
  516. undefined_157
  517. undefined_158
  518. undefined_159
  519. undefined_160
  520. C111011 frimc is
  521. ca11ri1ns
  522. 1007Row12
  523. undefined_161
  524. undefined_162
  525. undefined_163
  526. Row20
  527. Row3_4
  528. 111_Row_2>111Row2
  529. undefined_164
  530. 1UIIRow7
  531. undefined_165
  532. undefined_166
  533. 0101 S1crli11Ji
  534. Caltrur
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  536. 1007Row13
  537. undefined_168
  538. undefined_169
  539. undefined_170
  540. undefined_171
  541. undefined_172
  542. undefined_173
  543. fill_284
  544. fill_285
  545. undefined_174
  546. 17
  547. undefined_175
  548. undefined_176
  549. Od Ou Jaanilo
  550. Cutlrum
  551. 1001_7
  552. 10071001
  553. Row1_11
  554. Row22
  555. Row5_4
  556. undefined_177
  557. fill_291
  558. I01J7
  559. undefined_178
  560. <11r-ad>011dnlluA11rad
  561. CQ11111m
  562. 1001Row1_2
  563. 1007Row15
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  565. Row2_5
  566. Row23
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  568. 1017Row1
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  571. fill_299
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  573. HeidDri Alirc71
  574. ClllrJUtS
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  577. 1007oor
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  580. undefined_184
  581. Row24
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  583. 1017Row2
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  585. 1007Row2
  586. Row1_2
  587. Row3_6
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  590. undefined_188
  591. undefined_189
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  593. 1007a1uaos
  594. undefined_190
  595. undefined_191
  596. undefined_192
  597. Row8_2
  598. 1017Row3
  599. undefined_193
  600. 1007Row3
  601. Row2
  602. Row4_6
  603. undefined_194
  604. undefined_195
  605. undefined_196
  606. Jcncu W1v11c
  607. Cuttrun
  608. undefined_197
  609. 1007Row18
  610. Row9
  611. undefined_198
  612. 1007Row4
  613. undefined_199
  614. undefined_200
  615. kawvu Jubrn
  616. Cullru1rn
  617. undefined_201
  618. undefined_202
  619. 1007_9
  620. undefined_203
  621. undefined_204
  622. undefined_205
  623. Row10_4
  624. WI
  625. 20
  626. or
  627. undefined_206
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  629. undefined_208
  630. LmLRd
  631. Oihr11rts
  632. undefined_209
  633. undefined_210
  634. 1007_10
  635. undefined_211
  636. undefined_212
  637. undefined_213
  638. undefined_214
  639. Row11_2
  640. undefined_215
  641. 2lIIIRow1
  642. undefined_216
  643. undefined_217
  644. undefined_218
  645. 6
  646. Lenart EIYi
  647. Oilllans
  648. Liu Gcorrc
  649. Cdtn111s
  650. undefined_219
  651. ZOB
  652. Row12_3
  653. 20Row2
  654. WIRow2
  655. 2lIIIRow2
  656. orRow2
  657. Row1_12
  658. fill_329
  659. undefined_220
  660. undefined_221
  661. undefined_222
  662. Row13_2
  663. 20I
  664. undefined_223
  665. 2lIII
