Construction Quality Assurance Manual-August 2015

1 DIVISION OF Construction . Construction Quality Assurance Program manual State of California Department Of Transportation Quality Control Acceptance Contractor Caltrans Responsibility Responsibility august 2015. STATE OF CALIFORNIA. DEPARTMENT OF TRANSPORTATION. Construction Quality Assurance Program manual Issued by Division of Construction EDMUND G. BROWN JR. Governor MALCOLM DOUGHERTY. Director, Department of Transportation KOME AJISE. Chief Deputy Director KARLA SUTLIFF RACHEL FALSETTI. Chief Engineer Chief, Division of Construction JOHN STAYTON CHUCK SUSZKO. Assistant Division Chief, Construction Chief, Office of Construction Engineering JIM COTEY HANI ROMANI.

2 STEVE HEALOW KEITH HOFFMAN JOHN LAMMERS KENG MUN LOW BRETT SOLDANO. Construction PUBLICATIONS. Technical and editing support Copyright 2015 California Department of Transportation All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or mechanical means including information storage and retrieval systems without the permission in writing from the California Department of Transportation). Construction Quality Assurance PROGRAM manual . Contents CONTENTS. Introduction .. 1. Construction Quality Assurance Program manual Purpose ..2. Scope ..2. Organization.

3 3. Process for Updating ..3. Chapter 1 Construction Quality Assurance Program .. 4. Overview .. 4. Section 1 Definitions and Abbreviations .. 5. List of Abbreviations ..7. Section 2 Specified Level of Quality Materials and Workmanship .. 8. Materials ..8. Workmanship ..8. Section 3 Document and Record Control .. 9. Document Control ..9. Records Control ..10. Section 4 Management and Staff Responsibilities .. 12. Quality Objective ..12. Quality Commitment ..12. Responsibility and Division of Construction ..12. District Construction ..12. Division of Engineering Services ..12. Other Divisions.

4 13. CQAP Process Evaluation ..14. Section 5 Resource Management .. 15. Competence, Awareness, and Training ..15. Section 6 Process Control .. 17. Proposed Source of Materials ..17. Material Identification and Traceability ..17. Handling, Storing, and Transporting ..18. Control of Special Processes ..18. Section 7 inspection and Testing .. 19. Role of Resident Engineer ..19. Quality Control inspection and Testing ..19. Acceptance inspection and Testing ..20. Quality Assurance Acceptance Criteria ..21. Independent Assurance ..21. California Department of Transportation Division of Construction august 2015 Page i Construction Quality Assurance PROGRAM manual .

5 Contents CONTENTS (continued). Section 8 Control of Nonconforming Work and 23. Corrective and Preventive Action .. 23. Section 9 Control of inspection , Measuring, and Testing Equipment .. 25. Section 10 Project Materials Certification .. 26. Chapter 2 Construction Quality Assurance 27. Overview .. 27. Section 1 Quality Assurance Elements .. 28. Contractor Quality Control .. 28. Department Acceptance Program .. 29. Independent Assurance .. 29. Dispute Resolution .. 30. Authorized Laboratories .. 30. Personnel Qualifications .. 30. Section 2 Specifications .. 32. Deciding Between Method and Quality Assurance Specifications.

6 32. Advantages and Disadvantages .. 32. Choosing the Specification 34. Specification Development Process .. 35. Step 1 Identify Tier Level .. 36. Step 2 Identify Production 39. Step 3 Define the Quality Characteristics for Quality Control and 40. Step 4 Specify the Quality Control and Acceptance Test Methods .. 42. Step 5 Specify the Location and Frequency of Sampling and 42. Step 6 Define the Acceptance Criteria and Acceptance Limits .. 43. Step 7 Identify the Quality Assurance Methods to be Specified .. 44. Section 3 Quality Assurance 47. Material Prequalification .. 47. Authorized Material List.

7 47. Authorized Material Source List .. 47. Authorized to Deliver Materials List .. 48. Proprietary Product or Process .. 48. Products Manufactured to National Quality 48. Commercial Quality Products .. 48. Department-Furnished Materials .. 49. Qualification Requirements for Facilities, Contractors, and Personnel .. 49. Qualification Requirements for Facilities .. 49. Qualification Requirements for Contractors .. 51. Qualification Requirements for Personnel .. 52. Submittal Requirements .. 53. Designer Review of Construction and Fabrication Working Drawings/Plans .. 53. Resident Engineer Review of Construction and Fabrication Process Submittals.

8 53. California Department of Transportation Division of Construction Page ii august 2015. Construction Quality Assurance PROGRAM manual . Contents CONTENTS (continued). Resident Engineer Review of Proposed Job Mix Formulas/Mix Designs ..53. Resident Engineer Review of Proposed Quality Control Procedures ..54. Engineer Review of Product Data ..54. Contractor Submittal of Test Samples ..54. Material Sampling and Testing ..54. Pre-Production (Initial or Stockpile) ..54. Quality Control Sampling and Testing ..54. Verification Sampling and Testing ..55. Programmatic Quality Assurance inspection and Testing at the Programmatic Assessment.

9 56. Acceptance Sampling and Testing ..56. Certificate of Compliance ..57. Certificate of Compliance from Producer ..57. b Certificate of Compliance from Producer with Test Results ..57. Material and Engineering inspection ..58. Material Engineering inspection ..59. Warranty Provisions ..60. Material and Workmanship Performance Warranty ..60. Guarantee ..60. Chapter 3 Construction Quality Assurance Long-Range Plan .. 61. Overview .. 61. Section 1 Long-Range Objective Integrated Construction Quality Assurance Database .. 62. Construction Quality Assurance Database Requirements ..62. Potential Benefits of Construction Quality Assurance Database.

10 63. Construction Quality Assurance Database Architecture ..64. Construction Quality Assurance Database Input Implementation of Construction Quality Assurance Database ..67. Section 2 Long-Range Objective System-Based Acceptance Process .. 68. Pre-Approved Source ..68. Unapproved Source ..68. Laboratory Testing ..69. Material Approval and Delivery ..69. Field Release of Manufactured Items ..69. Project-Level Documentation ..69. Final Materials Section 3 Long-Range Objective Performance Specifications .. 71. Performance-Related Advantages and Requirements of Performance-Related Specifications.