  666. undefined_224
  667. undefined_225
  668. undefined_226
  669. Low Sl11un
  670. Callrnnli
  671. undefined_227
  672. Row14_3
  673. undefined_228
  674. 20IRow1
  675. undefined_229
  676. Row1_13
  677. undefined_230
  678. undefined_231
  679. Luu Frw1k
  680. Cllnll
  681. undefined_232
  682. undefined_233
  683. undefined_234
  684. Row15_3
  685. undefined_235
  686. 20IRow2
  687. undefined_236
  688. undefined_237
  689. fill_337
  690. undefined_238
  691. undefined_239
  692. MartimJoc
  693. CullluUI
  694. am
  695. Row16
  696. undefined_240
  697. 20IRow3
  698. OJ
  699. undefined_241
  700. undefined_242
  701. Conipnny
  702. Loutiou
  703. Ontario
  704. undefined_243
  705. undefined_244
  706. X
  707. X_2
  708. Row1_14
  709. X_3
  710. X_4
  711. X_5
  712. X_6
  713. X_7
  714. iX
  715. X_8
  716. Row1_15
  717. X_9
  718. X_10
  719. Fontanil
  720. x12i
  721. Row2_6
  722. Row1_16
  723. XRow1
  724. iRow2
  725. Row2_7
  726. XRow1_2
  727. e
  728. Bedl Joho tnc
  729. Bloomlnton
  730. X_11
  731. XIX
  732. XX
  733. X_12
  734. X_13
  735. X_14
  736. Xi
  737. XXi
  738. X_15
  739. X_16
  740. X_17
  741. XX_2
  742. XX_3
  743. XX_4
  744. X_18
  745. X_19
  746. Row2_8
  747. X_20
  748. x1
  749. XRow2
  750. iRow3
  751. X_21
  752. X_22
  753. X_23
  754. XX_5
  755. X_24
  756. XX_6
  757. XX_7
  758. X_25
  759. JX
  760. X_26
  761. Caltrms Construction
  762. Barstow
  763. XX_8
  764. X_27
  765. X_28
  766. XX_9
  767. Row3_7
  768. iX_2
  769. XX_10
  770. X_29
  771. X_30
  772. X_31
  773. X_32
  774. X_33
  775. Callrans Consrruction
  776. Riveridc
  777. X_34
  778. XIXX
  779. XIXX_2
  780. undefined_245
  781. X_35
  782. X_36
  783. XX_11
  784. X_37
  785. XX_12
  786. undefined_246
  787. Row4_7
  788. X_38
  789. iX_3
  790. XX_13
  791. XX X
  792. X_39
  793. X_40
  794. X_41
  795. X_42
  796. X X
  797. X_43
  798. Ciltrns Conitniction
  799. Victorville
  800. X_44
  801. XX_14
  802. Caltrnns Matcrinls Lib
  803. undefined_247
  804. X_45
  805. X_46
  806. undefined_248
  807. X_47
  808. X_48
  809. undefined_249
  810. X_49
  811. XX_15
  812. X_50
  813. XX_16
  814. X_51
  815. X_52
  816. XX_17
  817. X_53
  818. X_54
  819. X_55
  820. XX_18
  821. X_56
  822. XX_19
  823. Row5_5
  824. X_57
  825. iX_4
  826. X XX
  827. X_58
  828. XX_20
  829. X_59
  830. X_60
  831. X_61
  832. X X_2
  833. X_62
  834. X_63
  835. X_64
  836. iX_5
  837. X_65
  838. X XX_2
  839. XX_21
  840. XX_22
  841. X_66
  842. XX_23
  843. X_67
  844. undefined_250
  845. Cnltrnns METS
  846. Norwolk
  847. X071107
  848. X071107_2
  849. X071107_3
  850. X071107_4
  851. XXRow1
  852. XRow1_3
  853. XRow1_4
  854. X_68
  855. X_69
  856. X_70
  857. X_71
  858. X_72
  859. X_73
  860. X_74
  861. XX_24
  862. X_75
  863. Ctltrop CnlWet Coisullnnb
  864. Uolond
  865. X_76
  866. fill_84
  867. X_77
  868. XRow2_2
  869. Riverside
  870. X_78
  871. XX_25
  872. X_79
  873. undefined_251
  874. X XRow2
  875. lx
  876. X Xlx
  877. X XRow2_2
  878. undefined_252
  879. XRow2_3
  880. X_80
  881. X_81
  882. X_82
  883. X_83
  884. XX_26
  885. XRow1_5
  886. X_84
  887. X_85
  888. XX_27
  889. X_86
  890. X_87
  891. X_88
  892. XX_28
  893. XRow2_4
  894. X_89
  895. CHJ lncorpornled
  896. Colton
  897. XX_29
  898. X_90
  899. X_91
  900. X_92
  901. X_93
  902. X XX_3
  903. X_94
  904. XXI
  905. X_95
  906. X_96
  907. X_97
  908. X_98
  909. CHJ lncoroororccl
  910. Victorville_2
  911. X_99
  912. X_100
  913. X XRow5
  914. x
  915. X X_3
  916. undefined_253
  917. X_101
  918. undefined_254
  919. X X_4
  920. undefined_255
  921. xx
  922. X_102
  923. XX_30
  924. XX_31
  925. X_103
  926. Corfm30 Specialties Jnc
  927. MobHe
  928. XRow1_6
  929. X XRow1
  930. undefined_256
  931. undefined_257
  932. XRow1_7
  933. undefined_258
  934. X XRow6
  935. X X X X X
  936. I
  937. XRow3
  938. X_104
  939. X X xxX
  940. XX_32
  941. X_105
  942. XX_33
  943. XRow2_5
  944. XRow1_8
  945. undefined_259
  946. Conrnd Confitructors
  947. RioIto
  948. 100606
  949. XRow2_6
  950. X XRow2_3
  951. undefined_260
  952. 1_3
  953. undefined_261
  954. XRow2_7
  955. undefined_262
  956. undefined_263
  957. X XRow7
  958. X X X X X_2
  959. undefined_264
  960. I_2
  961. XX X X X X
  962. X_106
  963. XX_34
  964. X_107
  965. X_108
  966. XX_35
  967. X_109
  968. Convcre Co111ulttmts
  969. RcdlOlds
  970. X_110
  971. XX X_2
  972. XIX_2
  973. X_111
  974. X X_5
  975. X_112
  976. XX_36
  977. X_113
  978. X XX_4
  979. X X X X X_3
  980. X_114
  981. XX_37
  982. X_115
  983. XI
  984. XXI_2
  985. X_116
  986. XX_38
  987. X_117
  988. X_118
  989. XX_39
  990. XRow1_9
  991. XXj
  992. Coreslab Structures
  993. Perris
  994. XRow1_10
  995. X XRow1_2
  996. X XRow9
  997. X X X X X_4
  998. undefined_265
  999. XIRow1
  1000. XRow6
  1001. XXRow1_2
  1002. XX_40
  1003. XX_41
  1004. XXX
  1005. XXX_2
  1006. X X xxXX
  1007. XIX_3
  1008. XXIX
  1009. GcoTcL Inc
  1010. Riverside_2
  1011. X_119
  1012. X_120
  1013. X_121
  1014. XX_42
  1015. X XRow2_4
  1016. X_122
  1017. X_123
  1018. X_124
  1019. X_125
  1020. X XX_5
  1021. X X X X X_5
  1022. XX_43
  1023. undefined_266
  1024. X_126
  1025. XX_44
  1026. X_127
  1027. X_128
  1028. X X xx
  1029. XIX_4
  1030. fill_155
  1031. X_129
  1032. XRow1_11
  1033. xRow1
  1034. Grani le Construction Co
  1035. 9 Palms
  1036. X_130
  1037. X XRow3
  1038. XRow1_12
  1039. X_131
  1040. undefined_267
  1041. >X X_6
  1042. 7_2
  1043. X_132
  1044. XXX_3
  1045. undefined_268
  1046. XX_45
  1047. XX_46
  1048. X X xxX_2
  1049. XIXX_3
  1050. X_133
  1051. XX_47
  1052. XRow2_8
  1053. xRow2
  1054. Grnnitc Conslruction Co
  1055. Indio
  1056. X_134
  1057. X_135
  1058. X X_7
  1059. X_136
  1060. X XX_6
  1061. X_137
  1062. XX_48
  1063. X_138
  1064. X_139
  1065. X_140
  1066. X_141
  1067. X_142
  1068. XX_49
  1069. undefined_269
  1070. X_143
  1071. X_144
  1072. X X xx_2
  1073. undefined_270
  1074. fill_177_2
  1075. X_145
  1076. XRow3_2
  1077. X_146
  1078. liill1op Gcotcehniool lnc
  1079. liighlnnd
  1080. X XX_7
  1081. XX_50
  1082. X XX_8
  1083. XX_51
  1084. X_147
  1085. X_148
  1086. X XX_9
  1087. X_149
  1088. X_150
  1089. XX X X X X_2
  1090. T
  1091. X_151
  1092. XXX_4
  1093. undefined_271
  1094. XX_52
  1095. XX_53
  1096. X X xxX_3
  1097. X_152
  1098. XX_54
  1099. XRow4
  1100. X_153
  1101. Kicwil Picific Co
  1102. X_154
  1103. XX_55
  1104. X XX_10
  1105. XX_56
  1106. XRow1_13
  1107. X_155
  1108. X_156
  1109. X XX_11
  1110. X_157
  1111. XRow2_9
  1112. Kleinfelder Inc
  1113. X_158
  1114. X_159
  1115. X X_8
  1116. X X_9
  1117. X X_10
  1118. X_160
  1119. X_161
  1120. X X X
  1121. X X X_2
  1122. X_162
  1123. X_163
  1124. XXX_5
  1125. XX_57
  1126. XX_58
  1127. X X xxX_4
  1128. undefined_272
  1129. X_164
  1130. XX_59
  1131. XRow5
  1132. undefined_273
  1133. XRow1_14
  1134. X_165
  1135. X_166
  1136. X_167
  1137. X X_11
  1138. X X_12
  1139. XX X_3
  1140. X_168
  1141. XX_60
  1142. XX_61
  1143. XRow6_2
  1144. X_169
  1145. X_170
  1146. XX_62
  1147. Redlands
  1148. X0212808
  1149. X0212808_2
  1150. X X0212808
  1151. X0212808_3
  1152. X0212808_4
  1153. X0212808_5
  1154. 0212808
  1155. X X X0212808
  1156. X X X0212808_2
  1157. XX X X X X_3
  1158. XRow1_15
  1159. XRow1_16
  1160. XIRow1_2
  1161. XRow1_17
  1162. XRow10
  1163. XRow1_18
  1164. XRow1_19
  1165. X X xxRow11
  1166. Row18_2
  1167. undefined_274
  1168. XRow7
  1169. XRow3_3
  1170. X X XRow2
  1171. X XRow2_5
  1172. XRow2_10
  1173. XXRow2
  1174. XXRow2_2
  1175. I_3
  1176. XRow4_2
  1177. X_171
  1178. X_172
  1179. i_12
  1180. X_173
  1181. undefined_275
  1182. X_174
  1183. X_175
  1184. X_176
  1185. X_177
  1186. undefined_276
  1187. X_178
  1188. X X_13
  1189. X_179
  1190. X_180
  1191. X_181
  1192. f
  1193. X_182
  1194. undefined_277
  1195. XRow1_20
  1196. f_2
  1197. Xf
  1198. undefined_278
  1199. undefined_279
  1200. MtichCom
  1201. Redlands_2
  1202. X_183
  1203. X_184
  1204. undefined_280
  1205. X_185
  1206. undefined_281
  1207. undefined_282
  1208. undefined_283
  1209. undefined_284
  1210. undefined_285
  1211. XRow2_11
  1212. X_186
  1213. f_3
  1214. X_187
  1215. undefined_286
  1216. undefined_287
  1217. Onttrio
  1218. XD810107
  1219. X_188
  1220. undefined_288
  1221. undefined_289
  1222. XX_63
  1223. X_189
  1224. undefined_290
  1225. undefined_291
  1226. undefined_292
  1227. undefined_293
  1228. undefined_294
  1229. X_190
  1230. undefined_295
  1231. X_191
  1232. X_192
  1233. XX X_4
  1234. fX
  1235. XX_64
  1236. undefined_296
  1237. undefined_297
  1238. Odcn UT
  1239. Ni nvo Moore
  1240. Ontirio
  1241. X_193
  1242. X04i07
  1243. undefined_298
  1244. X_194
  1245. undefined_299
  1246. X_195
  1247. undefined_300
  1248. undefined_301
  1249. undefined_302
  1250. undefined_303
  1251. undefined_304
  1252. undefined_305
  1253. undefined_306
  1254. XX XRow1
  1255. XRow1_21
  1256. X_196
  1257. XXRow1_3
  1258. undefined_307
  1259. undefined_308
  1260. XX_65
  1261. undefined_309
  1262. X_197
  1263. X_198
  1264. X X_14
  1265. X X_15
  1266. X_199
  1267. undefined_310
  1268. undefined_311
  1269. undefined_312
  1270. undefined_313
  1271. undefined_314
  1272. undefined_315
  1273. X_200
  1274. X_201
  1275. XX X_5
  1276. X_202
  1277. I X
  1278. X_203
  1279. Ont11rio
  1280. XX_66
  1281. undefined_316
  1282. I_4
  1283. undefined_317
  1284. undefined_318
  1285. XRow6_3
  1286. r
  1287. undefined_319
  1288. undefined_320
  1289. undefined_321
  1290. XRow1_22
  1291. XRow1_23
  1292. X XRow1_3
  1293. X_204
  1294. XX_67
  1295. XX_68
  1296. X_205
  1297. X_206
  1298. PB Amcricu lnc
  1299. Socrnrncnto
  1300. XRow1_24
  1301. XRow2_12
  1302. undefined_322
  1303. undefined_323
  1304. undefined_324
  1305. undefined_325
  1306. undefined_326
  1307. undefined_327
  1308. undefined_328
  1309. undefined_329
  1310. XRow7_2
  1311. undefined_330
  1312. undefined_331
  1313. undefined_332
  1314. X_207
  1315. XX_69
  1316. X_208
  1317. X X_16
  1318. X_209
  1319. X_210
  1320. X_211
  1321. X_212
  1322. Petr Gcolechnical lnc
  1323. Mcrricli
  1324. In Process
  1325. XIn Process
  1326. XIn Process_2
  1327. undefined_333
  1328. undefined_334
  1329. undefined_335
  1330. undefined_336
  1331. undefined_337
  1332. undefined_338
  1333. undefined_339
  1334. undefined_340
  1335. undefined_341
  1336. XIn Process_3
  1337. undefined_342
  1338. undefined_343
  1339. undefined_344
  1340. undefined_345
  1341. undefined_346
  1342. XRow1_25
  1343. XRow1_26
  1344. XRow4_3
  1345. XRow1_27
  1346. XRow1_28
  1347. X_213
  1348. Pomcrov Coruoration
  1349. Perri
  1350. X_214
  1351. X_215
  1352. undefined_347
  1353. undefined_348
  1354. undefined_349
  1355. XX_70
  1356. XI_2
  1357. undefined_350
  1358. undefined_351
  1359. undefined_352
  1360. XX X_6
  1361. undefined_353
  1362. undefined_354
  1363. undefined_355
  1364. undefined_356
  1365. undefined_357
  1366. XRow2_13
  1367. X X_17
  1368. XX X_7
  1369. XX X_8
  1370. X_216
  1371. X X_18
  1372. X_217
  1373. X X_19
  1374. X_218
  1375. Procast Product
  1376. Hihland
  1377. undefined_358
  1378. undefined_359
  1379. undefined_360
  1380. XIn Process_4
  1381. undefined_361
  1382. undefined_362
  1383. undefined_363
  1384. XIn Process_5
  1385. undefined_364
  1386. X X X X X_6
  1387. undefined_365
  1388. undefined_366
  1389. X X_20
  1390. XI_3
  1391. XXI_3
  1392. X_219
  1393. X_220
  1394. XX_71
  1395. X_221
  1396. Riverside County
  1397. Riverside_3
  1398. In Process_2
  1399. undefined_367
  1400. undefined_368
  1401. undefined_369
  1402. XRow6_4
  1403. undefined_370
  1404. undefined_371
  1405. undefined_372
  1406. undefined_373
  1407. I_5
  1408. XRow11
  1409. X X X X X_7
  1410. undefined_374
  1411. undefined_375
  1412. undefined_376
  1413. X XRow1_4
  1414. X XRow1_5
  1415. XRow7_3
  1416. XRow1_29
  1417. XRow2_14
  1418. undefined_377
  1419. X_222
  1420. RMAGrouo
  1421. X_223
  1422. X_224
  1423. X_225
  1424. undefined_378
  1425. undefined_379
  1426. XRow7_4
  1427. X_226
  1428. X_227
  1429. undefined_380
  1430. undefined_381
  1431. XX_72
  1432. X X X X X_8
  1433. undefined_382
  1434. undefined_383
  1435. X_228
  1436. undefined_384
  1437. X_229
  1438. X_230
  1439. XX_73
  1440. XX_74
  1441. undefined_385
  1442. XX_75
  1443. undefined_386
  1444. undefined_387
  1445. RMAGrouo_2
  1446. X_231
  1447. undefined_388
  1448. XRow8
  1449. X_232
  1450. X_233
  1451. undefined_389
  1452. undefined_390
  1453. XX_76
  1454. X X X X X_9
  1455. undefined_391
  1456. X_234
  1457. XIRow3
  1458. XX_77
  1459. XX_78
  1460. undefined_392
  1461. undefined_393
  1462. RMAGrouo_3
  1463. X_235
  1464. X_236
  1465. undefined_394
  1466. XRow9
  1467. X_237
  1468. X_238
  1469. undefined_395
  1470. undefined_396
  1471. XX_79
  1472. undefined_397
  1473. undefined_398
  1474. RMAGrouo_4
  1475. XIX_5
  1476. X X_21
  1477. XX X_9
  1478. XX X_10
  1479. X X X_3
  1480. X X X_4
  1481. undefined_399
  1482. X X_22
  1483. X_239
  1484. XIRow4
  1485. XX_80
  1486. XX_81
  1487. XX_82
  1488. undefined_400
  1489. undefined_401
  1490. XX_83
  1491. X_240
  1492. X_241
  1493. X_242
  1494. XX_84
  1495. xi
  1496. undefined_402
  1497. RMAGrouo_5
  1498. Redlands_3
  1499. XX_85
  1500. XX XRow1_2
  1501. X XRow1_6
  1502. X XRow1_7
  1503. X XRow1_8
  1504. X XRow1_9
  1505. XRow12
  1506. XRow1_30
  1507. XRow1_31
  1508. undefined_403
  1509. RMAGrouo_6
  1510. XX_86
  1511. undefined_404
  1512. undefined_405
  1513. XX XX X
  1514. XIX_6
  1515. undefined_406
  1516. undefined_407
  1517. X XXIX
  1518. X XXIX_2
  1519. undefined_408
  1520. undefined_409
  1521. X XXIX_3
  1522. X XXIX_4
  1523. undefined_410
  1524. XXIX_2
  1525. XXIX_3
  1526. undefined_411
  1527. XRow7_5
  1528. I_6
  1529. XX_87
  1530. X_243
  1531. undefined_412
  1532. undefined_413
  1533. X XRow1_10
  1534. XX XX
  1535. X_244
  1536. undefined_414
  1537. undefined_415
  1538. undefined_416
  1539. X XRow3_2
  1540. X XRow3_3
  1541. X_245
  1542. X_246
  1543. X_247
  1544. X X_23
  1545. XX X_11
  1546. X_248
  1547. XX_88
  1548. XX_89
  1549. X_249
  1550. X_250
  1551. XX_90
  1552. XX_91
  1553. San Bcmordi no Counrv
  1554. X X_24
  1555. X X_25
  1556. X_251
  1557. XX XX_2
  1558. X_252
  1559. X_253
  1560. undefined_417
  1561. X XRow4
  1562. X XRow4_2
  1563. XX_92
  1564. XX_93
  1565. X_254
  1566. X X_26
  1567. XRow9_2
  1568. undefined_418
  1569. XRow2_15
  1570. igncl Testing lobs Inc
  1571. X_255
  1572. XRow1_32
  1573. undefined_419
  1574. XRow1_33
  1575. X_256
  1576. XX XX_3
  1577. X X_27
  1578. X_257
  1579. undefined_420
  1580. X XRow5_2
  1581. X XRow5_3
  1582. undefined_421
  1583. X_258
  1584. XX_94
  1585. XX_95
  1586. XX_96
  1587. XX_97
  1588. X_259
  1589. X_260
  1590. XX_98
  1591. Surccast West
  1592. HiAhland
  1593. XRow1_34
  1594. XRow1_35
  1595. XRow2_16
  1596. undefined_422
  1597. XX XRow6
  1598. undefined_423
  1599. undefined_424
  1600. X XRow6_2
  1601. X XRow6_3
  1602. undefined_425
  1603. X_261
  1604. XX_99
  1605. XX_100
  1606. XX_101
  1607. X_262
  1608. XX X_12
  1609. X_263
  1610. X_264
  1611. Riverside_4
  1612. X X_28
  1613. X_265
  1614. XX_102
  1615. XX X_13
  1616. X_266
  1617. X_267
  1618. undefined_426
  1619. X_268
  1620. X XRow7_2
  1621. X XRow7_3
  1622. undefined_427
  1623. X_269
  1624. X X_29
  1625. XX X_14
  1626. XX X_15
  1627. XX_103
  1628. XRow1_36
  1629. XRow1_37
  1630. X_270
  1631. undefined_428
  1632. undefined_429
  1633. Utility Voult Hemlock
  1634. Fontnno
  1635. I_7
  1636. undefined_430
  1637. X_271
  1638. XX X_16
  1639. undefined_431
  1640. undefined_432
  1641. X_272
  1642. undefined_433
  1643. X XRow8
  1644. X XRow8_2
  1645. undefined_434
  1646. X_273
  1647. X XX_12
  1648. X_274
  1649. XX_104
  1650. XX_105
  1651. XX_106
  1652. X_275
  1653. XX_107
  1654. Utilitv Vault Ponlar
  1655. Fontann
  1656. 0327108
  1657. undefined_435
  1658. undefined_436
  1659. 0327108_2
  1660. undefined_437
  1661. X0327108
  1662. undefined_438
  1663. XX X0327108
  1664. undefined_439
  1665. undefined_440
  1666. undefined_441
  1667. XRow2_17
  1668. undefined_442
  1669. X XRow9_2
  1670. X XRow9_3
  1671. undefined_443
  1672. X_276
  1673. X XX_13
  1674. X_277
  1675. X_278
  1676. XX_108
  1677. XX_109
  1678. X_279
  1679. XX_110
  1680. X_280
  1681. X_281
  1682. XX_111
  1683. Woshinon GroupObovnshi
  1684. RivcrsJdc
  1685. 092807
  1686. undefined_444
  1687. X_282
  1688. X_283
  1689. X_284
  1690. undefined_445
  1691. undefined_446
  1692. X
  1693. undefined_447
  1694. X X_30
  1695. undefined_448
  1696. XX X X
  1697. undefined_449
  1698. undefined_450
  1699. undefined_451
  1700. XRow3_4
  1701. undefined_452
  1702. undefined_453
  1703. undefined_454
  1704. undefined_455
  1705. XRow1_38
  1706. XX_112
  1707. XX_113
  1708. XX_114
  1709. XRow1_39
  1710. XRow4_4
  1711. X_285
  1712. undefined_456
  1713. X_2
  1714. X_3
  1715. X_4
  1716. X X X_5
  1717. X X X_6
  1718. X X_31
  1719. X_286
  1720. X X_32
  1721. XX XX_4
  1722. X_287
  1723. XX_115
  1724. XX_116
  1725. XX_117
  1726. XX XX_5
  1727. X X XX
  1728. X X XX_2
  1729. X X XX_3
  1730. XX_118
  1731. X XRow11
  1732. X_288
  1733. X_289
  1734. X_290
  1735. XX_119
  1736. XX_120
  1737. X XX_14
  1738. XX_121
  1739. XX_122
  1740. XX_123
  1741. XX_124
  1742. XX_125
  1743. XX_126
  1744. XX_127
  1745. XRow2_18
  1746. XRow2_19
  1747. XRow5_2
  1748. Row1_17
  1749. BnraowRow1
  1750. Row1_18
  1751. XRow1
  1752. undefined_457
  1753. undefined_458
  1754. Row4_8
  1755. undefined_459
  1756. XRow5_3
  1757. XX XRow12
  1758. I_8
  1759. XX XRow12_2
  1760. undefined_460
  1761. XRow5_4
  1762. undefined_461
  1763. undefined_462
  1764. X XRow12
  1765. XRow3_5
  1766. undefined_463
  1767. undefined_464
  1768. XRow12_2
  1769. XRow6_5
  1770. undefined_465
  1771. XRow7_6
  1772. XRow3_6
  1773. undefined_466
  1774. XRow6_6
  1775. Row2_9
  1776. BnraowRow2
  1777. Row2_10
  1778. undefined_467
  1779. undefined_468
  1780. XRow2
  1781. undefined_469
  1782. undefined_470
  1783. Row5_6
  1784. undefined_471
  1785. XRow6_7
  1786. undefined_472
  1787. XX XRow13
  1788. undefined_473
  1789. XX XRow13_2
  1790. undefined_474
  1791. XRow6_8
  1792. undefined_475
  1793. undefined_476
  1794. X XRow13
  1795. undefined_477
  1796. undefined_478
  1797. XRow4_5
  1798. undefined_479
  1799. undefined_480
  1800. XRow13
  1801. I_9
  1802. XRow8_2
  1803. XRow4_6
  1804. undefined_481
  1805. XRow7_7
  1806. Row3_8
  1807. BnraowRow3
  1808. undefined_482
  1809. XRow3_7
  1810. Row6_3
  1811. Row6_4
  1812. Row6_5
  1813. undefined_483
  1814. XRow7_8
  1815. undefined_484
  1816. XX XRow14
  1817. undefined_485
  1818. undefined_486
  1819. undefined_487
  1820. undefined_488
  1821. X XRow14
  1822. undefined_489
  1823. undefined_490
  1824. XRow5_5
  1825. I_10
  1826. XRow4_7
  1827. XRow14
  1828. Row4_9
  1829. BnraowRow4
  1830. XRow4_8
  1831. X XRow8_3
  1832. XRow4_9
  1833. undefined_491
  1834. Row7_3
  1835. Row7_4
  1836. X XRow15
  1837. I_11
  1838. XRow11_2
  1839. XRow4_10
  1840. XX XRow15
  1841. undefined_492
  1842. undefined_493
  1843. undefined_494
  1844. undefined_495
  1845. undefined_496
  1846. undefined_497
  1847. undefined_498
  1848. XRow6_9
  1849. XRow5_6
  1850. XRow15
  1851. I_12
  1852. XRow9_3
  1853. XRow5_7
  1854. undefined_499
  1855. XRow8_3
  1856. undefined_500
  1857. XRow10_2
  1858. undefined_501
  1859. XRow9_4
  1860. Row5_7
  1861. BnraowRow5
  1862. undefined_502
  1863. XRow5_8
  1864. undefined_503
  1865. undefined_504
  1866. Row8_3
  1867. Row8_4
  1868. X XRow16
  1869. undefined_505
  1870. XX XRow16
  1871. undefined_506
  1872. undefined_507
  1873. undefined_508
  1874. undefined_509
  1875. undefined_510
  1876. undefined_511
  1877. undefined_512
  1878. XRow7_9
  1879. undefined_513
  1880. XRow6_10
  1881. XRow16
  1882. I_13
  1883. XRow11_3
  1884. undefined_514
  1885. XRow10_3
  1886. 407
  1887. 408
  1888. 407_2
  1889. 408_2
  1890. Certified Independent Assurance
  1891. undefined_515
  1892. undefined_516
  1893. H9Maltod of SAMpliNG
  1894. Total No of CT Labs AccredRow1
  1895. ExpiredI
  1896. Note Practical exam refers lo lhe practical exam after lhe initial written exam Nllness refers to the annual
  1897. days
  1898. 49
  1899. 7_3
  1900. 2
  1901. 2_2
  1902. 2_3
  1903. 7_4
  1904. 14
  1905. 78
  1906. 634
  1907. 7_5
  1908. 12
  1909. 12_2
  1910. 28
  1911. Himmer Lane DC Deck Pour Stige 1
  1912. 7_6
  1913. 14_2
  1914. SJ
  1915. 28_2
  1916. C62l06
  1917. 82
  1918. 7_7
  1919. 28_3
  1920. 7_8
  1921. 14_3
  1922. undefined_517
  1923. 3660
  1924. 157Row1
  1925. NA
  1926. NA_2
  1927. 3
  1928. 22592 F
  1929. NA_3
  1930. undefined_518
  1931. Pass
  1932. 272V13
  1933. 081506
  1934. Fail
  1935. 3490
  1936. 80
  1937. I i